Criteria to Define Sustainable Oil Palm

RSPO Draft Criteria for Sustainable Palm Oil

Public consultation draft version 2

25 May 2005 This report was prepared by ProForest on behalf of the Criteria Working Group of the Roundtable on Sustainable Palm Oil (RSPO)

Acknowledgements:

The development of the RSPO principles and criteria for sustainable palm oil is being funded by HSBC Malaysia and Doen Foundation Netherlands Contents

1. INTRODUCTION...... 1

1.1. OVERVIEW OF THIS DOCUMENT...... 2 1.2. MAIN ISSUES FOR FURTHER COMMENT...... 2

2. PRINCIPLES AND CRITERIA FOR SUSTAINABLE PALM OIL...... 4

3. PROPOSED GUIDANCE FOR FULFILLING THE CRITERIA...... 8

4. OUTSTANDING ISSUES TO BE CONSIDERED BY THE CWG...... 41

4.1. SCOPE OF APPLICATION OF THE RSPO CRITERIA...... 41 4.2. NATIONAL INTERPRETATION OF THE RSPO CRITERIA...... 41 4.3. VERIFICATION OF COMPLIANCE WITH THE RSPO CRITERIA AND CONTROL OF CLAIMS...... 42

APPENDIX 1: PROPOSED DEFINITIONS...... 45

APPENDIX 2: A SIMPLE GUIDE TO SOME KEY INTERNATIONAL STANDARDS AS SUPPLEMENTARY REFERENCE TO SOCIAL CRITERIA...... 47

APPENDIX 3: MEASURABLE INDICATORS FOR SUSTAINABLE PALM OIL CRITERIA, TO SUPPLEMENT CRITERION 8.1...... 51 RSPO Draft Criteria for Sustainable Palm Oil. Public consultation draft. Version 2. 25 May 2005

1. Introduction

The Roundtable on Sustainable Palm Oil (RSPO) is a global, multi-stakeholder initiative on sustainable palm oil. Members of RSPO, and participants in its activities come from many different backgrounds, including plantation companies, manufacturers and retailers of palm oil products, environmental NGOs and social NGOs and from many countries that produce or use palm oil. The principal objective of RSPO is “to promote the growth and use of sustainable palm oil through co-operation within the supply chain and open dialogue between its stakeholders”.

The first Roundtable on Sustainable Palm Oil was held in Kuala Lumpur in August 2003, where a non-legally binding Statement of Intent was agreed. This laid out, amongst other things, the necessity for a credible definition of sustainable palm oil production that would be provided through the development of a set of criteria.

The first phase of this development process was the production of a report in March 20041. This was produced by a Technical Group convened by the Organising Committee of the Roundtable, and set out the framework for drafting criteria together with a suggested process for developing the final criteria.

The second phase is to develop a final set of principles and criteria for sustainable palm oil. The Executive Board of RSPO has appointed a Criteria Working Group (CWG) to oversee this process, consisting of representatives of producers, supply chain and investor interests, environmental interests and social interests.

The draft principles and criteria cover legal, economic, technical, environmental and social aspects of palm oil production. They are intended to be globally applicable and to cover both existing plantations and the development of new plantations.

The development process2 has been designed to ensure that there is considerable opportunity for input from any interested person or organisation. RSPO regards it as essential that the principles and criteria are developed with wide stakeholders input. This means that any interested stakeholder can provide input into the principles and criteria.

A first draft of the principles and criteria was available for public comment from 25th November 2004 until 25th January 2005. This was followed by the second meeting of the CWG over the period 15 - 18 February 2005 in Malaysia. The objective of the meeting was to make substantial progress towards the preparation of the second draft of the principles, criteria and guidance, including consideration of public comments received during the first consultation period. A synopsis of the responses to public comments is available from RSPO.

1 Framework for Drafting Criteria for Sustainable Oil Palm: A discussion paper to begin the process of developing criteria for the Roundtable on Sustainable Palm Oil. March 2004. Available from the RSPO website www.sustainable-palmoil.org. 2 The process and procedures that will be followed in developing the criteria are described in the document entitled “Process and procedures for the development of international criteria for sustainable palm oil”, available from the RSPO website www.sustainable-palmoil.org.

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This document is the result of the discussions during and subsequent to the second CWG meeting, and is Version 2 of the RSPO Draft Criteria for Sustainable Palm Oil. This document is available for public comment until 25th July 2005.

If you wish to provide any input into this process, please send your comments to [email protected] or by post to ProForest, South Suite, Frewin Chambers, Frewin Court, OX1 3HZ Oxford, UK.

The closing date for commenting is 25 July 2005. The final version of the criteria must be clear and implementable. They must also ensure an acceptable level of plantation management while not placing an unnecessary or unfair burden on plantation managers.

A third meeting of the CWG is now scheduled for September, at which the group will aim to finalise the RSPO Criteria for submission to the Executive Board.

1.1. Overview of this document

The document contains the following sections:

 Section 2: Principles and Criteria for Sustainable Palm Oil. This section includes the draft principles and criteria and can be used either to get an overview of the criteria and the way they are organised or by those who wish to comment at a broad level.

 Section 3: Guidance on fulfilling the criteria. This section includes a re-statement of the Principles and Criteria, but with draft text of the detailed guidelines for fulfilling the criteria. This can be used by those who wish to comment in detail on the criteria.

 Section 4: Outstanding issues for the CWG. This includes issues relating to the scope of application of the criteria, national interpretation and verification.

 Appendix 1: Proposed definitions of some of the terms used in the principles and criteria.

 Appendix 2: Key social principles and criteria from international standards and conventions, for reference purposes.

 Appendix 3: Proposed indicators that can be used for the purpose of demonstrating continual improvement.

1.2. Main Issues for Further Comment

The CWG is particularly aware that some issues require considerable refinement, including:

 Smallholders3. The CWG regards it as essential that smallholders are not excluded from production of palm oil which meets the principles and criteria, and that the criteria do not become a barrier to smallholders seeking to implement sustainable management of oil palm and supply markets for sustainable palm oil. Many of the criteria do not fully apply to smallholders, or would be very difficult for smallholders to implement, and it will be

3 See Appendix 1 for a proposed definition of “smallholders”.

extremely important to ensure that guidance on interpretation of the criteria by smallholders addresses this issue. This will involve consideration of both what it is appropriate to expect from individual smallholders and what it is appropriate to expect from smallholder schemes in order to implement the principles and criteria. However, sufficient consideration on the guidance for smallholders has not yet been made. It may be the case that certain criteria do not apply to smallholders, or it may be necessary to develop some revised criteria for smallholders. Some suggestions for interpreting criteria for application by smallholders are included in the guidance in section 3. Active consultation with smallholder organisations will be a major objective during this public consultation period, to address this issue.

 Guidance sections. Consensus was achieved at the second CWG meeting on the amendments required to the majority of principles and criteria, including issues that had been the subject of most public comment. However, there remains a general need to improve the precision and accuracy of the wording in the guidance sections. In addition, some suggestions for application by smallholders (see above) and national interpretation (see section 4) have been included. Specific issues where further detailed consideration is required, and therefore where comments are particularly welcomed, are:

 Requirements for specific documents that should be publicly available (criteria 1.1 and 1.2);

 Requirements relating to the use of chemicals (criterion 4.6);

 Requirements for specific indicators for continual improvement (criterion 8.1 and Appendix 3).

 Structure of the final RSPO Criteria document(s). There are two main options for the structure of the final document(s). These are either a single document containing introductory comments, principles, criteria, guidance and appendices; or two separate documents, one containing the mandatory principles and criteria, the other consisting of supplementary information such as the guidance, perhaps in the form of a manual or workbook.

These considerations will be amongst the main tasks for the CWG immediately following the public consultation period, and so suggestions on these issues are particularly welcome.

2. Principles and criteria for sustainable palm oil

Sustainable palm oil production is based on economic, environmental and social viability, which is delivered through: Principle 1: Commitment to transparency

Criterion 1.1 Oil palm growers provide full information to other stakeholders in appropriate languages and forms, and in a timely manner, to allow for effective participation in decision-making

Criterion 1.2 Management documents are publicly available, except where this is prevented by commercial confidentiality or where disclosure of information would result in negative environmental or social outcomes Principle 2: Compliance with applicable laws and regulations

Criterion 2.1 There is compliance with all applicable local, national and ratified international laws and regulations

Criterion 2.2 The right to use the land can be demonstrated and is not legitimately contested

Criterion 2.3 Use of the land for oil palm does not diminish the legal or customary rights of other users without their free, prior and informed consent Principle 3: Management planning that aims to achieve long-term economic and financial viability

Criterion 3.1 Optimal long-term productivity and quality of produce and products is achieved through agronomic, processing and management practices.

Criterion 3.2 Grower and mill practices are optimal to maintain production of high quality CPO Principle 4: Use of appropriate best practices by growers and mills

Criterion 4.1 Operating procedures are appropriately documented and consistently implemented and monitored

Criterion 4.2 Practices maintain, and where possible improve, soil fertility at a level that ensures high and sustained yield

Criterion 4.3 Practices minimise and control erosion and degradation of soils

Criterion 4.4 Practices aim to maintain the quality and availability of surface and ground water

Criterion 4.5 Pests, diseases, weeds and invasive introduced species are effectively managed whilst chemical use is optimised through using appropriate Integrated Pest Management (IPM) techniques

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Criterion 4.6 Chemicals should be used in a way that does not endanger health or the environment

Criterion 4.7 Occupational health and safety requirements are implemented

Criterion 4.8 All staff, workers, smallholders and contractors are appropriately trained Principle 5: Environmental responsibility and conservation of natural resources and biodiversity

Criterion 5.1 An assessment of the environmental impacts, both positive and negative, of the planted oil palms and mills is carried out and the results are incorporated into management planning and implemented in operational procedures

Criterion 5.2 An understanding of the plant and animal species and habitats that exist inside and around the planted area shall be established

Criterion 5.3 A plan to manage biodiversity in and around the planted area shall be developed, implemented and monitored

Criterion 5.4 Waste is reduced, recycled, re-used and disposed of in an environmentally and socially responsible manner

Criterion 5.5 Efficiency of energy use and use of renewable energy is maximised

Criterion 5.6 Use of fire for waste disposal and for preparing land for replanting is avoided except in specific situations

Criterion 5.7 Plans to reduce pollution and emissions, including greenhouse gases, are developed, implemented and monitored Principle 6: Responsible consideration of employees and of individuals and communities affected by growers and mills4

Criterion 6.1 An assessment of the social impacts, both positive and negative, of the planted oil palms and mills is carried out and the results are incorporated into management planning and implemented in operational procedures

Criterion 6.2 There are open and transparent methods for communication and consultation between growers and/or mills, local communities and other affected or interested parties

Criterion 6.3 There is a mutually agreed and documented system for dealing with complaints and grievances, which is implemented and accepted by all parties

Criterion 6.4 Any negotiations concerning compensation for loss of legal or customary rights are dealt with through a documented system that enables indigenous peoples, local communities and other stakeholders to express their views through their own representative institutions

4 A summary of international standards relating to the main social issues that are covered in Principle 6 is included as Appendix 2, for reference purposes. This provides a supplement to the guidance sections.

Criterion 6.5 The employer ensures that pay and conditions always meet at least legal or industry minimum standards and are sufficient to meet basic needs of personnel and to provide some discretionary income

Criterion 6.6 The employer respects the right of all personnel to form and join trade unions of their choice and to bargain collectively. Where the right to freedom of association and collective bargaining are restricted under law, the employer facilitates parallel means of independent and free association and bargaining for all such personnel

Criterion 6.7 Child labour is not used. Children are not exposed to hazardous working conditions. Work by children is acceptable on family farms, under adult supervision, and when not interfering with education programmes

Criterion 6.8 The employer shall not engage in or support discrimination based on race, caste, national origin, religion, disability, gender, sexual orientation, union membership, political affiliation, or age

Criterion 6.9 Growers and mills deal fairly and transparently with smallholders and other local businesses

Criterion 6.10 Growers and mills contribute to local development wherever appropriate Principle 7: Responsible development of new plantings

Criterion 7.1 A comprehensive and participatory social and environmental impact assessment is undertaken prior to establishing new plantings or operations, or expanding existing ones, and the results incorporated into planning, management and operations

Criterion 7.2 Soil surveys and topographic information are used for site planning in the establishment of new plantings, and the results are incorporated into plans and operations

Criterion 7.3 New plantings since [date of adoption of RSPO Critieria] have not replaced primary forest or any area containing one or more High Conservation Values [date to be inserted when RSPO Criteria are adopted]

Criterion 7.4 Extensive planting on steep terrain, and/or on marginal and fragile soils, is avoided

Criterion 7.5 No new plantings are established on local peoples’ land without their free, prior and informed consent, dealt with through a documented system that enables indigenous peoples, local communities and other stakeholders to express their views through their own representative institutions

Criterion 7.6 Local people are compensated for any agreed land acquisitions and relinquishment of rights, subject to their free, prior and informed consent and negotiated agreements

Criterion 7.7 Use of fire in the preparation of new plantings is avoided other than in specific situations Principle 8: Commitment to continual improvement in key areas of activity

Criterion 8.1 Growers regularly monitor and review their activities and develop and implement action plans that allow demonstrable continual improvement in key operations

3. Proposed Guidance for fulfilling the criteria

This section includes the draft text of the detailed guidelines for fulfilling the criteria. It is recognised that the guidance will require considerable further work in terms of both content and layout. Any comments and suggestions would be gratefully received.

Principle 1: Commitment to transparency

Criterion Proposed Guidance Criterion 1.1 Oil palm growers provide full information to Growers should respond constructively to requests for information from stakeholders. Records other stakeholders in appropriate languages and forms, of requests should be maintained. and in a timely manner, to allow for effective participation See criterion 1.2 for requirements relating to publicly available documentation. in decision-making See also criteria 6.2 and 7.3 relating to consultation. Criterion 1.2 Management documents are publicly Documents that are publicly available include, but are not necessarily limited to: available, except where this is prevented by commercial  Operational procedures (4.1) confidentiality or where disclosure of information would result in negative environmental or social outcomes.  Environmental and social impact assessments (5.1, 6.1, 7.1)

 Biodiversity plan (5.3)

 Details of complaints and grievances (6.3)

 Negotiation procedures (6.4)

 Continual improvement plan (8.1)

Examples of commercially confidential information include financial data such as costs and

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income, and details relating to customers and/or suppliers.

Examples of information where disclosure could result in potential negative environmental or social outcomes include sensitive information on sites of rare species or sacred sites.

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Principle 2: Compliance with applicable laws and regulations

Criterion Proposed Guidance Criterion 2.1 There is compliance with all applicable Implementing all legal requirements is an essential baseline requirement for all growers whatever local, national and ratified international laws and their location or size. There should be no evidence of non-compliance with relevant legal regulations requirements. 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). It also includes laws made pursuant to a country’s obligations under international laws or conventions (e.g. the Convention on Biodiversity, CBD).

The system used to understand and implement the law should be appropriate to the scale of the organisation. It is usually expected that large growers have an appropriate documented system, including written information on legal requirements, a mechanism for ensuring that they are implemented and a system for tracking any changes in the law. For small-scale producers the focus should be on the grower having adequate knowledge of the main legal requirements and implementing them.

For local interpretation, all relevant legislation should be identified, and any particularly important requirements identified. In some producer countries there are contradictions and inconsistencies between laws that may make full legal compliance effectively impossible. Guidance should be developed on how managers should address this. Criterion 2.2 The right to use the land can be The right of the grower to the land must be clear. This should be demonstrated through proof of demonstrated and is not legitimately contested ownership or use rights, such as documents showing legal ownership or lease, history of land tenure and the actual legal use of the land.

Where there are disputes, additional information to provide proof of legal acquisition of title and fair

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compensation of previous owners and occupants may also be needed.

There should be no evidence of significant land conflict, unless requirements for acceptable conflict resolution processes are met (criteria 6.3 and 6.4).

For local interpretations, any customary land use rights or disputes which are likely to be relevant should be identified. Criterion 2.3 Use of the land for oil palm does not Where there are other potential rights, the grower must demonstrate that these rights are understood diminish the legal or customary rights of other users and are not being threatened or reduced. This criterion should be considered in conjunction with without their free, prior and informed consent criterion 6.4.

This criterion allows for sales and negotiated agreements to compensate prior users for lost benefits and/or relinquished rights.

For local interpretations, any commonly encountered situations should be identified.

See definition of ‘customary rights’ (see ‘Proposed definitions’ in Appendix 1).

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Principle 3: Management planning that aims to achieve long-term economic and financial viability.

Criterion Proposed Guidance Criterion 3.1 Optimal long-term productivity and Management planning documents should be consistent with optimising long-term productivity and quality of produce and products is achieved through product quality. Optimisation of productivity includes social and environmental considerations, as agronomic, processing and management practices. required by the RSPO criteria.

Whilst it is recognised that long-term profitability is also affected by factors outside their direct control, managers should be able to demonstrate attention to economic and financial viability through long- term management planning.

Practices to achieve long-term productivity should include the following:

 Planting material should be of high quality, and should be purchased from reputable sources. The grower should keep a record of supplier, batch number and germination rate, and also details of the individual crosses if these are supplied by the vendor.

 Nursery management should include implementation of a programme of Integrated Pest Management (IPM), sustainable water use (including protection of water sources used for irrigation and avoidance of pollution) and avoidance of soil pollution or degradation. Nurseries should avoid the use of topsoil from forests or other areas of natural vegetation.

Growers should have a system to improve practices in line with new information and techniques. For smallholder schemes, the scheme management will be expected to provide their members with information on significant improvements. Criterion 3.2 Grower and mill practices are optimal Market requirements for quality should be met through: to maintain production of high quality CPO.  Rapid transport of fruits to minimise degradation.

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 Minimising contaminants and residues.

 Appropriate milling operations.

 Appropriate storage and treatment.

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Principle 4: Use of appropriate best practices by growers and mills

Criterion Proposed Guidance Criterion 4.1 Operating procedures are appropriately Documented procedures should cover all activities described by criteria 4.2 – 4.8. Growers documented and consistently implemented and should have a mechanism to check consistent implementation of procedures. Records of monitored measurable results should be maintained where necessary to demonstrate continuous improvement. See criterion 8.1.

For local interpretation, national codes of practice or Best Management Practices (BMPs) should be referenced.

For individual smallholders working practices will have to consistent with documented procedures provided by customers or smallholder organisations. Requirements for monitoring and record keeping will be more targeted. Criterion 4.2 Practices maintain, and where possible Long-term fertility depends on maintaining the structure, organic matter content, nutrient status improve, soil fertility at a level that ensures high and and microbiological health of the soil. This may include practices such as: sustained yield  Maintaining long-term soil organic matter content;

 Minimising the period that soil remains bare;

 Windrowing or chipping;

 Minimal burning (see criterion 5.6 and 7.7)

 Controlling soil compaction;

 Managing soil pH;

 Managing soil salinity;

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Criterion Proposed Guidance  Returning nutrients to the field (empty fruit bunches, effluent, sludge, trunks);

 Fixing N with legumes;

 Determining fertiliser need by soil and leaf analysis, field experimentation and element recycling calculations. The optimal dose should not be exceeded.

Smallholders should be able to demonstrate that they have an understanding of the techniques required to maintain soil fertility and that they are being implemented.

Local interpretation should identify the range of appropriate techniques. Criterion 4.3 Practices minimise and control erosion and Techniques that minimise soil erosion should be adopted. This may include practices such as: degradation of soils  Planning and implementing ground clearance to minimise erosion (e.g., by underplanting or limiting the size of individual planting blocks where these are appropriate)

 Ensuring adequate ground cover and avoiding over-spraying of herbicides

 Using irrigation practices that are designed and implemented to minimise erosion

 Controlling erosion wherever needed, including terracing where appropriate.

 Appropriately designing and maintaining roads

 Avoiding planting on steeply sloping land or highly erodible soil-types.

 Maintaining riparian areas in order to minimise erosion of stream banks.

 After felling the old stand, retaining residue where soil erosion risk is significant or a cover crop or rotation crop should be planted. Burning should not be used to remove residues (see criterion 5.6).

Criterion Proposed Guidance Smallholders should be able to demonstrate that they have an understanding of the techniques required to minimise soil erosion and that they are being implemented.

Local interpretation should refer to national guidance, and identify the best management practices and appropriate techniques for maintaining soil quality in local conditions, including guidance on soil types, and any appropriate performance thresholds, such as maximum acceptable slope gradient for planting. Criterion 4.4 Practices aim to maintain the quality and Growers should address the effects of their use of water and the effects of their activities on local availability of surface and ground water water resources. Practices may include:

 Use of a water management plan, taking account of the efficiency of use and renewability of sources.

 Ensuring that the use of water does not result in adverse impacts on availability for downstream users.

 Protection of water courses, wetlands and swamps, including maintaining appropriate riparian buffer zones along all bodies of water.

 Avoiding contamination of surface and ground water through run-off of soil, nutrients or chemicals, or as a result of inadequate disposal of waste.

 Appropriate treatment of mill effluent and regular monitoring of discharge quality, which should be compliant with national regulations.

Local interpretation should refer to national guidelines or best practice and where appropriate include performance thresholds for requirements such as the size and location of riparian strips or acceptable maximum runoff levels.

Criterion Proposed Guidance Criterion 4.5 Pests, diseases, weeds and invasive Growers should apply recognised IPM techniques, incorporating cultural, biological, mechanical introduced species are effectively managed whilst or physical methods to minimise use of chemicals: chemical use is optimised through using appropriate  A programme to monitor pests and diseases should be in place. Integrated Pest Management (IPM) techniques  Non-chemical pest treatments must be preferred over chemical treatments. Protection of crops against pests, diseases and weeds should be achieved with the appropriate minimum pesticide input. Legally protected animal species that may kill or damage oil palms must be dealt with by non-destructive means (e.g., electric fencing, chasing, loud noises, etc).

 All use of chemicals should be justified. Efforts should be made to select pesticides that are of lower toxicity. Records should be maintained of pesticide use (including active ingredients used, area treated, amount applied per ha and number of applications), as the basis for plans to reduce use.

 Selective products that are specific to the target pest, weed or disease and which have minimal effect on non-target species should be used where available. Pesticide rotations should be employed wherever possible to avoid the development of resistance.

Local interpretation should provide further guidance on what practices are most appropriate for a particular country, and where needed, on practices which are appropriate to small-scale production. Criterion 4.6 Chemicals should be used in a way that Chemical use should be properly managed through appropriate practices, which should include: does not endanger health or the environment  Selection of pesticides with due regard to environmental and health risks. This should include the use of toxicity budgets, “do not use” lists and/or other tools to minimise potential impacts.

Criterion Proposed Guidance  There should be a plan to reduce pesticide use wherever possible, and monitoring of actual usage and impacts. This should focus on reducing and/or eliminating chemicals on the basis of parameters such as their level of persistence, toxicity or biomagnification.

 Developing effective methods of application, handling, training, control, supervision, storage and disposal that deliver safe practice. Chemicals should only be applied by qualified persons who have received the necessary training and should always be applied in accordance with the product label. Safety equipment must be provided and used. Also see criterion 4.7 on health and safety.

 Efforts should be made to apply pesticides by methods which minimise risk and impacts. Particular precautions should be taken when pesticides are applied aerially to avoid drift into water bodies (springs, streams etc), natural vegetation, human settlements and other land uses.

 Growers (other than individual smallholders) and/or suppliers should be able to provide evidence of residue testing.

 Waste material should be properly disposed of, based on a special chemical (pesticide) management programme that is fully understood by workers and managers. Also see criterion 5.4 on waste disposal.

Local interpretation should consider: statutory requirements concerning pesticide use, lists of legally prohibited agrochemicals, agrochemical residues that should be tested for and the appropriate levels of residues, and best management practices for pesticide use or sources of information on these. Criterion 4.7 Occupational health and safety Growers and mills should ensure that the workplaces, machinery, equipment and processes

Criterion Proposed Guidance requirements are implemented under their control are safe and without undue risk to health. Growers and mills 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. A safe and healthy working environment should be provided for all workers whether they are employees or contractors. This should include:

 A health and safety policy, which is implemented and monitored.

 All operations where health and safety is an issue have been risk assessed and procedures developed and implemented to address the identified issues. All precautions attached to the products should be properly observed and applied to the workers.

 All workers involved in the operations have been adequately trained in safe working practices (see also criterion 4.8). Adequate protective equipment should be available to labourers at the place of work to cover all potentially hazardous operations, such as pesticide application, land preparation, harvesting and, if it is used, burning.

 Storage of all chemicals in secure, locked areas, where accidental spillages can be contained. Inventories of chemicals in storage must be maintained and updated as chemicals are used. All chemical containers must be properly disposed of and not used for other purposes (see criterion 5.4).

 Accident and emergency procedures should exist and instructions should be clearly understood by all workers. Accident procedures should be available in the appropriate language of the workforce. Workers trained in First Aid should be present in both field and other farm operations and first aid equipment should be available at worksites. Records should be kept of all accidents and and periodically reviewed. Workers should be covered by

Criterion Proposed Guidance accident insurance.

For individual smallholders, a more informal approach to documentation and record keeping is acceptable, provided that working practices for all workers are safe.

For local interpretation, all legal requirements together with any local or national guidance on safe working practice in agriculture should be identified and used. It will also be important to identify what constitutes a ‘hazardous’ operation in the local context. Criterion 4.8 All staff, workers, smallholders and Training should be given to all staff, workers and contractors by growers and mills to enable them contractors are appropriately trained to fulfil their jobs and responsibilities in accordance with documented procedures, and in compliance with the requirements of these principles and critieria.

Large organisations should have a formal training programme that includes regular assessment of training needs and documentation of the programme. Records of training for each employee should be kept.

Workers on smallholder plots also need adequate training and skills and this can be achieved through extension activities of growers or mills that purchase fruit from them, by smallholders’ organisations, or through collaboration with other institutions and organisations. For smallholders training records should not be required but anyone working on the farm should be adequately trained for the job they are doing.

For local interpretation, appropriate occupational training qualifications should be identified.

Principle 5: Environmental responsibility and conservation of natural resources and biodiversity

Criterion Proposed Guidance Criterion 5.1 An assessment of the environmental Assessment of environmental impacts can range from an independent Environmental Impact impacts, both positive and negative, of the planted oil Assessment (EIA) through a formal internal assessment carried out by the grower to a relatively palms and mills is carried out and the results are informal consideration of possible impacts carried out by a smallholder. The appropriate degree incorporated into management planning and of formality and independence will depend on legal requirements, the size of the operation and implemented in operational procedures the local context.

The assessment should cover impacts on soil, water, air, biodiversity and people, both on and off- site. It is important that where activities, techniques or operations change over time, assessments of impacts are updated as necessary.

Potential environmental impacts to be assessed should include activities such as:

 building new roads, processing mills or other infrastructure

 putting in drainage or irrigation systems

 replanting or expansion of planting area

 disposal of mill effluents

Where the results of impact assessments mean changing current practices, in order to reduce or mitigate serious negative effects, a timetable for change should be developed.

For smallholder schemes, the scheme management has the responsibility to undertake impact assessment and to plan and operate in accordance with the results. Individual smallholders would not be expected to undertake formal impact assessments (unless there is a legal requirement)

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Criterion Proposed Guidance but should have a good understanding of the potential negative impacts of their activities and appropriate mitigation techniques.

Local interpretation should consider any national legal requirements together with any other issues that are not required by law but are nevertheless important. Criterion 5.2 An understanding of the plant and animal In order to assess impacts (criterion 5.1) and to develop a plan to manage biodiversity (criterion species and habitats that exist inside and around the 5.3), it is necessary to have some baseline information. Information should be collated that planted area shall be established includes both the planted area itself and wider landscape-level considerations (such as wildlife corridors):

 Presence of protected areas that could be significantly affected by the grower or mill

 Conservation status (e.g.IUCN status), legal protection, population status and habitat requirements of rare, threatened, endangered and endemic species, that could be significantly affected by the grower or mill

 Identification of rare and threatened habitats and ecosystems, that could be significantly affected by the grower or mill

This information gathering should include checking available biological records, and consultation with relevant government departments and interested NGOs if appropriate. Depending on the level of available information, some additional fieldwork may be required, using techniques such as rapid biodiversity assessment. It may be necessary for the grower or mill to use expert assistance. Appropriate sources of information include government or international lists of threatened species (‘red data lists’), national wildlife protection legislation, authorities responsible for protected areas and species, or relevant NGOs.

Criterion Proposed Guidance For individual smallholders, a basic understanding of any important local conservation issues, species or habitats will be sufficient.

For local interpretation, reference should be made to any relevant existing information such as general species lists, studies from the farm area and local or national ‘red lists’ of rare species. Criterion 5.3 A plan to manage biodiversity in and The plan should derive from the information collected (criterion 5.2), and should: around the planted area shall be developed,  Ensure that any legal requirements relating to the protection of part of the property under implemented and monitored natural vegetation or the protection of and management of species listed in national or local regulations are met.

 Ensure action to avoid damage to and deterioration of habitats, including protection of riparian areas, steep slopes, fragments of natural vegetation, conservation set-aside/reserve areas and areas of high conservation value.

 Include measures to enhance habitats, particularly marginal areas such as riparian strips, corridors to link areas of natural vegetation, enlargement of existing areas of natural vegetation or areas that were originally planted but which are now recognised as unsuitable (e.g., steep slopes) and other unproductive sites (e.g. low lying wet areas, headland strips or areas of impoverished soil)

 Consider the need to control any illegal or inappropriate hunting, fishing or collecting activities; and develop responsible measures to resolve human-wildlife conflicts (e.g., incursions by elephants)

For individual smallholders, a more informal verbally-communicated plan may be adequate.

Local interpretation should identify any relevant indicators and performance thresholds, such as

Criterion Proposed Guidance whether there should be a minimum proportion of a landholding which should be managed for biodiversity. Criterion 5.4 Waste is reduced, recycled, re-used and Actions for minimising waste should include: disposed of in an environmentally and socially  Identifying sources of waste and pollution. responsible manner.  Improving the efficiency of resource utilisation (e.g., achieving high extraction efficiency to reduce oil in EFB (empty fruit bunches) and effluent) and recycling wastes as nutrients (e.g. EFB) or converting them into value-added products (e.g., through animal feeding programmes).

 Appropriate disposal of hazardous chemicals and their containers. Surplus chemical containers should be disposed of or cleaned in an environmentally and socially responsible way (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 to human health. The disposal instructions on manufacturer’s labels should be adhered to.

For smallholders the approach can be more informal provided that the outcome is acceptable.

Local interpretation could include, as appropriate: details of any relevant national laws or policies, a list of waste types which must be considered, any types of disposal which are not acceptable (e.g. untreated waste water may not be discharged directly into streams or rivers), existing best practice guidelines on recycling and re-use of nutrients, managing effluent ponds, increasing mill extraction efficiency and appropriate disposal of wastes, and any appropriate ways for nutrients in EFB and effluent to be returned to smallholders from the mill that processes their fruit. Criterion 5.5 Efficiency of energy use and use of Growers and mills should assess the energy use of their operations and energy efficiency of their renewable energy is maximised operations. Actions should be identified to maximise fuel burning efficiency and for use of

Criterion Proposed Guidance renewable energy sources wherever possible (e.g., fibre and shell). Criterion 5.6 Use of fire for waste disposal and for Fire should be used only where an assessment has demonstrated that it is the most effective and preparing land for replanting is avoided except in least environmentally damaging option for minimising the risk of severe pest and disease specific situations outbreaks, and with evidence that fire-use is carefully controlled.

Growers should comply with the ‘Guidelines for the implementation of the ASEAN policy on zero burning’, or comparable guidelines in other locations.

Smallholders have shown that their fire use is less likely to lead to uncontrolled burning, and so can use fire for these purposes so long as vigilance to safety is continued. Extension/training programmes for smallholders may be necessary. Criterion 5.7 Plans to reduce pollution and emissions, An assessment of all polluting activities should be conducted, including gaseous emissions, including greenhouse gases, are developed, particulate/soot emissions and effluent. A plan should be developed and implemented to reduce implemented and monitored pollution and emissions, and progress in implementing this plan should be regularly monitored.

Principle 6: Responsible consideration of employees and of individuals and communities affected by growers and mills5

Criterion Proposed Guidance Criterion 6.1 An assessment of the social impacts, Assessment of social impacts may be carried out by independent experts or internally by the both positive and negative, of the planted oil palms grower as appropriate to the situation. The appropriate degree of formality and independence will and mills is carried out and the results are depend on legal requirements, the size of the operation and the local context. It should be sufficient incorporated into management planning and to ensure that all actual and potential impacts (both positive and negative) are identified. This implemented in operational procedures should include adequate consideration of the impacts on the customary or traditional rights of local communities and indigenous people, where these exist (see also criteria 2.3 and 6.4).

It is important that where activities, techniques or operations change over time, assessments of impacts are updated as necessary.

Where the results of impact assessments suggest changing current practices in order to reduce or mitigate serious negative effects, a timetable for change should be developed..

As social impacts are particularly dependent on local social conditions, national interpretation should identify the important issues, and methodologies for collecting data and using the results.

Where the plantation includes an outgrower scheme, the impacts of the scheme and the implications of the way it is managed should be given particular attention. Individual smallholders will not be required to conduct formal social impact assessments. Criterion 6.2 There are open and transparent methods Communication and consultation practices should include: for communication and consultation between growers  Documented consultation and communication procedures. and/or mills, local communities and other affected or

5 A summary of international standards relating to the main social issues that are covered in Principle 6 is included as Appendix 2, for reference purposes. This provides a supplement to the guidance sections.

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Criterion Proposed Guidance interested parties  A nominated manager responsible for these issues.

 Maintenance of a list of stakeholders, records of all communication and records of actions taken in response to input from stakeholders.

Decisions that the growers or mills are planning on making should be made clear,, so that local 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 communities and other affected or interested parties. This should consider the use of existing local mechanisms. Consideration should be given to the existence/formation of a multi-stakeholder forum. Communications should take into account differential access to information of women as compared to men, village leaders as compared to day labourers, new versus established community groups, and different ethnic groups.

Local interpretation should consider issues such as appropriate levels of consultation and the types of organisations or individuals that should be included.

Third parties, such as disinterested community groups, NGOs, or government (or a combination of these) should facilitate smallholder schemes and communities, and others as appropriate, in these communications.

For individual smallholders, this criterion does not apply. Criterion 6.3 There is a mutually agreed and The basis of the documented system must be to aim to resolve disputes in an effective, timely and documented system for dealing with complaints and appropriate manner. Both the process by which a dispute was resolved and the results must be grievances, which is implemented and accepted by all documented. The system must be open to any stakeholder. parties

Criterion Proposed Guidance Complaints may be dealt with by mechanisms such as Joint Consultative Committees (JCC). Grievances may be internal (employees) or external.

For smallholder schemes, the company or associations will be responsible for this. Individual smallholders should not be expected to have a documented system, but must be able to show that they respond constructively to any issue or complaint. Criterion 6.4 Any negotiations concerning This criterion should be considered in conjunction with Criterion 2.3. compensation for loss of legal or customary rights are Legal and customary rights are identified and assessed and a system for identifying people entitled dealt with through a documented system that enables to compensation is established. A system for calculating and distributing fair compensation is indigenous peoples, local communities and other established and implemented. This should take into account gender differences in the power to stakeholders to express their views through their own claim rights, ownership and access to land; differences of transmigrants and long-established representative institutions communities; differences in ethnic groups’ proof of legal versus communal ownership of land.

The process and outcome of any compensation claims should be documented and made publicly available. Criterion 6.5 The employer ensures that pay and Employees and contractors must be paid in accordance with national laws and regulations (and conditions always meet at least legal or industry collective agreements between workers and employers, see criterion 6.6), and/or in the absence of minimum standards and are sufficient to meet basic national regulations with industry minimum standards. needs of personnel and to provide some discretionary Labour laws, union agreements or direct contracts of employment detailing payments and income. conditions of employment (e.g., working hours, deductions, overtime, sickness, holiday entitlement, maternity leave, reasons for dismissal, period of notice, etc) should be available in the languages understood by the workers or explained carefully to them by a senior company official.

Workers should have access to potable water and segregated sanitary and bathing facilities. Growers and mills should provide adequate housing, medical, educational and welfare amenities to

Criterion Proposed Guidance national standard or above, where no such public facilities are available or accessible (not applicable to smallholders).

For local interpretation performance levels such as acceptable minimum wages and conditions should be specified, together with means of verification. Criterion 6.6 The employer respects the right of all The right of employees and contractors to form associations and bargain collectively with their personnel to form and join trade unions of their choice employer should be respected, in accordance with Conventions 87 and 98 of the International and to bargain collectively. Where the right to freedom Labour Organisation. of association and collective bargaining are restricted Labour laws and union agreements or in their absence, direct contracts of employment detailing under law, the employer facilitates parallel means of payments and other conditions, are available in the languages understood by the workers or independent and free association and bargaining for explained carefully to them by a senior company official. all such personnel.

Criterion 6.7 Child labour is not used. Children are not Growers and mills should clearly define the minimum working age, together with working hours. exposed to hazardous working conditions. Work by Only workers above the minimum school leaving age in the country or who are at least 15 years old children is acceptable on family farms, under adult may be employed, with the stated exception of family farms. The minimum age of workers will not supervision, and when not interfering with education be less than stated under national regulations. Smallholders should allow child labour only if programmes. permitted by national regulations. Criterion 6.8 The employer shall not engage in or Growers and mills must ensure equality of treatment and opportunity for all employees and support discrimination based on race, caste, national contractors. This should include the treatment of migrant workers. origin, religion, disability, gender, sexual orientation, union membership, political affiliation, or age. Criterion 6.9 Growers and mills deal fairly and Growers and mills should document appropriate and equitable decision making procedures, and transparently with smallholders and other local pricing mechanisms for both the FFB and inputs/services .

Criterion Proposed Guidance businesses Growers and mills should ensure that both parties understand the contractual agreements they enter into, and that contracts are fair, legal, and transparent.

Agreed payments should be made in a timely manner. If mills are requiring smallholders to change their practices to meet the RSPO Criteria, they should consider advance payments for FFB so that smallholders are able to mitigate any changes to costs arising from new practices.

Transactions with smallholders should consider relevant issues such as transportation to mills and access to storage, grading flexibility and quality unevenness, and reflect their need to be financially independent and not bonded by debt to the customer. Criterion 6.10 Growers and mills contribute to local Contributions to local development should be based on the results of consultation with local development wherever appropriate communities. See also 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 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.

National interpretation should consider specific parameters or thresholds such as use of local and national goods and services where possible, whether a certain percentage of the plantation’s profit/turnover should be used for social development projects, and minimum quotas for local employment.

Principle 7: Responsible development of new plantings

Criterion PROPOSED GUIDANCE Criterion 7.1 A comprehensive and participatory social and See also criteria 5.1 and 6.1. environmental impact assessment is undertaken prior to The potential impacts of all major proposed activities should be assessed prior to development. establishing new plantings or operations, or expanding The assessment should include, as a minimum: existing ones, and the results incorporated into planning, management and operations.  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 criterion 7.3) that could potentially be destroyed or degraded by the plantation;

 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 assessment of potential effects on hydrology by planned developments. Measures should be planned and implemented to maintain the quantity and quality of water resources;

 Baseline soil surveys and topographic information, including the identification of marginal and fragile soils, areas prone to erosion and slopes unsuitable for planting. 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;

 Analysis of type of land to be used (forest, degraded forest, cleared land).

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Criterion PROPOSED GUIDANCE  Analysis of ownership or usufruct access of land (who is rightfully using the land, or has claim on it for ownership or access now or in the future).

 Analysis of current land use patterns for the land.

 Assessment of potential social impact on surrounding communities of a plantation, including an analysis of differential effect on women versus men, ethnic communities, migrant versus long-term residents.

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 should not proceed, because of the magnitude of potential impacts.

Where the development includes an outgrower scheme the impacts of the scheme and the implications of the way it is managed should be given particular attention.

For smallholder schemes, the scheme management should do this. For individuals, it does not apply.

National interpretation should consider setting a minimum threshold of the size of new plantings, e.g. 50 ha, above which an SEIA is required. Consider listing unacceptable negative social impacts (e.g., displacement, loss of the food security of local people, etc.) Criterion 7.2 Soil surveys and topographic information are Soil surveys should be adequate to establish the suitability of land for oil palm cultivation over used for site planning in the establishment of new several rotations. Soil suitability maps or soil surveys should be appropriate to the scale of plantings, and the results are incorporated into plans and operation and should include information on soil types, topography, rooting depth, moisture operations. availability, stoniness, fertility and long-term soil sustainability. Soils unsuitable for planting (e.g., shallow or saline soils) or those requiring special treatment (e.g., ultrabasic soils) should

Criterion PROPOSED GUIDANCE be identified. This information should be used to plan planting programmes, etc.

Topographic information should guide the planning of drainage and irrigation systems, roads and other infrastructure.

Assessing soil suitability is also important for small-scale producers, particularly where there are significant numbers operating in a particular location. Information may be collected and provided by a smallholder organisation or mill that purchases FFB from individual smallholders.

Local interpretation should specify the local or national code of practice or other guidelines that should be followed; or set out what ‘good practice’ constitutes within the local and national context.

This activity should be integrated with the SEIA required by 7.1. Criterion 7.3 New plantings since [date of adoption of This applies to forests and other vegetation types. This applies irrespective of any changes in RSPO Critieria] have not replaced primary forest or any land ownership or farm management that have taken place after this date. High Conservation area containing one or more High Conservation Values Values (HCVs) may be identified only in a part of a landholding, and in such cases new [date to be inserted when RSPO Criteria are adopted] plantings can be planned to allow the HCVs to be maintained or enhanced.

The HCV assessment process requires appropriate training and expertise, and must include consultation with local communities, particularly for identifying social HCVs.

Although planned development may be consistent with landscape level planning by national and local authorities, this requirement for protection of social and biological HCVs must still be complied with. Development should actively seek to utilise previously degraded land. Plantation development should not put indirect pressure on forests through the use of all available agricultural land in an area.

Criterion PROPOSED GUIDANCE Local interpretation should refer to existing national definitions of HCVs or equivalent land- use/conservation plans or consider how growers and the audit team can identify High Conservation Values. This may involve collaboration with other bodies.

This activity should be integrated with the SEIA required by 7.1.

Refer to the ‘proposed definitions’ in Appendix 1. Criterion 7.4 Extensive planting on steep terrain, and/or on Marginal and fragile soils, including excessive gradients and peat soils, should be identified marginal and fragile soils, is avoided. prior to conversion to plantation. Planting on extensive areas of peat soils > 3m deep and other fragile soils should be avoided.

Where limited planting on fragile and marginal soils is proposed, plans shall be developed and implemented to protect them without incurring adverse impacts (e.g., hydrological) or significantly increased risks (e.g., fire risk) in areas outside the plantation.

This activity should be integrated with the SEIA required by 7.1.

National interpretation should consider including specific controls and thresholds, such as slope limits, listing soil types that on which planting should be avoided (especially peat soils), the proportion of plantation area that can include marginal/fragile soils, and/or definitions or ‘extensive’, ‘marginal’ and ‘fragile’. Criterion 7.5 No new plantings are established on local This activity should be integrated with the SEIA required by 7.1. Refer also to criteria 2.2, 2.3, peoples’ land without their free, prior and informed 6.2, 6.4 and 7.6. consent, dealt with through a documented system that Where new plantings are considered to be acceptable, management plans and operations enables indigenous peoples, local communities and other should maintain sacred sites. Agreements with local communities should be made without stakeholders to express their views through their own coercion or other undue influence. representative institutions

Criterion PROPOSED GUIDANCE

Criterion 7.6 Local people are compensated for any This activity should be integrated with the SEIA required by 7.1. Refer also to criterion 6.4. agreed land acquisitions and relinquishment of rights, This requirement includes indigenous peoples. Legal and customary rights are identified and subject to their free, prior and informed consent and assessed. A system for identifying people entitled to compensation is established. A system for negotiated agreements. calculating and distributing fair compensation is established. Communities that have lost access and rights to land for plantation expansion are given opportunities to benefit from plantation development

The process and outcome of any compensation claims should be documented and made publicly available. Criterion 7.7 Use of fire in the preparation of new plantings This activity should be integrated with the SEIA required by 7.1. is avoided other than in specific situations. Fire should be used only where an assessment has demonstrated that it is the most effective and least environmentally damaging option for minimising the risk of severe pest and disease outbreaks, and with evidence that fire-use is carefully controlled.

Growers should comply with the ‘Guidelines for the implementation of the ASEAN policy on zero burning’, or comparable guidelines in other locations.

Principle 8: Commitment to continual improvement in key areas of activity

Criterion Proposed Guidance Criterion 8.1 Growers regularly monitor and review their The action plan for continual improvement should be based on a consideration of the main activities and develop and implement action plans that social and environmental impacts and opportunities of the grower/mill, and should include a allow demonstrable continual improvement in key range of parameters covered by these principles and criteria. As a minimum, these should operations. include, but not necessarily be limited to:

 Soil fertility (criterion 4.2)

 Reductions in chemical use (criterion 4.6)

 Waste reduction (criterion 5.4)

 Energy use (criterion 5.5)

 Pollution and emissions (criterion 5.7)

Appendix 3 includes a reference list of potential indicators for measurement under each principle, as the basis for developing action plans.

Draft guidance for Principle 8: Commitment to continual improvement in key areas of activity 36 of 52 RSPO Draft Criteria for Sustainable Palm Oil. Public consultation draft version 2. 25 May 2005 4. Outstanding issues to be considered by the CWG

4.1. Scope of application of the RSPO criteria

These criteria concern sustainable production of palm oil. However, it was noted in the first meeting of the Criteria Working Group that one of the objectives of RSPO is to develop criteria for ‘the sustainable production and use of palm oil’. The question of how these criteria are applied throughout the supply chain has not been fully resolved.

All of the criteria apply to oil palm growers. Some of the criteria also apply to mills. It is generally accepted that where mills are within the same landholding as growers, that all relevant criteria should apply.

RSPO is now progressing a separate project to look at options for linking palm oil use to plantations that are managed in accordance with the criteria. However, the extent to which these criteria should also apply to processing facilities that are part of the supply chain for sustainable palm oil, but are outside of growing areas, needs to be confirmed.

4.2. National interpretation of the RSPO criteria

The RSPO Criteria are international and therefore have to be applicable to all oil palm plantations everywhere in the world. For some of the criteria, there will be little difference in the way they should be implemented. For other criteria there may be significant differences because of different legal, geographical or socio-economic factors in different countries. For these latter criteria, it is necessary to develop detailed guidance or indicators at a national level. Therefore, some form of national interpretation of the RSPO Criteria is required.

Some suggestions for national interpretation of criteria have been included in the draft guidance sections in this document. Comments on these are particularly welcomed. However, the potential framework for national interpretation of the RSPO Criteria is a fundamental issue, and does require further specific consideration.

Developing national interpretations

This is particularly important once there is the potential for making claims related to the RSPO criteria. When processors and end-users begin to demand palm oil from plantations implementing the RSPO Criteria, there will need to be a mechanism for demonstrating compliance and controlling any claims (see 4.3 below). In order to clearly demonstrate and then verify compliance, there has to be clarity about what constitutes adequate conformance; national interpretation of the criteria, with detailed indicators and/or guidance, is extremely important in this respect.

The process for national interpretation should probably mirror the process undertaken for the international development, but with the expectation that it will be significantly shorter and less resource-intensive.

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Interim interpretation

It is quite likely that in some countries there will be companies which are keen to begin using the RSPO Criteria before a full national interpretation has been made. In order to do this, the company would need to undertake an interim interpretation of the RSPO Criteria to provide guidelines for local use.

The advantages of this approach are:

 Companies operating in countries where the national interpretation process is slow will not be at a disadvantage relative to those in countries where the national interpretation has already been undertaken.

 Early implementation provides practical experience which can then inform the national interpretation process.

The disadvantages are:

 There can be some controversy about who is involved in the development of local guidelines and the interpretation that they develop.

RSPO recognition or control

In order to keep overall control of the quality of any set of criteria claiming to be official interpretations of the RSPO Criteria, it may be necessary to require some form of endorsement or recognition of national interpretations and even local guidelines by RSPO through the Criteria Working Group or its successor. This is normal practice with other international sets of criteria and involves the development and use of a procedure where any new interpretation is checked to ensure that:

 The development process met all requirements in terms of participation, consultation and decision-making.

 The content of the national criteria is compatible with the full international RSPO Criteria.

The Criteria Working Group needs to decide whether such recognition will be required and, if it is, how it should be undertaken.

4.3. Verification of compliance with the RSPO criteria and control of claims

The CWG have indicated that no public claims should be made regarding compliance with the RSPO Criteria for Sustainable Palm Oil pending official publication of the rules governing their use by the RSPO Executive Board. Guidance is required on the following:

 How verification of compliance with the principles and criteria should be undertaken;

 Possible mechanisms for linking plantations to product;

 Use of public claims concerning compliance;

RSPO is now progressing a separate project to look at options for linking palm oil use to plantations that are managed in accordance with the criteria. Details are available from RSPO. Recommendations concerning verification and public claims are outlined below.

It is envisaged that when the RSPO Criteria have been completed they will be widely implemented and that processors and end users of palm oil will begin specifying their preference for ‘RSPO Palm Oil’. However, in order to be sure that any oil being bought and sold as ‘RSPO Palm Oil’ really is from plantations implementing the RSPO Criteria there will need to be a mechanism for verifying implementation of the Criteria and controlling any claims made.

There are three possible approaches to verification, all of which are used widely in industry and all of which could potentially be used to verify that the RSPO Criteria are being implemented in a particular plantation:

First party verification: this is verification which is undertaken by the producer themselves. This approach is widely used for internal auditing as part of a company’s own management, and is a requirement of standards such as ISO 9000 and ISO 14001. However, it is not considered to be credible for making external claims as there is no independent confirmation that the claims made are accurate.

Therefore, while all RSPO producing members and supporters should be encouraged to undertake internal verification of their compliance with the RSPO criteria to make sure that they are doing a good job, it is not recommended that this should form the basis for any external claims.

Second party verification: this is used to describe verification of compliance when it is undertaken by someone with a relationship to the producer such as a customer or a customer’s representative. This is a very important and useful form of verification, and is widely used in industry to allow a buyer to confirm that their requirements – for quality, safety, environmental protection or anything else – are being met. This type of approach is very useful for business-to-business relationships between two organisations. However, because the organisation carrying out the verification is not completely independent any public claims based on such verification are likely to lack credibility.

Therefore, it is recommended that this option should be available for business-to-business relationships between two companies but should not be used for verification related to public claims.

Third party verification: this type of verification of compliance is undertaken by a person or organisation independent of both the producer and the customer and is therefore considered to be the most credible form of verification to form the basis for public claims. This is because the person or organisation undertaking the verification, if they are independent, has no interest in any particular outcome and so is most likely to give an accurate account of the real situation.

It is recommended that all public claims about compliance with the RSPO Criteria should be based on third party verification. However, the Criteria Working Group will need to consider

how this verification process should be managed. If third party verification is used as the basis for verification underlying public claims about the RSPO Criteria, then there are three ways in which these issues can be managed.

 One approach is for the Criteria Working Group or its successor to develop detailed requirements for third party verifiers together with a mechanism for ensuring that verifiers meet these requirements. This approach would allow RSPO to remain in control of the criteria, and to develop their use in a way which suited the Roundtable members and supporters. It would also make it easier to control the costs of the system. However, to make it rigorous and credible would involve a considerable amount of work which should not be underestimated.

 An alternative is the development of an accredited certification scheme. Independent certification is widely used globally for implementing a wide range of standards including quality, safety, technical specifications and management systems such as ISO 9001. It addresses all of the issues raised above for third party verification and has a high degree of recognition and credibility. However, it can be expensive to develop, maintain and implement for the verifier and is relatively inflexible.

 Thirdly, it is possible to combine the above two approaches, by having an external accreditation as a component of RSPO approval.

Verification provides the basis for making claims about compliance with the RSPO criteria. The Criteria Working Group will also need to consider what can be communicated, and how. It is essential to the long-term credibility of the RSPO criteria that claims relating to compliance are adequately controlled, to ensure that they are accurate and verifiable. The international standard ISO 14020 deals with environmental claims, and states that all claims should be ‘through communication of verifiable, accurate information, that is not misleading….’.

Claims can be controlled through a simple set of rules, a code of practice, and/or guidance, linked to the verification process. The issues to be covered should include: business-to- business correspondence and sales documentation where compliance is claimed, use of claims either off-product (in promotional material) or on-product (linked to supply chain verification), and the use of specific logos and/or approved statements.

40 of 52 RSPO Draft Criteria for Sustainable Palm Oil. Public consultation draft version 2. 25 May 2005 Appendix 1: Proposed definitions

Customary rights: Rights which result from a long series of habitual or customary actions, which have acquired the force of a law within a geographical or sociological unit6.

Environmental Impact Assessment: a process of predicting and evaluating the effects of an action or series of actions on the environment, then using the conclusions as a tool in planning and decision- making.

High Conservation Value Forest (HCVF): The forest necessary to maintain or enhance one or more High Conservation Values (HCVs):

 HCV1. Forest areas containing globally, regionally or nationally significant concentrations of biodiversity values (e.g. endemism, endangered species).

 HCV2. Forest areas containing globally, regionally or nationally significant large landscape level forests, contained within, or containing the management unit, where viable populations of most if not all naturally occurring species exist in natural patterns of distribution and abundance.

 HCV3. Forest areas that are in or contain rare, threatened or endangered ecosystems.

 HCV4. Forest areas that provide basic services of nature in critical situations (e.g. watershed protection, erosion control).

 HCV5. Forest areas fundamental to meeting basic needs of local communities (e.g. subsistence, health).

 HCV6. Forest areas critical to local communities’ traditional cultural identity (areas of cultural, ecological, economic or religious significance identified in cooperation with such local communities).

(See: ‘The HCVF Toolkit’ – available from www.proforest.net)

ISO Standards: Standards developed by the International Organization for Standardization (ISO: see http://www.iso.ch/iso).

Natural vegetation: Areas where many of the principal characteristics and key elements of native ecosystems such as complexity, structure and diversity are present.

Plantation: The land containing oil palm and associated land uses such as infrastructure (e.g., roads), riparian zones and conservation set-asides.

Primary Forest: A forest with the principal characteristics of native ecosystems such as complexity, structure, and diversity and an abundance of mature trees, relatively undisturbed by human activity.

Restore: Returning degraded or converted areas within the plantation to a semi-natural state.

Smallholders: farmers growing oil palm, sometimes along with subsistence production of other crops, where the family provides the majority of labour and the farm provides the principal source of income and where the planted area of oil palm is usually below 50 hectares in size.

Stakeholders: An individual or group with an interest in, or affected by, the activities of an organisation and the consequences of those activities.

6 Note that ‘customary rights’ does not lend itself readily to a formal definition. For example, customary rights are dynamic and flexible (responding to drought, migration, colonialism, etc) and vary greatly between different communities. The CWG should discuss this in detail.

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Undue influence: The exertion by a third party of any kind of control such that a person signs a contract or other agreement which, absent the influence of the third party, he would not have signed.

Use rights: Rights for the use of forest resources that can be defined by local custom, mutual agreements, or prescribed by other entities holding access rights. These rights may restrict the use of particular resources to specific levels of consumption or particular harvesting techniques.

Appendix 2: A guide to some key international standards, as supplementary reference to social criteria

Provided by Forest Peoples Programme and Sawitwatch

Principles International Standards Key Provisions Summary of Protections Just Land Acquisition ILO Convention 169 (1989) on Articles 13-19 Respect and safeguard rights to lands and natural resources traditionally Indigenous and Tribal Peoples occupied and used; respect for customs of inheritance; no forced removals; compensation for loss and injury. UN Convention on Biological Article 10c Protect and encourage customary use of biological resources in accordance with Diversity (1992) traditional practices. Fair Representation and ILO Convention 169 (1989) on Articles 6-9 Represent themselves through their own representative institutions; Participation of Indigenous Indigenous and Tribal Peoples consultations with objectives of achieving agreement or consent; rights to decide and Tribal Peoples their own priorities, retain their own customs and resolve offences according to customary law (compatible with international human rights). Convention on the Elimination of All UN CERD Committee, UN Free, Prior and Informed Consent for decision that may affect indigenous Forms of Racial Discrimination, Committee on Social peoples. International Covenant on Cultural and Economic (This standard has been widely accepted as a ‘best practice’ standard by bodies Economic, Social and Cultural Rights, InterAmerican such as World Commission on Dams, Extractive Industries Review, Forest Rights, InterAmerican Human Commission on Human Stewardship Council, UNDP, CBD, IUCN and WWF). Rights System Rights7 No Forced Labour ILO Convention 29 (1930) Forced Article 5 No concession to companies shall involve any form of forced or compulsory Labour labour ILO Convention 105 (1957) Article 1 Not make use of any form of forced or compulsory labour.

7 For details see www.forestpeoples.org

Principles International Standards Key Provisions Summary of Protections Abolition of Forced Labour Protection of Children ILO Convention 138 (1973) Articles 1-3 Abolition of child labour and definition of national minimum age for labour not Minimum Age less than 15-18 years (depending on occupation). ILO Convention 182 (1999) Worst Articles 1-7 Abolition of child slavery, debt bondage, trafficking and procurement for Forms of Child Labour prostitution; suitable methods to monitor and enforce compliance. Freedom of Association and ILO Convention 87 (1984) Freedom Articles 2-11 Freedom to join organisations, federations and confederations of their own Collective Bargaining of Association and Protection of choosing; with freely chosen constitutions and rules; measures to protect the Rights to Organise right to organise ILO Convention 98 (1949) Right to Articles 1-4 Protection against anti-union acts and measures to dominate unions; established Organise and Collective Bargaining means for voluntary negotiation of terms and conditions of employment through collective agreements ILO Convention 141 (1975) Rural Articles 2-3 Right of tenants, sharecroppers and smallholders to organise; freedom of Workers’ Organisations association; free from interference and coercion. Non-Discrimination and ILO Convention 100 (1951) Equal Articles 1-3 Equal Remuneration for men and women for work of equal value. Equal Remuneration Remuneration ILO Convention 111 (1958) Articles 1-2 Equality of opportunity and treatment in respect to employment and occupation; Discrimination (Employment and no discrimination on the basis of race, colour, sex, religion, political opinion, Occupation) national extraction or social origin. Just Employment of ILO Convention 97 (1949) Articles 1-9 Provision of information; no obstacles to travel; provision of health care; non- Migrants Migration for Employment discrimination in employment, accommodation, social security and remuneration; no forced repatriation of legal migrant workers; repatriation of savings. ILO Convention 143 (1975) Migrant Articles 1-12 Respect basic human rights; protection of illegal migrants from abusive Workers (Supplementary employment; no trafficking in illegal migrants; fair treatment of migrant labour. Provisions)

Principles International Standards Key Provisions Summary of Protections Protection of Plantation ILO Convention 110 (1958) Articles 5-91 Protection of members of families of recruited workers; protection of workers’ Workers8 Plantations rights during recruitment and transport; fair employment contracts; abolition of penal sanctions; fair wages and conditions of work; no coercion or obligation to use company stores; adequate accommodation and conditions; maternity protection; compensation for injuries and accidents; freedom of association; right to organise and collective bargaining; proper labour inspection; decent housing and medical care. Protection of Tenants and ILO Recommendation 132 (1968) Articles 4-8 Fair rents; adequate payment for crops; provisions for well-being; voluntary Sharecroppers Tenants and Sharecroppers organisation; fair contracts; procedures for the settlement of disputes. Protection of Smallholders ILO Convention 117 (1962) Social Article 4 Alienation with due regard to customary rights; assistance to form cooperatives; Policy (Basic Aims and Standards) tenancy arrangements to secure highest possible living standards. Health and Safety ILO Convention 184 (2001) Safety Articles 7-21 Carry out risk assessments and adopt preventive and protective measures to and Health in Agriculture ensure health and safety wrt workplaces, machinery, equipment, chemicals, tools and processes; ensure dissemination of information, appropriate training , supervision and compliance; special protections for youth and women workers; coverage against occupational injuries and disease. Control or Eliminate Use of Stockholm Convention on Articles 1-5 Prohibit and/or eliminate production and use of chemicals listed in Annex A (e.g. Dangerous Chemicals and Persistent Organic Pollutants Aldrin, Chlordance, PCB); restrict production and use of chemicals in Annex B Pesticides (2001) (e.g. DDT); reduce or eliminate releases of chemicals listed in Annex C (e.g. Hexachlorobenzene). FAO International Code of Conduct Article 5 Curtail use of dangerous pesticides where control is difficult; ensure use of on the Distribution and Use of protective equipment and techniques; provide guidance for workers on safety Pesticides (1985, Revised 2002) measures; provide extension service to smallholders and farmers; protect workers and bystanders; make available full information on risks and protections;

8 Convention 110 Article 1(1) defines a plantation as ‘an agricultural undertaking regularly employing hired workers…concerned with the cultivation or production of…[inter alia] palm oil…’

Principles International Standards Key Provisions Summary of Protections protect biodiversity and minimise impacts on environment; ensure safe disposal of waste and equipment; make provisions for emergency treatment for poisoning. Rotterdam Convention on Prior and Articles 1, 5 and 6 Curb trade in banned and hazardous chemicals and pesticides; develop national Informed Consent Procedure for procedures for control of their use and trade; list banned and hazardous Certain Hazardous Chemicals and chemicals and pesticides. Pesticides in International Trade (1998)

Appendix 3: Measurable indicators for sustainable palm oil criteria, to supplement criterion 8.1

The action plan for continual improvement should be based on a consideration of the main social and environmental impacts and opportunities of the grower/mill, and should include a range of parameters covered by these principles and criteria. As a minimum, these should include, but not necessarily be limited to:

 Soil fertility (criterion 4.2)

 Reductions in chemical use (criterion 4.6)

 Waste reduction (criterion 5.4)

 Energy use (criterion 5.5)

 Pollution and emissions (criterion 5.7)

This appendix includes a draft reference list of potential indicators for measurement under each principle, as the basis for developing action plans.

Jason Clay and Simon Lord of the CWG prepared a first draft of measurable indicators for the different principles and criteria. Measurable indicators developed by Unilever have subsequently been incorporated. The draft indicators are presented below for each Principle.

Principle 1—Commitment to Transparency

All the measurable indicators listed below constitute an attempt to translate process and guidance-oriented documents into more transparent results-oriented approaches. As such there are no measures for transparency. Posting documents is a “yes/no” issue and therefore an all-or-nothing indicator. This is something that can be monitored as part of certification, but not specifically as part of measurable indicators.

Principle 2—Compliance with Applicable Laws and Regulations

 Number of current cases before the courts (e.g. regarding worker complaints or compensation claims, fatalities, landowner groups, corrective actions, suppliers, etc.) [2.1, 2.2]

 Citations from regulators or permitting agencies (e.g. DoE, DoA, HCCP(sp), etc.) [2.1, 2.2]

 Written complaints involving environmental issues (e.g. pesticides, water quality, emissions, fish kills, human/wildlife conflicts [2.1, 4.6, 4.7]. In the case of a formal EMS, these would be documented and chronicled (with unique number).

Principle 3—Management Planning that Aims to Achieve Long-term Economic and Financial Viability

 Profit and loss (e.g p/e ratio, net profits, profit per MT of product—moving average) [3.1, 3.2] This and the next are only applicable to public companies, and even then not if the public company is a holding company with non-palm oil interests.

 Dividend payments [3.1, 3.2]

 Product quality or contamination complaints [3.2]

Principle 4—Use of Appropriate Best Practices in Producing Areas and Mills

Several of these raise the question of whether we are just looking for continuous improvement over a starting value, or want a minimum value which must be achieved to qualify as sustainable. The former is easy, the latter much harder.

 Organic matter [4.2, 4.3, 4.6]

 Soil compaction [4.3]

 Incidents of fish kill [4.6] could be linked with complaints

 Water use (e.g. nursery, ditch and field irrigation, plants, housing compounds) [4.4]

 FFB MT/Ha [4.2] Actual values would have to be compared with a ‘site potential’.

 OER [4.1] Actual values must take account of plantation age – and no-one in Malaysia would meet any reasonable criterion.

 Average inorganic fertilizer use per MT of production [4.2] Depends on soil, among other things. Presumably here we are looking for continuous diminution.

 Energy use per MT of total palm product CPO and PKO [see also 5.4, 5.5]

 Non-renewable energy used (e.g. on farm, in mills, refineries [see also 5.4, 5.5] as a percentage of total energy consumed or generated

 Proportion of ha receiving organic, recycled materials [4.3]

 Percent of bare earth in the oil palm stand [4.3, 4.4]

 Percent of earth covered with broad-leafed plants or planted cover. Why ‘broad-leaved’ plants – which excludes grasses?

 Percentage of roads (in km) gravelled [4.3, 4.4] As opposed to what?

 Percentage of total budget spent repairing roads [4.3, 4.4] More, or less? Can be decreased by not repairing

 Toxicity units of pesticides used as a ratio of FFB produced on a/ha basis [4.5, 4.6]

 Reduced effluents (e.g. TSS, BOD, COD, pH/conductivity/salinity, oil and grease) [4.1, 4.4, 4.7]

 Total SS in drains [4.3, 4.4, 4.7]

 Incidence of controlled burning [4.5] also 12 MRT

 Area of controlled burning as a percent of total area planted [4.5] also 12 MRT

 Use of compost in established nursery

 Proportion of mills with zero effluent discharge

 Mill water use/MT of product

 Decline in solid waste production per MT of CPO produced

Human wildlife conflicts reported [4.7] see principle 2

NB: In addition to a company’s activities and impacts, those of contractors working on the farm should also be measured if they are not already included.

Principle 5—Environmental Responsibility and Conservation of Natural Resources and Biodiversity

 Increased numbers of key species against baseline (given toxicity issues, water, bird, and/or beneficial insect populations may be key and easiest to measure) [5.1]

 Ratio of km of bunds vs. ha planted (e.g. an indicator of wetlands lost) [5.1]

 Ratio of km of elephant fences and ditches vs. area planted (e.g. an indicator of wildlife corridors disrupted) [5.1]

 Annual expenditure of total budget on bunds or elephant fences or ditches as percent of total budget [5.1] Expenditure on replanting after pest damage is another possibility (included under principle 7).

 Ratio of areas of marginal productivity that have been abandoned or replanted with native species compared to productive areas [5.1]

 Number of human/wildlife conflicts on plantation [5.1, see principle 1]

 Number of human/wildlife conflicts adjacent to plantations [5.1 see principle 1]

 Ratio of non-planted to planted areas within developed areas [5.2]

 Area of buffer riparian strips [5.2]

 Expenditures to replant low areas that had been flooded [5.2]

 Ratio of fiber and shell burned per MT of CPO [5.3]

 Ratio of renewable energy (e.g. from fiber and shell) is increased [5.3, 5.4]

 Total boiler ash applied (e.g. road or field) [5.3] Should be field, not road – contains nutrients.

 Ratio of EFB applied vs. digested [5.3] EFB is not digested.

 Ratio of POME field applied vs. digested [5.3] Field application of raw effluent is illegal in Malaysia at present.

 Spent bleached earth applied vs. produced [5.3] Refineries, not palm oil estates

 Ha of land burned vs. ha in cultivation [5.4] This is principle 7, not 5.

 Emissions are reduced (e.g. could measure methane, POME, shells, ash, carbon) [5.4] from the mill

 Crop genetic diversity. It is important for sustainabilty to ensure that this is preserved, not necessarily within the plantation, but somewhere within the industry (gene bank, in or ex situ collection, etc)

Principle 6—Responsible Consideration of Employees and of Individuals and Communities Affected by Production and Milling of Palm Oil

 Number of disputes or claims (separated for new and old developments) [6.1, 6.2, 6.3]

 Pay package as percentage of minimum wage [6.4]

 Conditions and benefits as a ratio of minimum wage [6.5]

 Percentage of total expenditures spent on non required benefits (e.g. schools, clinics, community projects [6.8]

 Per worker payment for community development projects [6.9]

 Percentage of staff turnover [6.4]

 Coliform and fecal coliform levels in potable water [6.5]

 Total pesticide use [4.5]

 Total pesticide toxicity [6.5]

 Occupational injury per worker category [6.5]

 Percentage of staff trained each year [6.9]

 Money spent on training as a percent of total expenditures [6.9]

 Expenditures or person days of training mills give smallholders about SPO [6.8]

 Number of days of training staff receive each year [6.9]

 Proportion of goods and services sourced locally [6.10]

NB: the indicators should also be applied to contract workers as well that work on site.

Principle 7—Responsible Development of New Areas of Production

 Ratio of planted area to total area of concession [7.1]

 Km of streams that flow only part of the year that remain in planted areas [7.1, 7.3]

 Mm of topsoil bulldozed in order to plant (e.g. to windrow downed trees, create terraces, build infrastructure, etc.) [7.2] Topsoil is moved, not removed, so mean will be zero.

 Ratio of the number of individuals of key species present on estate after planting compared to baseline surveys [7.1, 7.3]

 Ratio of km of bunds vs. ha planted (e.g. an indicator of wetlands lost) [7.1, 7.3, 7.4]

 Area of buffer riparian strips [5.2]

 Expenditures to replant low areas that had been flooded [5.2]

 Ratio of km of elephant fences and ditches vs. area planted (e.g. an indicator of wildlife corridors disrupted), and level of annual expenditure on these [7.1, 7.3, 7.4]

 Ratio of trees replanted due to elephant damage to total number of trees [7.1, 7.3, 7.4]

 Ratio of trees replanted due to flooding to total number of trees planted [7.1, 7.3, 7.4]

 Annual expenditure on bunds or elephant fences or ditches as percent of total budget [7.1, 7.3, 7.4]

 Annual expenditure on trees replanted as a percentage of total budget [7.1, 7.3, 7.4]

 Annual expenditure on road, bund, fence and other infrastructure repairs as a percentage of total budget [7.1, 7.3, 7.4]

 Number of land and compensation claims in court or with filed with regulatory or permitting agencies [7.5, 7.6]

 Incidents of fires [7.7]

 Ratio of area burned to total area planted [7.7]

Principle 8—Commitment to Continual Improvement in All Areas of Activity

These measures are now fully embedded within each of the other principles. Every attempt has been made to identify measures/metrics for each of the criteria, but this is not always possible. In addition, there are a few key measures that appear to be important but that do not fit under any of the current criteria.

Appendix 3 51 of 52