Audit Report 3rd Annual Surveillance for PT. SMART Tbk. Batu Ampar Mill and Its Supply Bases RSPO20006 RSPO Membership number: 1-0019-05-000-00 Audited Address: Batu Ampar Mill: Kecamatan Kelumpang Hilir, Kabupaten Kotabaru, South Kalimantan, Indonesia Its Supply Bases: Batu Ampar Estate Kecamatan Kelumpang Hilir, Kabupaten Kotabaru, South Kalimantan, Indonesia Batu Mulia Estate Kecamatan Kelumpang Hilir, Kabupaten Kotabaru, South Kalimantan, Indonesia Sungai Panci Estate Kecamatan Kelumpang Hilir, Kabupaten Kotabaru, South Kalimantan, Indonesia Sungai Panci Plasma Kecamatan Kelumpang Hilir, Kabupaten Kotabaru, South Kalimantan, Indonesia Date of audit: 08/08/2015
COMMERCIAL- IN – CONFIDENCE I The contents of this report must not be disclosed to a third party without the agreement of the SAI Global Client
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Table of contents
Page
Executive Overview Abbreviations Used
4 5
1.0 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13
SCOPE OF THE ASSESSMENT Introduction Audit Objective Scope of Certification Location of Mill and Estates Description of Supply Base Date of Plantings Area of Plantation Approximate tonnage offered for certification (CPO and PK) Other certificates held Organizational information/contact person Timebound plan for other management unis Partial Certification Requirements Date of Issue of Certificate dan Date of Previous Assessment
7 7 7 7 8 10 10 11 12 15 15 15 19 20
2.0 2.1 2.2 2.3 2.4 2.5
AUDIT PROCESS Certification Body Audit Methodology Qualification of the Lead Auditor and Audit Team Members Stakeholder Consultation Date of Next Surveillance Visit
20 20 21 22 23 24
3.0 3.1 3.2 3.3 3.3.1 3.3.2 3.3.2.1 3.3.2.2 3.4 3.5
AUDIT FINDINGS Action taken on previous audit issues Claim and use of certification mark and or logo Description of audit findings RSPO Principle and Criteria RSPO Supply Chain RSPO Supply Chain Standard – Module E Mass Balance RSPO Supply Chain System Recommendation Environmental and social risk for this scope of certification for planning of the surveillance audit Acknowledgement of Internal Responsibility and Formal Sign-off of Assessment Findings
3.6
List of Tables 1 Mill and Estates GPS Locations 2 Batu Ampar Mill Estimated FFB Production of the Supply Bases 2015 3 Estates Age Profiles of Planted Palms 2014 4 Estates Area Planted 2014 5 Land Use Summaries 2014 6 FFB Production Trend 2011-2013 7 Total CPO and PK Production 2014 and Estimate Production of 2015 8 Actual Production of Certified CPO and PK, Actual volume since date of last reporting period Doc ID: 3843 / Issue Date May, 2014
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24 24 24 25 25 124 124 128 129 129 129 Page 8 10 10 11 11 12 13 13
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Table of contents 9 10 11 12
Page
Estimated Production of Certified CPO and PK Other Certificates Held by Mill and Estates RSPO Certification Time Bound Plan List of internal and external stakeholder
14 15 16 23
List of Figures 1 Map of Mill and Estates
Page
List of Appendices A Audit Plan B Previous nonconformities, corrective actions and status C Nonconformities, Corrective Actions and Observations Summary D Stakeholder’s issues and comment E Definition of, and action required with respect to audit findings
Page 130 134 144 148 150
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Executive Overview This is the third (3rd) annual surveillance audit visit on August 4th to 8th 2015 against the Generic RSPO Principles and Criteria for Sustainable Palm Oil Production, May 2013 and RSPO Supply Chain Certification Standard, CPO Mill, Module E Mass Balance, November 2014. PT. SMART Tbk, Batu Ampar Mill operations comprising 1 (one) Palm Oil Mill and 4 (four) FFB supply bases comprising 1 (one) oil palm estates owned by PT. SMART Tbk, 1 (one) oil palm estate owned by PT. Tapian Nadenggan (subsidiary of SMART), 1 (one) oil palm estate owned by PT. Sinar Kencana Inti Perkasa (subsidiary of GAR) and 1 (one) scheme smallholder owned by “Gajah Mada” cooperative, fully managed by PT. Sinar Kencana Inti Perkasa. There were also supply base from independent third party which excluded from the scope of certification. Two (2) minor and two (2) major non-conformances were issued during this audit. The organization has followed up by submitting correction and corrective action plan. Follow up audit for verification on the correction and corrective action of the major and minor NCR issued was done on 8 August 2015. The issued findings in the 3rd annual surveillance audit has been rectified and considered as closed. The audit concluded that PT. SMART Tbk, Batu Ampar Mill and its supply bases operation were found complies with the requirements of the Generic RSPO Principles and Criteria for Sustainable Palm Oil Production, May 2013 and RSPO Supply Chain Certification Standard, CPO Mill: Module E Mass Balance, November 2011. The estimate figures of production offered for certification 2015 are: Estimated tonnage of certified CPO produced Estimated tonnage of certified PK produced
50,466 MT 12,616 MT
Therefore PT. SMART Tbk, Batu Ampar Mill and supply bases can continues to be certified as RSPO Mass Balance Model CPO and PK producer.
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Abbreviations Used AAA AMDAL BHL BKM BLH BOD BPN CEO CO COD CPO CSR D&L EFB FFB GAR GPS HCV HGB HGU HNAE HNAM HPH IDR IMT IPM ISO IUP KCP KTU KUD kWH LD LNGE LOTO MAA MCAR MSDS MT NGO OHS OIA P2K3 PK PKB PKWT POM POME PP
Agronomy Advisory Audit Environmental and Social Impact Analysis (Analisis Dampak Lingkungan) Daily basis paid workers (Buruh Harian Lepas) Log book of group leader activity (Buku Kegiatan Mandor) Local Agency of Environmental (Badan Lingkungan Hidup) Biological Oxygen Demand National Land Agency (Badan Pertanahan Nasional) Chief Executive Officer Carbon Monoxide Chemical Oxygen Demand Crude Palm Oil Corporate Social Responsibility Document and Legal Empty fruit bunches Fresh Fruit Bunch Golden Agri-Resources Limited Global Positioning High Conservation Value Building Use Title (Hak Guna Bagunan) Land Use Title (Hak Guna Usaha) Hanau Estate Hanau Mill Forest Authority Concession (Hak Penguasaan Hutan) Indonesian Rupiah PT. Ivo Mas Tunggal Integrated Pest Management International Standards Organisation Plantation Operation Permit (Izin Usaha Perkebunan) Kernel Crushing Plant Head of Administration (Kepala Tata Usaha) Village Unit Cooperatives (Koperasi Unit Desa) Kilo Watt Hour Lethal Dosage Langadang Estate Lock out tag out Mill Advisory Audit Management Committee Agronomy and Research Material Safety Data Sheet Metric Ton Non Government Organisation Occupational Health and Safety Operation Internal Audit Safety Commitee Palm Kernel Mutual Working Agreement (Perjanjian Kerja Bersama) Contracted worker (Pekerja Waktu Tertentu) Palm Oil Mill Palm Oil Mill Effluent Company Regulation (Peraturan Perusahaan)
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PPE PSM RABQSA RKL RPL RSPO SA SCCS SHM SIA SKU SMD SMARTRI SOP SPM TLV TMSE TPRE TSS VPA WWTP
Personal Protective Equipment Sinar Mas Estate (Perkebunan Sinar Mas) Quality Society of Australia Environmental Management Plan (Rencana Pengelolaan Lingkungan) Environmental Monitoring Plan (Rencana Pemantauan Lingkungan) Roundtable on Sustainable Palm Oil Social Accountability Supply Chain Certification System Land Own Title (Sertifikat Hak Milik) Social Impact Assessment Permanent worker (Satuan Kerja Unit) Senior Managing Director SMART Research Institute Standard Operation Procedure Independent Worker Union (Serikat Pekerja Mandiri) Threshold Limit Value Tasik Mas Estate Tanjung Paring Estate Total Suspended Solid Vice President of Agronomy Waste Water Treatment Plant
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1.0 1.1
SCOPE OF THE ASSESSMENT
Introduction
SAI Global conducted annual surveillance audit of PT. SMART Tbk, Batu Ampar Mill and its supply bases on August 4th to 8th 2015. The purpose of this audit report is to summarise the degree of compliance with the relevant criteria, as defined on the cover page of this report, based on the evidence obtained during the audit of your organisation. SAI Global audits are carried out within the requirements of SAI Global procedures which also reflected the requirements and guidance provided in the international standards relating to audit practice such as ISO/IEC 17021, ISO 19011, RSPO Certification System, relevant RSPO Supply Chain Certification System and other normative criteria. SAI Global Auditors are assigned to audits according to industry, standard or technical competencies appropriate to the organisation being audited. Details of such experience and competency are maintained in our records. The audit team is detailed in the attached audit record. In addition to the information contained in this audit report, SAI Global maintains files for each client. These files contain details of organisation size and personnel as well as evidence collected during preliminary and subsequent audit activities (Documentation Review and Scope) relevant to the application for initial and continuing certification of your organisation. Details of your primary contact persons and their contact details and site addresses are also maintained. Please take care to advise us of any change that may affect the application/certification or may assist us to keep your contact information up to date, as required by SAI Global Terms and Conditions. Please note that this report is subject to independent review and approval. Should changes to the outcomes of this report be necessary as a result of the review, a revised report will be issued and will supersede this report.
1.2
Audit Objective
This is the 3rd annual surveillance audit. The purpose of this audit was to determine continuing compliance of your organization’s management system with the audit criteria Generic RSPO Principles and Criteria for Sustainable Palm Oil Production, May 2013 and RSPO Supply Chain Certification Standard, CPO Mill, Module E Mass Balance, November 2014 and its effectiveness in achieving continual improvement and system objectives. Also to verify the volume of certified and uncertified FFB entering the mill and volume sales of RSPO certified producers. 1.3
Scope of certification
The scope of certification is the CPO and PK production from one (1) Palm Oil Mill and FFB supply bases comprising three (3) oil palm estates owned by PT. SMART Tbk, PT. Tapian Nadenggan (subsidiary of SMART), PT. Sinar Kencana Inti Perkasa (subsidiary of GAR) and one (1) scheme Doc ID: 3843 / Issue Date May, 2014
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smallholder owned by “Gajah Mada” Cooperative, fully managed by PT. Sinar Kencana Inti Perkasa. A. Palm Oil Mill Batu Ampar Mill (BAMM), PT. SMART Tbk. Address : Kecamatan Kelumpang Hilir, Kabupaten Kotabaru, South Kalimantan, Indonesia Mill Capacity : 60 MT/hour B. FFB Suply Bases (1) Batu Ampar Estate (BAME), PT. Tapian Nadenggan (subsidiary of SMART) Address : Kecamatan Kelumpang Hilir, Kabupaten Kotabaru, South Kalimantan, Indonesia (2) Batu Mulia Estate (BMLE), PT. SMART Tbk. Address : Kecamatan Kelumpang Hilir, Kabupaten Kotabaru, South Kalimantan, Indonesia (3) Sungai Panci Estate (SPNE), PT. Sinar Kencana Inti Perkasa (subsidiary of GAR) Address : Kecamatan Kelumpang Hilir, Kabupaten Kotabaru, South Kalimantan, Indonesia (4) Sungai Panci Plasma (SPNA), scheme smallholder owned by “Gajah Mada” Cooperative, fully managed by PT. Sinar Kencana Inti Perkasa (subsidiary of GAR) Address : Kecamatan Kelumpang Hilir, Kabupaten Kotabaru, South Kalimantan, Indonesia
1.4
Location of mill and estates
PT. SMART Tbk, Batu Ampar Mill and its supply bases are located in South Kalimantan Province. The geographical coordinate of the mill and estates are shown on Table 1. Table 1: Mill and Estates GPS Locations MILL AND ESTATE Batu Ampar Mill, PT. SMART Tbk.
EASTING
SOUTHING
116° 01' 19"
3° 11' 53"
Batu Ampar Estate, PT. Tapian Nadenggan
116 01' 28''
3o 14' 07''
Batu Mulia Estate, PT. SMART Tbk Sungai Panci Estate, PT. Sinar Kencana Inti Perkasa Sungai Panci Plasma, PT. Sinar Kencana Inti Perkasa
116o 06' 17''
3o 11' 55''
116o 01' 32''
3o 09' 16''
115o 59' 55''
3o 09' 44''
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Figure 1 Map of Mill and Estates Location
Source: PT. SMART Tbk. October 2014
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1.5
Description of supply base
The FFB sources are four (4) oil palm estates comprising 1 (one) oil palm estates owned by PT. SMART Tbk, 1 (one) oil palm estate owned by PT. Tapian Nadenggan (subsidiary of SMART), 1 (one) oil palm estate owned by PT. Sinar Kencana Inti Perkasa (subsidiary of GAR) and 1 (one) scheme smallholder “Gajah Mada” Cooperative as full managed plasma (managed by PT. Sinar Kencana Inti Perkasa) and other third party which excluded from certification. The areas and FFB production of the plantations are shown on Table 2. Table 2: Batu Ampar Mill Estimated FFB Production of the Supply Bases 2016 ESTATE
TOTAL AREA (HA)
PLANTED AREA (HA)
FFB (TON/YEAR)
BAME
4,719.673
3,458.10
85,965.67
BMLE
2,929.037
2,651.21
57,106.05
SPNE
4,077.400
3,735.44
40,542.42
SPNA
3,247.490
3,246.71
35,804.67
NA
NA
44,400.00
Independent FFB Suppliers Total
263.818,81
Source: PT. SMART Tbk, Agustus 2015
1.6
Date of plantings Table 3: Estates Age Profiles of Planted Palms 2015
YEAR
BAME (HA)
BMLE (HA)
SPNA (HA)
SPNE (HA)
SUM (HA)
% OF PLANTED AREA
1991
-
-
499.39
-
499.39
3,82
1992
-
297.57
1,656.82
-
1,954.39
14,93
1993
1,190.11
1,581.18
768.54
-
3,539.83
27,04
1994
-
501.83
57.60
-
559.43
4,27
1996
-
270.63
-
-
270.63
2,07
1997
-
-
538.30
739.94
1,278.24
9,76
1998
94.79
-
214.79
1,358.59
1,668.17
12,75
1999
529.28
-
-
-
529.28
4,04
2000
-
-
-
599.64
599.64
4,58
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BAME (HA)
YEAR
BMLE (HA)
SPNA (HA)
SPNE (HA)
SUM (HA)
% OF PLANTED AREA
2001
-
-
-
463.06
463.06
3,54
2005
1,002.95
-
-
85.48
1,088.43
8,31
2006
390.52
-
-
-
390.52
2,98
2007
250.45
-
-
-
250.45
1,91
3,458.10
2,651.21
3,735.44
3,246.71
13,091.46
100,00
Total Planted Area
Source: PT. SMART Tbk, August 2015
1.7
Area of plantation
The areas details for organisation owned estates are shown on Table 4 and 5. Table 4: Estates Area Planted 2015 ESTATE
MATURE (HA)
IMMATURE (HA)
BAME
3,458.10
0
BMLE
2,651.21
0
SPNE
3,735.44
0
SPNA
3,246.71
0
TOTAL PLANTED AREA
13,091.46
0
Source: PT. SMART Tbk, August 2015
Table 5: Land Use Summaries 2015 BAME
BMLE
AREA Mature area
SPNE
SPNA
TOTAL
(HA) 3,458.10
2,651.21
3,735.44
3,246.71
13,091.46
3,458.1
2,651.21
3,735.44
3,246.71
13,091.46
46.01
15.94
47.02
0
Immature area Total area planted Emplacement and Mill
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BAME
BMLE
SPNE
AREA Nursery
0 334.57
Road
147.24
Enclave (community land) HCV area (non planted) Total leased area
TOTAL
(HA)
HCV
Runway
SPNA
0
115.38
0
0
0
5.12
339.69
144.36
406.98
3.69
3.69
730.06
146.51
145.46
58.90
255.20
182.23
4,719.67
2,929.04
4,077.40
0.78
1,022.81 496.33
3,247.49
14,973.60
Source: PT. SMART Tbk, August 2015
1.8
Approximate tonnages offered for certification (CPO and PK)
Approximate tonnages offered for certification is estimated based on the organisation last four years actual FFB production from BAME, BMLE, SPNE and SPNA; also last year CPO and PK, OER and KER of Batu Ampar Mill. Taken into consideration also that for year 2014, Batu Ampar Mill also processed FFB from independent FFB suppliers. Table 6: FFB Production Trend 2011-2014 Estate
BAME
BMLE
SPNE
SPNA
Doc ID: 3843 / Issue Date May, 2014
2011
Actual FFB Production (MT) 76,670.26
2012
97,722.99
2013
86,092.12
2014
85,468.02
2011
46,538.36
2012
55,401.36
2013
58,281.06
2014
56,306.11
2011
34,821.81
2012
34,388.83
2013
26,626.83
2014
36,118.54
2011
35,386.75
2012
38,709.57
Year
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2013
28,380.94
2014
42,650.95
Source: PT. SMART Tbk, August 2015
Table 7: Batu Ampar Mill Total CPO and PK Production August 2014 – July 2015 and Estimate Production of August 2015 – July 2016
Supply Bases
BAME BMLE SPNE SPNA Sub Total Other FFB Supplier TOTAL
BAME BMLE SPNE SPNA Sub Total Other FFB Supplier TOTAL
FFB Processed (MT)
CPO Production (MT)
OER (%)
PK Production (MT)
Actual production Aug 2014 - Jul 2015 58,722.24 13,217.33 22.51 39,147.34 9,549.20 24.39 23,190.80 5,221.02 22.51 29,465.05 6,624.61 22.48 150,525.43 34,612.16 22.99
KER (%)
3,426.05 2,405.68 1,356.70 1,682.56 8,870.99
5.83 6.15 5.85 5.71 5.89
48,966.63
9,832.30
20.08
2,415.68
4.93
199,492.06
44,444.46
22.28
11,286.67
5.66
Estimated production Aug 2015 - Jul 2016 85,965.67 19,772.10 23.00 4,943.00 57,106.05 13,134.41 23.00 3,283.58 40,542.42 9,324.75 23.00 2,331.18 35,804.67 8,235.06 23.00 2,058.74 219,418.81 50,466.32 12,616.50 23.00
5.75 5.75 5.75 5.75 5.75
44,400.00
10,212.00
23.00
2,553.00
5.75
263,818.81
60,678.32
23.00
15,169.50
5.75
Source: PT. SMART Tbk, August 2015
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Table 8: Actual Batu Ampar Mill Production of CPO and PK 2014-2015 Total FFB (Ton)
CPO Produced (Ton)
PK Produced (Ton)
Month Own Estate
Other Supply Bases
BAME
BMLE
SPNE
SPNA
Total
6,430.24
4,399.22
2,516.85
3,376.64
16,722.95
5,171.76
4,971.49
2,516.85
1,993.45
2,475.13
11,956.92
7,394.85
5,356.42
3,915.70
1,924.19
2,448.01
13,644.32
7,690.22
5,560.54
4,423.81
2,019.80
2,584.04
14,588.19
6,188.92
5,853.18
3,408.23
1,673.62
3,403.02
14,338.05
2,599.00
Other Supply Bases
Own Estate BAME
BMLE
SPNE
1,446.04
1,054.19
565.99
1,161.53
970.52
465.75
1,227.36
996.65
440.91
1,244.29
1,059.03
451.97
1,229.27
715.78
351.49
SPNA
Total
Other Supply Bases
Own Estate BAME
BMLE
SPNE
SPNA
Total
2014 August September October November December
759.34 578.29 560.93 578.23 714.69
2015 January February March April May June July Total
3,825.56 3,176.09 3,225.85 3,333.52 3,011.23
1,098.15 1,628.88 1,662.70 1,315.80 545.83
451.06 286.23 310.91 458.22 329.06
383.29 257.58 272.98 246.56 191.61
176.55 114.77 111.69 130.12 94.09
236.86 142.50 142.09 166.47 191.32
5,185.18
3,063.82
1,440.13
1,988.10
11,677.23
2,211.14
4,044.24
2,176.91
1,175.81
1,944.00
9,340.96
1,334.55
4,052.36
2,529.66
1,047.47
2,258.74
9,888.23
441.39
4,026.80
2,237.42
1,094.96
2,273.72
9,632.90
1,970.25
4,284.96
3,568.22
2,237.92
1,895.34
11,986.44
3,303.38
5,024.65
3,891.92
3,241.01
2,671.92
14,829.50
9,359.28
3,932.18
3,015.58
2,825.59
2,146.39
11,919.74
1,301.89
58,722.24
39,147.34
23,190.80
29,465.05
150,525.43
48,966.63
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1,187.39
701.60
329.78
928.84
623.99
270.05
921.97
575.54
238.31
908.19
504.62
246.95
963.25
802.13
501.35
1,100.08
855.62
712.38
899.12
689.53
646.09
13,217.33
9,549.20
5,221.02
455.27 446.48 513.90 512.80 427.80 586.09 490.79 6,624.61
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2,674.04 2,269.36 2,249.72 2,172.56 2,694.53 3,254.17 2,725.53 34,612.16
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1,247.76
288.08
801.08
382.97
837.67
400.67
1,001.37
337.13
806.08
146.11
506.34 306.51 100.42 444.36 742.59 1,183.03 297.69 9,832.30
263.57 176.08 224.38 250.38 224.17 247.82 204.17 3,426.05
167.55 118.29 140.07 89.12 186.72 194.63 157.28 2,405.68
78.93 51.19 58.00 118.09 117.30 158.80 147.17 1,356.70
108.55 84.64 125.07 141.38 99.42 128.44 115.82 1,682.56
618.60
120.92
430.20
58.11
547.52
24.44
598.97
122.51
627.61
176.08
729.69
287.96
624.44
70.70
8,870.99
2,415.68
Audit Report
Table 9: Estimated Production of Certified CPO and PK Total FFB (Ton)
CPO Produced (Ton)
Month Own Estate BAME
BMLE
SPNE
SPNA
Total
Other Supply Bases
PK Produced (Ton)
Own Estate BAME
BMLE
SPNE
SPNA
Total
Other Supply Bases
Own Estate BAME
BMLE
SPNE
SPNA
Total
Other Supply Bases
2015 August
7.062,26
6.095,82
4.497,12
3.016,21
20.671,41
3.848,00
1.624,32
1.402,04
September
6.783,49
6.095,82
4.497,12
4.147,28
21.523,71
3.848,00
1.560,20
1.402,04
October
8.363,20
6.095,82
4.778,19
3.770,26
23.007,47
3.848,00
1.923,54
1.402,04
November
7.433,96
5.486,24
4.216,04
3.016,21
20.152,45
3.848,00
1.709,81
1.261,83
December
8.084,43
4.876,65
3.934,98
3.016,21
19.912,27
3.848,00
1.859,42
1.121,63
January
8.175,99
3.758,30
2.776,51
2.397,63
17.108,43
3.552,00
1.880,48
864,41
February
6.540,79
3.221,40
2.547,86
2.397,62
14.707,67
3.552,00
1.504,38
740,92
March
7.358,39
4.295,20
2.613,19
2.397,63
16.664,41
3.552,00
1.692,43
987,90
April
7.358,39
4.295,20
2.711,18
2.397,62
16.762,39
3.552,00
1.692,43
987,90
May
6.540,79
4.295,20
2.743,85
2.397,63
15.977,47
3.552,00
1.504,38
987,90
June
6.540,79
4.295,20
2.613,19
2.397,63
15.846,81
3.552,00
1.504,38
987,90
July
5.723,19
4.295,20
2.613,19
4.452,74
17.084,32
3.848,00
1.316,33
987,90
Total
85.965,67
57.106,05
40.542,42
35.804,67
219.418,81
44.400,00
19.772,10
13.134,41
1.034,34
693,73
1.034,34
953,88
1.098,98
867,16
969,69
693,73
905,04
693,73
638,60
551,45
586,01
551,45
601,03
551,45
623,57
551,45
631,09
551,45
601,03
551,45
601,03
1.024,13
9.324,75
8.235,06
4.754,43
885,04
4.950,46
885,04
5.291,72
885,04
4.635,06
885,04
4.579,82
885,04
3.934,94
816,96
3.382,76
816,96
3.832,81
816,96
3.855,35
816,96
3.674,82
816,96
3.644,76
816,96
3.929,39
885,04
50.466,32
10.212,00
406,08 390,05 480,88 427,45 464,85
350,51
258,58
350,51
258,58
350,51
274,75
315,46
242,42
280,41
226,26
216,10
159,65
185,23
146,50
246,97
150,26
246,97
155,89
246,97
157,77
246,97
150,26
246,97
150,26
3.283,58
2.331,18
173,43 238,47 216,79 173,43 173,43
1.188,60
221,26
1.237,61
221,26
1.322,93
221,26
1.158,76
221,26
1.144,95
221,26
983,73
204,24
845,68
204,24
958,20
204,24
963,83
204,24
918,69
204,24
911,18
204,24
982,34
221,26
12.616,50
2.553,00
2016
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Page 15 of 197
470,12 376,09 423,11 423,11 376,09 376,09 329,08 4.943,00
137,86 137,86 137,86 137,86 137,86 137,86 256,03 2.058,74
Audit Report
Estimated tonnage of CPO produced Estimated tonnage of PK produced
: 60,678 MT : 15,169 MT
Based on the above figures, the estimated of certified CPO and PK offered for certification are: Estimated tonnage of certified CPO produced : 50,466 MT Estimated tonnage of certified PK produced : 12,616 MT
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Audit Report
1.9
Other certificates held Table 10: Certificates Held by Mill and Estates MILL/ESTATE
BAMM
OTHER CERTIFICATION HELD ISO 14001:2004 by SGS, Certificate number: ID07/71712, Expiry date: 23 April 2016 Blue Level of PROPER (Compliance assessment from Ministry of Environment), period 2014 – 2015 ISCC (International Sustainability and Carbon Certification) by GUTcert, Certificate Number EU-ISCC-Cert-DE104-07781349, valid from 5 August 2013 to 4 August 2014.
Source: PT. SMART Tbk, August 2015
1.10
Organizational information/contact person
PT. SMART Tbk Sinar Mas Land Plaza, Tower 2, 4th floor Jl. MH. Thamrin No. 51 Kav. 22, Jakarta 10350 Phone :(+62-21) 50338899 Ext. 1184 Fax : (62-21) 50389999 CP: Mr. Ismu Zulfikar Head of Environmental Department Email:
[email protected] 1.11
Time bound plan for other management units
PT. SMART Tbk is committed to RSPO certification of all its Management Units located in North Sumatera, Jambi, Bangka, South Kalimantan, Central Kalimantan, and East Kalimantan. Time bound plan has been developed to achieve the RSPO certification for all its Management Units by 2015. The time bound plan is realistic and challenging. The plan is detailed on Table 5. Time Bound Plan for several Management Units was revised in January 2015: Several mill and it supply bases has been audited for stage 2 audit in year 2014 however until 31 December 2014 they has not been certified yet. There are mills which have not had time bound plan due only received FFB from a schemesmallholder that decline to join RSPO and not operated any longer since March 2015. SAI Global accepted the reason of the revision.
Doc ID: 3843 / Issue Date May, 2014
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Audit Report
Table 11: RSPO Certification Time Bound Plan Mill Name
Padang Halaban
Langga Payung
Jelatang
Langling
Mill Address
Estate Name
Desa Padang Halaban, Kecamatan Aek Kuo, 21455 Kabupaten Labura, Sumatera Utara
Desa Huta Baru Nangka, Kecamatan Halongonan, 22753 Kabupaten Padang Lawas Utara, Sumatera Utara
Desa Jelatang; Kecamatan Pamenang Kabupaten Merangin; Jambi 37352 ; Indonesia
Desa Langling; Kecamatan Bangko Kabupaten
Doc ID: 3843 / Issue Date May, 2014
Estate Address
Padang Halaban
Kecamatan Aek Kuo, Kabupaten Labuan Batu Utara, Sumatera Utara, Indonesia
Pernantian
Kecamatan Merbau, Kabupaten Labuan Batu Utara, Sumatera Utara, Indonesia
Adi Pati
Kecamatan Merbau, Kabupaten Labuan Batu Utara, Sumatera Utara, Indonesia
Kanopan Ulu
Kecamatan Kualuh Hulu, Kabupaten Labuan Batu Utara, Sumatera Utara, Indonesia
Langga Payung
Huta Baru Nangka Village, Halongonan, Padang Lawas Utara, Sumatra Utara
Paya Baung
Huta Baringin Village, Simangambat, Padang Lawas Utara, Sumatra Utara
Normark
Normark Village, Kota Pinang, Labuhanbatu Selatan, Sumatra Utara
Pernantian
Kecamatan Merbau, Kabupaten Labuan Batu, Sumatera Utara, Indonesia
Bangko
Desa Langling, Kecamatan Bangko, Kabupaten Merangin, Provinsi Jambi, Indonesia
Tiga Serumpun KKPA
Desa Tanjung, Kecamatan Bathin VIII, Kabupaten Sarolangun, Provinsi Jambi, Indonesia
Batang Gading KKPA
Desa Tanjung, Kecamatan Bathin VIII, Kabupaten Sarolangun, Provinsi Jambi, Indonesia
Bangko Plasma
Desa Langling, Kecamatan Bangko, Kabupaten Merangin, Provinsi Jambi, Indonesia
Pamenang Plasma
Desa Bukit Bungkul, Kecamatan Renah Pamenang, Kabupaten Merangin, Provinsi Jambi, Indonesia
Kubang Ujo Plasma
Desa Tanjung, Kecamatan Bathin VIII, Kabupaten Sarolangun, Provinsi Jambi, Indonesia
Bukit Bungkul KKPA
Desa Bukit Bungkul, Kecamatan Renah Pamenang, Kabupaten Merangin, Provinsi Jambi, Indonesia
Bangko
Desa Langling, Kecamatan Bangko, Kabupaten Merangin, Provinsi Jambi, Indonesia
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Time Bound for Certification
Progress
2011
Certified
2012
Certified
2014
Certified
2014
Certified
Audit Report
Mill Name
Mill Address Merangin; Jambi 37351 ; Indonesia
Pelakar
Sungai Bengkal
Desa Tanjung; Kecamatan Bathin VIII Kabupaten Sarolangun; Jambi 37481; Indonesia
Desa Betung Berdarah Barat ; Kecamatan Tebo Ilir Kabupaten Tebo ; Jambi 37572; Indonesia
Estate Name
Estate Address
Bangko Plasma
Desa Langling, Kecamatan Bangko, Kabupaten Merangin, Provinsi Jambi, Indonesia
Bukit Bungkul KKPA
Desa Bukit Bungkul, Kecamatan Renah Pamenang, Kabupaten Merangin, Provinsi Jambi, Indonesia
Batang Gading Estate
Desa Bukit Kemang, Kecamatan Tanah Tumbuh, Kabupaten Muara Bungo, Provinsi Jambi, Indonesia
Batang Gading KKPA
Desa Bukit Kemang, Kecamatan Tanah Tumbuh, Kabupaten Muara Bungo, Provinsi Jambi, Indonesia
Plakar Estate
Desa Tanjung, Kecamatan Bathin VIII, Kabupaten Sarolangun, Provinsi Jambi, Indonesia
Tiga Serumpun KKPA
Desa Tanjung, Kecamatan Bathin VIII, Kabupaten Sarolangun, Provinsi Jambi, Indonesia
Batang Merangin Estate
Desa Lidung, Kecamatan Sarolangun, Kabupaten Sarolangun, Provinsi Jambi, Indonesia
Batang Tembesi Estate
Desa Kasang Melintang, Kecamatan Pauh, Kabupaten Sarolangun, Provinsi Jambi, Indonesia
Kubang Ujo Plasma
Desa Tanjung, Kecamatan Bathin VIII, Kabupaten Sarolangun, Provinsi Jambi, Indonesia
Sungai Bengkal Estate
Kecamatan Tebo Ilir, Kabupaten Tebo, Propinsi Jambi
Muara Kilis Estate
Kecamatan Tebo Tengah, Kabupaten Tebo, Propinsi Jambi
Sungai Bengkal KKPA
Kecamatan Tebo Ilir, Kabupaten Tebo, Propinsi Jambi
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Time Bound for Certification
Progress
2015
Planned Audited on July 2015
2014
Certified
Audit Report
Mill Name
Tanjung Kembiri
Leidong West
Bukit Perak
Sungai Buaya
Sungai Merah
Mill Address
Desa Kembiri, Kecamatan Membalong 33452 Kabupaten Belitung, Provinsi Kepulauan Bangka Belitung
Kecamatan Kelapa, Kabupaten Bangka Barat Kepulauan Bangka Belitung 33364
Kecamatan Kacung, Kabupaten Bangka Barat, Kepulauan Bangka Belitung 33364
Kampung Talang Batu, Kecamatan Mesuji Timur, Kabupaten Mesuji 34697 Lampung
Kampung Sidomukti, Kecamatan Gedung Aji, Kabupaten Tulang Bawang 34595 Kampung Sidomukti
Estate Name
Estate Address
Tanjung Kembiri
Kembiri Village, Membalong Sub District, Belitung District, Bangka Belitung Province, Indonesia
Tanjung Rusa
Kembiri Village, Membalong Sub District, Belitung District, Bangka Belitung Province, Indonesia
Tanjung Rusa KKPA
Kembiri Village, Membalong Sub District, Belitung District, Bangka Belitung Province, Indonesia
Leidong West Utara
Kelapa Sub-district, Bangka Barat Regency, Bangka Belitung Province.
Leidong West Selatan
Kelapa Sub-district, Bangka Barat Regency, Bangka Belitung Province.
Bukit Intan
Kelapa Sub-district, Bangka Barat Regency, Bangka Belitung Province
Bukit Mas
Kelapa Sub-district, Bangka Barat Regency, Bangka Belitung Province.
Bukit Perak Estate
Kecamatan Kelapa, Kabupatan Bangka Barat, Bangka Belitung, Indonesia
Bukit Permata Estate
Kecamatan Kelapa, Kabupatan Bangka Barat, Bangka Belitung, Indonesia
Bukit Permai
Sungai Selan Sub-district, Bangka Tengah Regency, Bangka Belitung Province.
Bukit Lestari
Sungai Selan Sub-district, Bangka Tengah Regency, Bangka Belitung Province.
Sungai Buaya
Desa Talang Batu, Kecamatan Mesuji Timur, Kabupaten Mesuji – Lampung
Mesuji KKPA
Desa Brabasan, Kecamatan Tanjung Raya, Kabupaten Mesuji – Lampung
Gedung Aji Lama KKPA
Desa Paduan Rajawali, Kecamatan Meraksa Aji, Kabupaten Tulang Bawang – Lampung
Sungai Merah
Desa Sidang Gunung Tiga, Kecamatan Rawa Jitu Utara, Kabupaten Mesuji – Lampung
Gedung Aji Baru KKPA
Desa Sidoharjo, Kecamatan Penawartama, Kabupaten Tulang Bawang – Lampung
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Time Bound for Certification
Progress
2014
Certified
2014
Certified
2015
Main Audit, Waiting for audit report finalization
2014
Certified
2014
Certified
Audit Report
Mill Name
Kasuari
Mill Address
Desa Lapua, Distrik Kaureh. Kabupaten Jayapura. Provinsi Papua
Pangkalan Panji
Desa Pangkalan Panji, Kecamatan Banyuasin III, Kabupaten Banyuasin, Sumatera Selatan 30954, Indonesia
Bumi Sawit
Desa Tanjung Miring, Kecamatan Rambang Buang, Kabupaten Ogan Ilir, Sumatera Selatan, 30869, Indonesia
Muara Kandis
Desa Lubuk Pandan, Kecamatan Muara Lakitan Kabupaten Muara Rawas, Sumatera Selatan, 31666, Indonesia
Estate Name
Estate Address
Gedung Aji Lama KKPA
Desa Paduan Rajawali, Kecamatan Meraksa Aji, Kabupaten Tulang Bawang – Lampung
Cendrawasih Estate
Lapua village, Kaureh Sub-district, Jayapura District, Papua Province
Nuri Estate
Lapua village, Kaureh Sub-district, Jayapura District, Papua Province
Rajawali Estate
Lapua village, Kaureh Sub-district, Jayapura District, Papua Province
Mambruk Estate
Lapua village, Kaureh Sub-district, Jayapura District, Papua Province
Sawit Mas Estate
Pangkalan Panji and Langkan Village, Banyuasin III District, Banyuasin Regency, South Sumatera, Indonesia
Sawit Mas Estate
Pangkalan Panji and Langkan Village, Banyuasin III District, Banyuasin Regency, South Sumatera, Indonesia
Bumi Sawit Estate
Tanjung Miring Village, Rambang Kuang District, Ogan Ilir Regency, South Sumatera, Indonesia
Muara Kandis Estate
Karya Sakti village, Muara Lakitan Sub-district, Musi Rawas District, South Sumatera Province
Muara Tawas Estate
Karya Mukti village, Muara Kelingi Sub-district, Musi Rawas District, South Sumatera Province
Pandawa KKPA
Beliti Jaya village, Muara Kelingi Sub-district, Musi Rawas District, Sumatera Selatan Province
Pandawa Plasma
Karya Sakti village, Muara Kelingi Sub-district, Musi Rawas District, Sumatera Selatan Province WORK ITEM:WI-700160
Doc ID: 3843 / Issue Date May, 2014
© SAI Global Limited Copyright 2008 - ABN 67 050 611 642
Page 21 of 197
Time Bound for Certification
Progress
2015
Pre Audit
2015
Main Audit, Waiting for audit report finalization
2015
Main Audit, Waiting for audit report finalization
2015
Main Audit, Waiting for audit report finalization
Audit Report
Mill Name
Batu Ampar
Tanah Laut
Sei Kupang
Sawita
Senakin
Mill Address
Desa Serongga, Kecamatan Kelumpang Hilir, Kabupaten Kotabaru Kalimantan Selatan 72161
Desa Serongga, Kecamatan Kelumpang Hilir, Kabupaten Kotabaru Kalimantan Selatan 70883
Kecamatan Kelumpang Hilir, Kabupaten Kotabaru Kalimantan Selatan 72161
Kabupaten Kotabaru Kalimantan Selatan
Desa Sangsang, Kecamatan Kelumpang Tengah, Kabupaten Kotabaru Kalimantan Selatan
Estate Name
Estate Address
Batu Ampar
Kelumpang Hilir Subdistrict, Kotabaru Regency, South Kalimantan, Indonesia
Batu Mulia
Kelumpang Hilir Subdistrict, Kotabaru Regency, South Kalimantan, Indonesia
Sungai Panci
Kelumpang Hilir Subdistrict, Kotabaru Regency, South Kalimantan, Indonesia
Sungai Panci Plasma
Kelumpang Hilir Subdistrict, Kotabaru Regency, South Kalimantan, Indonesia
Tanah Laut
Kecamatan Kintap, Kabupaten Tanah Laut, South Kalimantan, Indonesia
Kintapura
Kecamatan Kintap, Kabupaten Tanah Laut, South Kalimantan, Indonesia
Sungai Kupang Estate
Desa Sangking Baru, Kecamatan Kelumpang Selatan , Kab. Kota Baru
Sungai Kupang KKPA
Desa Sangking Baru, Kecamatan Kelumpang Selatan , Kab. Kota Baru
Sungai Panci Estate
Desa Pulau Panci, Kecamatan Kelumpang Hilir
Sungai Panci KKPA
Desa Pulau Panci Kecamatan Kelumpang Hilir
Sawita Estate
Manunggul Lama KM 6 Village, Sungai Durian Sub Distric, Kotabaru Distric, South Kalimantan Province
Sawita KKPA
Rantau Buda Village, Sungai Durian Sub Distric, Kotabaru Distric, South Kalimantan Province
Pamukan Estate
Manunggul Baru Village, Sungai Durian Sub Distric, Kotabaru Distric, South Kalimantan Province
Senakin Estate
Sang - Sang Village, Kelumpang Tengah sub distric, Kotabaru distric, South Kalimantan Province
WORK ITEM:WI-700160 Doc ID: 3843 / Issue Date May, 2014
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Page 22 of 197
Time Bound for Certification
Progress
2012
Certified
2012
Certified
2015
Main Audit, 25-29 May 2015
2015
Pre Audit
-
SNKM Will stop operating on March 2015
Audit Report
Mill Name
Bukit Kapur
Muara Wahau
Jak Luay
Gunung Kombeng
Mill Address
Desa Bangkalaan Melayu, Kecamatan KelumpangHulu, Kabupaten Kotabaru Kalimantan Selatan
Desa Sukamaju, Kecamatan Kongbeng, Kabupaten Kutai Timur Propinsi Kalimantan Timur 75666
Desa Jakluay, Kecamatan Muara Wahau, Kabupaten Kutai Timur Propinsi Kalimantan Timur 75655
Desa Sukamaju, Kecamatan Kongbeng, Kabupaten Kutai Timur Propinsi Kalimantan Timur 75666
Estate Name
Estate Address
Bukit Kapur Estate
Karang Liwar Village, Kelumpang Hulu sub distric, Kotabaru District, South Kalimantan Province
Sungai Cantung Estate
Bangkalaan Melayu Village, Kelumpang Hulu sub distric, Kotabaru District, South Kalimantan Province
Muara Wahau
Makmur Jaya Village, Kongbeng Sub District, Kutai Timur District, East Kalimantan Province
Gunung Kombeng
Sukamaju Village, Kongbeng Sub District, Kutai Timur District, East Kalimantan Province
Pantun Mas
Desa Karya Bakti Kecamatan Muara Wahau
Pantun Mas KKPA
Desa Jak luay Kecamatan Muara Wahau
Jak Luay Estate
Desa Jak Luay Kecamatan Muara Wahau Kabupaten Kutai Timur
Bukit Subur Estate
Desa Juk Ayak Kecamatan Telen Kabupaten Kutai Timur
Pantun Mas
Desa Karya Bakti Kecamatan Muara Wahau
Long Buluh Estate
Desa Jak Luay Kecamatan Muara Wahau Kabupaten Kutai Timur
Jak Luay KKPA
Desa Jak Luay Kecamatan Muara Wahau Kabupaten Kutai Timur
Bukit Subur KKPA
Desa Juk Ayak Kecamatan Telen Kabupaten Kutai Timur
Pantun Mas KKPA
Desa Jak Luay Kecamatan Muara Wahau Kabupaten Kutai Timur
Gunung Kombeng KKPA
Desa Sukamaju, Kecamatan Kongbeng, Kabupaten Kutai Timur Propinsi Kalimantan Timur 75666
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Page 23 of 197
Time Bound for Certification
Progress
2015
Pre Audit
2014
Certified
2015
Certified
-
GKMM currently only supplied by non certified estate
Audit Report
Mill Name
Bumi Palma
Indra Sakti
Kijang
Naga Sakti
Rama Rama
Mill Address
Desa Bagan Jaya, Kecamatan Tempuling, 29261 Kabupaten Indragiri Hilir, Provinsi Riau
Desa Talang Sukamaju, Kecamatan Rakit Kulim, Kabupaten Indragiri Hulu, Provinsi Riau
Desa Kijang Makmur, Kecamatan Tapung Hilir , 28464 Kabupaten Kampar, Provinsi Riau
Desa Sekijang, Kecamatan Tapung Hilir 28464 Kabupaten Kampar, Provinsi Riau
Desa Petapahan, Kecamatan Tapung 28464 Kabupaten Kampar, Provinsi Riau
Estate Name
Estate Address
Gunung Kombeng
Desa Sukamaju, Kecamatan Kongbeng, Kabupaten Kutai Timur Propinsi Kalimantan Timur 75666
Bumi Palma Estate
Bagan Jaya village, sub district of Tempuling, district of Indragiri Hilir, Riau Province
Bumi Sentosa Estate
Suhada village, sub district of Enok, district of Indragiri Hilir, Riau province
Bumi Lestari Estate
Pebenaan village, sub dictrict of Kritang, district of Indragiri Hilir, Riau province
Indrasakti
Village Of Sungai Limau Sub District Of Rakit Kulim District Of Indragiri Hulu
Indrasakti KKPA
Village Of. Sungai Limau, Sub District Of Rakit Kulim, District Of Indragiri Hulu
Indralestari KKPA
Village Of Kuala Gading, Sub District Of Batang Cenaku, District Of Indragiri Hulu
Indragiri KKPA
Village Of Talang Bersemi, Sub District Of Batang Cenaku, District Of Indragiri Hulu
Kijang Mas
Desa Sekijang, Kecamatan Tapung Hilir, Kabupaten Kampar, Riau
Kijang Kencana Plasma
Desa Kijang Jaya, Kecamatan Tapung Hilir, Kabupaten Kampar, Riau
Nagamas
Desa Sekijang, Kecamatan Tapung Hilir, Kabupaten Kampar, Riau
Nagasakti
Desa Sekijang, Kecamatan Tapung Hilir, Kabupaten Kampar, Riau
Ramabakti
Desa Beringin Lestari, Kecamatan Tapung Hilir, Kabupaten Kampar, Riau
Kijang Mas
Desa Sekijang, Kecamatan Tapung Hilir, Kabupaten Kampar, Riau
Ramarama
Petapahan Village , Tapung Sub District, Kampar District, Riau Province
Amarta Jaya Plasma
Petapahan Village , Tapung Sub District, Kampar District, Riau Province
Sungai Tapung Plasma
Petapahan Village , Tapung Sub District, Kampar District, Riau Province
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Page 24 of 197
Time Bound for Certification
Progress
2014
Certified
2013
Certified
2012
Certified
2012
Certified
2012
Certified
Audit Report
Mill Name
Libo
Sam Sam
Ujung Tanjung
Hanau
Semilar
Mill Address
Desa Sam-Sam, Kecamatan Kandis 28686 Kabupaten Siak, Provinsi Riau
Desa Bekalar, Kecamatan Kandis 28686 Kabupaten Siak, Provinsi Riau
Desa Kandis, Kecamatan Kandis Kota 28686 Kabupaten Siak, Provinsi Riau
Kecamatan Hanau, Kabupaten Seruyan, 74271 Desa Derangga
Estate Name
Estate Address
Libo
Village of Samsam, Sub-district of Kandis, District of Siak, Riau Province, Indonesia
Nenggala
Village of Samsam, Sub-district of Kandis, District of Siak, Riau Province, Indonesia
Sungai Rokan
Village of Samsam, Sub-district of Kandis, District of Siak, Riau Province, Indonesia
Ramabakti
Village of Petapahan, Sub-district of Kampar, District of Siak, Riau Province, Indonesia
Samsam
Village of Bekalar, Sub-district of Kandis, District of Siak, Riau Province, Indonesia
Kandista
Village of Belutu, Sub-district of Kandis, Riau Province, Indonesia
Palapa
Village of Bekalar, Sub-district of Kandis, Riau Province, Indonesia
Ujung Tanjung
Sub-district of Kandis, District of Siak, Riau Province, Indonesia
Sungai Tapung Plasma
Petapahan Village , Tapung Sub District, Kampar District, Riau Province
Ujung Tanjung
Sub-district of Kandis, District of Siak, Riau Province, Indonesia
Hanau
Kecamatan Hanau, Kabupaten Seruyan, Kalimantan Tengah, Indonesia
Tasik Mas
Kecamatan Hanau, Kabupaten Seruyan, Kalimantan Tengah, Indonesia
Tanjung Paring
Kecamatan Batu Ampar, Kabupaten Seruyan, Kalimantan Tengah, Indonesia
Langadang
Kecamatan Batu Ampar, Kabupaten Seruyan, Kalimantan Tengah, Indonesia
Semilar
Rungau Raya Village, Sub District of Danau Seluluk, District of Seruyan, Province of Central Kalimantan
Sei Rindu
Tangar Village, Sub District of Mentaya, District of Kotawaringin Timur, Province of Central Kalimantan
Desa Rungau Raya, Kecamatan Danau Seluluk, 74271 Kabupaten Seruyan Kalimantan Tengah
WORK ITEM:WI-700160 Doc ID: 3843 / Issue Date May, 2014
© SAI Global Limited Copyright 2008 - ABN 67 050 611 642
Page 25 of 197
Time Bound for Certification
Progress
2012
Certified
2012
Certified
2012
Certified
2013
Certified
2013
Certified
Audit Report
Mill Name
Sungai Rungau
Perdana
Kuayan
Mill Address
Desa Rungau Raya, Kecamatan Danau Seluluk, 74271 Kabupaten Seruyan Kalimantan Tengah
Desa Terawan, Kec. Seruyan Raya, Kab. Seruyan, Propinsi Kalimantan Tengah
Jalan Ex PT.Sarpatim KM 21 Desa Keminting,Kec Bukit Santuhai Kab.Kotim Kalimantan Tengah
Estate Name
Estate Address
Mandang
Rungau Raya Village, Sub District of Danau Seluluk, District of Seruyan, Province of Central Kalimantan
Puri
Biru Maju Village, Sub District of Telawang, District of Kotawaringin Timur, Province of Central Kalimantan
Sungai Rungau
Rungau Raya Village, Danau Seluluk Sub district, Seruyan District, Kalimantan Tengah Province
Sungai Seruyan
Rungau Raya Village, Danau Seluluk Sub district, Seruyan District, Kalimantan Tengah Province
Terawan
Selunuk Village, Seruyan Raya, Seruyan Sub district, Kalimantan Tengah Province
Tangar
Rungau Raya Village, Danau Seluluk Sub district, Seruyan District, Kalimantan Tengah Province
Bukit Tiga
Rungau Raya Village, Danau Seluluk Sub district, Seruyan District, Kalimantan Tengah Province
Perdana Estate
Desa Terawan, Kec. Danau Sembuluh, Kab. Seruyan, Propinsi Kalimantan Tengah
Lenggana Estate
Desa Terawan, Kec. Danau Sembuluh, Kab. Seruyan, Propinsi Kalimantan Tengah
Semandau Estate
Desa Terawan, Kec. Danau Sembuluh, Kab. Seruyan, Propinsi Kalimantan Tengah
Muara Dua Estate
Desa Terawan, Kec. Danau Sembuluh, Kab. Seruyan, Propinsi Kalimantan Tengah
Sungai Rungau
Desa Terawan, Kec. Danau Sembuluh, Kab. Seruyan, Propinsi Kalimantan Tengah
Mentaya Estate
Sungai Ayawan Village, Seruyan Tengah Sub District, Seruyan District, Kalimantan Tengah Province
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Progress
2013
Certified
2015
Pre Audit
2015
Pre Audit
Audit Report
Mill Name
Tangar
Mill Address
Desa Rungau Raya, Kecamatan Danau Seluluk, 74271 Kabupaten Seruyan Kalimantan Tengah
Estate Name
Estate Address
Kuayan Estate
Tumbang Keminting Village, Bukit Santuai Sub District, Kotawaringin Timur District, Kalimantan Tengah Province
Bukit Santuhai Estate
Tumbang Keminting Village, Bukit Santuai Sub District, Kotawaringin Timur District, Kalimantan Tengah Province
Tajur Beras Estate
Pemantang Village , Mentaya Hulu Sub District, Kotawaringin Timur District, Kalimantan Tengah Province
Seranau Estate
Sapiri Village, Mentaya Hulu Sub District, Kotawaringin Timur District, Kalimantan Tengah Province
Sapiri Estate
Tukang Langit Village, Metaya Hulu Sub District, Kotawaringin Timur District, Kalimantan Tengah Province
Katayang Estate
Sahabu Village, Batu Ampar Sub District, Seruyan District, Kalimantan Tengah Province
Nahiyang Estate
Seibabi Village, Batu Ampar Sub District, Seruyan District, Kalimantan Tengah Province
Sulin Estate
Wanatirta Village, Batu Ampar Sub District, Seruyan District, Kalimantan Tengah Province
Sungai Nusa Estate
Gantung Pengayuh Village, Seruyan Tengah Sub District, Seruyan District, Kalimantan Tengah Province
Sulin KKPA
Wanatirta Village, Batu Ampar Sub District, Seruyan District, Kalimantan Tengah Province
Sungai Ayawan Estate
Suka Mandang Village, Seruyan Tengah Sub District, Seruyan District, Kalimantan Tengah Province
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2015
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Mill Name
Pekawai
Kenanga
Mill Address
Kecamatan nanga Tayap,Kabupaten Ketapang Kalimantan barat
Dusun Bakung, Desa Randai, Kecamatan Marau, Kabupaten Ketapang, Kalimantan Barat
Estate Name
Estate Address
Kayung Estate
Desa Sungai Kelik, Kecamatan Nanga Tayap, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Pekawai Estate
Desa Sungai Kelik, Kecamatan Nanga Tayap, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Kayung KKPA
Desa Lembah Hijau 1, Kecamatan Nanga Tayap, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Nanga Tayap Estate
Desa Nanga Tayap, Kecamatan Nanga Tayap, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Sungai Kelik Estate
Desa Siantau Raya, Kecamatan Nanga Tayap, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Kenanga Kemitraan
Desa Randai, Kecamatan Marau, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Kenanga Estate
Desa Randai, Kecamatan Marau, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Cendana Estate
Desa Belaban, Kecamatan Marau, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Delima Estate
Desa Randai, Kecamatan Marau, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Kencana Kemitraan
Desa Rangkung, Kecamatan Marau, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Kencana Estate
Desa Randai, Kecamatan Marau, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Gaharu Kemitraan
Desa Periangan, Kecamatan Jelai Hulu, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Kenanga Kemitraan
Desa Merabong, Kecamatan Manis Mata, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Kenari Estate
Desa Biku Sarana, Kecamatan Jelai Hulu, Kabupaten Ketapang, Kalimantan Barat, Indonesia
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2015
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2015
Main Audit, Waiting for audit report finalization
Audit Report
Mill Name
Belian Mill
Mill Address
Desa Nanga Seberuang Kecamatan Semitau 78771 Kab. Kapuas Hulu Kalimantan Barat
Estate Name
Estate Address
Gaharu Estate
Desa Periangan, Kecamatan Jelai Hulu, Kabupaten Ketapang, Kalimantan Barat, Indonesia
Muara Tawang
Kec. Semitau, Suhaid dan Selimbau, Kab. Kapuas Hulu, Kalimantan Barat
Muara Tawang KKPA
Kec. Semitau, Suhaid dan Selimbau, Kab. Kapuas Hulu, Kalimantan Barat
Kapuas Hulu Estate
Desa Sentabai Kecamatan Silat Hilir
Kapuas Hulu KKPA
Desa Sentabai Kecamatan Silat Hilir
Belian Estate
Desa Baru (Kec. Silat Hilir), Desa Nanga Seberuang dan Desa Komplek Kenepai (Kec. Semitau), Kab. Kapuas Hulu, Kalimantan Barat
Belian Kemitraan
Desa Baru (Kec. Silat Hilir), Desa Nanga Seberuang dan Desa Komplek Kenepai (Kec. Semitau), Kab. Kapuas Hulu, Kalimantan Barat
Tengkawang Estate
Desa Baru (Kec. Silat Hilir), Desa Nanga Seberuang dan Desa Komplek Kenepai (Kec. Semitau), Kab. Kapuas Hulu, Kalimantan Barat
Source: PT SMART Tbk, Sustainability Division, August 2015
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1.12
Partial Certification Requirements
In general there were no new issues regarding partial certification requirements in management units which have not been certified since last SAI Global audit. One issue regarding report “Mitigation Plan and Mitigation Action on Oil Palm Plantation in Peat Lands of Central and West Kalimantan” is still in process for RSPO approval. The British Standards Institution (BSI) has been engaged to verify the SOP and implementation against the National Interpretation of RSPO Principles and Criteria for Sustainable Palm Oil Production, Republic of Indonesia, May 2008 across all of SMART operation, i.e. PT. SMART Tbk. in South Kalimantan (15-16 June 2012), PT. Leidong West Indonesia in Bangka (3-6 May 2011), PT. Tapian Nadenggan in Central and East Kalimantan (19-23 December 2011), PT. Kresna Duta Agroindo in East Kalimantan and Jambi (8-12 August 2011 and 19-21 July 2011) and PT. Satya Kisma Usaha in Jambi (28 March – 1 April 2011). The verification was conducted in 2011. The assessment team were among other: Technical Expert of Ecology and Wildlife Management, Technical Expert of Social Aspects and Technical Expert of Environmental Management System. SOP and documents verified were among others: AMDAL (Environmental and Social Impact Analysis), report of RKL RPL implementation, SOP of HCV Assessment, SOP of Peat Conservation, SOP of Community Engagement, SOP of New Planting Procedure. Some of the verification reports were issued in February and March 2012. According to verification report: No replacement of primary forest or any area identified as containing HCVs or required to maintain or enhance HCVs in accordance with RSPO criterion 7.3. There were new planting in several areas and new planting procedure has been implemented. Land disputes were found in PT. Tapian Nadenggan and PT. Kresna Duta Agroindo. These cases have been followed up and closed out. No labour dispute. Minor nonconformities were found in legal compliance, e.g. environmental monitoring was not conducted inline with RKL RPL document in PT. Tapian Nadenggan and PT. Kresna Duta Agroindo. Action plan has been established and action taken is verified during internal audit. Action plan to all nonconformities has been established and communicated to each organisation. Nonconformities have been corrected and its correction was verified during Environment Department visit to each Unit Management. Tanjung Pura University (UNTAN), Faculty of Agriculture, West Kalimantan and Palangka Raya University, Faculty of Agriculture, has been engaged to conduct the social research. The research study was conducted in 2011 to 8 organisations across of GAR and SMART operation. Report of research study was finished on June 28, 2011. The report concluded that: Criterion 2.3: Land acquisition did not diminish the legal rights or customary rights of other users without their free, prior and informed consent. However, the negotiation process was not well recorded in writing. Criterion 7.3: Land preparation for plantation development was not carried out in primary forest but in secondary forest, degraded land, shrub land, former logging sites or forest concessions, land previously cleared by natural fire and land left by shifting cultivators. Criterion 7.5: New plantings were conducted with prior approval from the local people. Criterion 7.6: Identification and evaluation of land ownership based on legal and traditional land rights were already conducted. Compensation payment was discussed in negotiations between the organization and traditional land owners witnessed by local government representatives. The presence of the organization in the rural area creates positive impacts on surrounding areas, such as creating new jobs for the local community, increasing the
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local community’s income, increasing the circulation of cash in the rural market and stimulating the growth of businesses. CSR: The organization had conducted various activities with their CSR projects in the sectors of infrastructure, health, education, disaster relief and local economy empowerment. The report of research study is published in GAR website. GAR and PT. SMART Tbk. established Social and Community Engagement Policy on November 10, 2011. The policy was established to ensure that operations of palm oil can improve the living of the communities in its operational area. The policy covers commitment from FPIC to indigenous and local communities, responsible for complaints handling, to attain a responsible resolution of any conflicts, an open and constructive role of local, national and international stakeholders, empowerment of the community development program, respect for human rights, recognize, respect and strengthen worker’s rights, comply with all relevant laws and regulations and principles and criteria of international recognise certification. The organisation committed to use multistakeholder approach in developing and in the implementation of Social and Community Engagement Policy. Unit managements of SMART operation have been audited for RSPO with status among others: Unit Management
Mill
PT. SMART Tbk, South Kalimantan PT. MP Leidong West Indonesia PT. Kresna Duta Agroindo PT. Kresna Duta Agroindo PT. Kresna Duta Agroindo PT. Satya Kisma Usaha
1.13
Bukit Kapur Mill Leidong West Mill Muara Wahau Mill Jelatang Mill Langling Mill Sungai Bengkal Mill
Status Stage-1 audit Certified Certified Certified Certified Progress final report
Date of issue of certificate and date of previous assessment
Date of issue of certificate: November 26th, 2012 Date of previous audit: October 8th to 10th 2014 2.0 2.1
AUDIT PROCESS
Certification body
PT. SAI Global Indonesia Graha Iskandarsyah, 4th floor Jl. Iskandarsyah Raya No. 66 C Kebayoran Baru, Jakarta 12160, Indonesia Phone : +62 21 720 6186, 720 6460 Fax : +62 21 720 6207 Contact person : Ms. Inge Triwulandari Technical Manager Email :
[email protected]
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SAI Global is one of the world’s leading business providers of independent assurance. SAI Global provides organisations around the world with information services and solutions for managing risk, achieving compliance and driving business improvement. We provide aggregated access services to Standards, Handbooks, Legislative and Property publications; we audit, certify and register your product, system or supply chain; we facilitate good governance and awareness of compliance, ethics and policy issues and provide training and improvement solutions to help individuals and organisations succeed. The SAI Global business is driven by two equally important client needs - the mandated need for organisations to conform to regulations, standards and legislation in all their locations, and the operational need for organisations to improve business processes and procedures as well as corporate culture. As we are a global company, we can meet these needs for any client - those operating within one country's borders and in one language or those operating across borders and in many languages. There are three business units/divisions within SAI Global namely the Information Services Division, the Compliance Division, and the Assurance Division. The Assurance Division helps organisations manage risk, achieve process or product certification and drive improvement by providing training, registration audits and supplier management programs that can improve business performance. We provide independent audits, assessments and certification of your products or business processes to ensure they comply with industry standards or customer specific requirements. We understand how compliance with those standards can improve the efficiency, economy and profitability of your operation. With auditing and assessment staff located around the world, our clients include large global corporations as well as single site organisations.
2.2
Audit methodology
The Surveillance Audit was performed on August 4th to 8th 2015. The audit programme was included in the body of report. The audit methodology for collection of objective evidences is site inspection, documentation and record review and interview with staffs, workers, and other stakeholders. Objective evidences from documentation/record review in one area may also be cross checked with other objective evidences in other areas and with the evidence of implementation on site during the audit. During the audit, particular attention has been paid to previous non-conformities. The previous minor non-conformities were checked for being closed. Assessments plan has included but not be limited to areas of potential environmental and social risk. Considering previous audit findings, the mill and all supply bases were audited during this surveillance audit. Audit has paid special attention on some potential risks in the following areas: - All environment aspects of P&C including reporting of environmental management, waste handling (BAMM, BAME, BMLE, SPNE and SPNA) - All social aspects of P&C including land conflict issue (if any), customary right, labour issue, organization contribution (CSR program, empowerment of local community) (BAMM, BAME, BMLE, SPNE and SPNA) - All HCV aspects of P&C including identification, management and monitoring HCV (BAMM, BAME, BMLE, SPNE and SPNA).
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2.3
Qualification of the lead auditor and audit team member
Ria Gloria – Lead Auditor and audited Environment aspect and legal aspect Ria Gloria graduated with Bachelor of Chemical Engineering from Bandung Institute of Technology in 1994. She has working experience as Environmental Consultant for many years. She has completed ISO 14001 (1995), ISO 9001 (2004), RSPO P&C (2009) lead auditor training courses, RSPO SCCS (2010) and ISPO (2012) lead auditor training courses. For the last 9 years she has been involved in quality (ISO 9001) and environmental (ISO 14001) management system audits for very broad industrial and in the palm oil sector since 2003 for several plantations and mills. She has received training for good agricultural practices including integrated pest management and high conservation value (2008-2009). Mujinius Jalaraya – Audit Team Member and audited HCV and estate operation Mujinius Jalaraya, Bachelor from Faculty of Forestry, Bogor Agricultural University (IPB) in 2008, Majoring in Forest Resources Conservation. He has a working experience in palm oil plantations as SHE Assistant at PT. Astra Agro Lestari Tbk in 2008 - 2012 and as Supervisor Sustainability at Teladan Prima Group in 2012 – 2014. He joined the SAI Global since April 2014 as Auditor ISO 9001: 2008, ISPO and RSPO. Various training has followed, such as : Lead Auditor ISO 9001: 2008 Training (2014), Auditor ISPO Training (2014), Lead Auditor RSPO Training (2014), HCV Assessor Training (2013), Internal Auditor ISO 14001: 2004 Training (2013 ), Training for Trainers (2013), Training OHS Expert/Ahli K3 Umum (2010), etc. He has much experience in application of quality management system, environmental and OHS management system in the company and much involved in audit of the management system. During work at SAI Global he has had experience for audit ISO 9001: 2008 in various industries and services, RSPO and ISPO audit for several oil palm plantation companies. Edy Widodo – Audit Team Member and audited social aspect Edy Widodo graduated with bachelor of the Faculty of Agriculture, Department of Agricultural Technology, University of Padjadjaran, Bandung. Earlier he worked as an Assistant Estates Manager in PT SMART Tbk. (1999 to 2005). He joined SAI Global in 2013 as a Lead Auditor for ISO 9001: 2008. He has working experiences in the industrial sector and audit Plantation, and also the processing industry and agricultural mechanization. He was also the ISPO auditor who has obtained a certificate from the ISPO Commission, Ministry of Agriculture of Indonesia, in February 2013. He has gotten a certificate of training Understanding ISO 14001: 2004 & Auditing ISO 14001: 2004 in 2013. He has followed RSPO P&C training (2013). Eko Purwanto – Audit Team Member and audited Mill Supply Chain Eko Purwanto graduated as Bachelor of Forestry from Forest Conservation Department, Faculty of Forestry, Bogor Institute of Agriculture (IPB) in 2001. He owned working experience at Oil Palm Plantation in East Kalimantan since 2003 to 2012, the last position was Estate Manager. He has implementing good agricultural practice including integrated pest management and limited pesticides uses. He has completed lead auditor training courses for RSPO P & C (2013), ISO 9001:2008 (2012), ISO 14001:2004 (2013), ISPO (2012) and RSPO SCC (2012). He has also completed training course of ISO 14001 (2012), Minaut Indonesia (2011) and Introduction to HCV Toolkit HCV (2011). For the last 2 year he has been involved in quality (ISO 9001) management system audits for very broad industrial and involved in Indonesia Sustainable Palm Oil (ISPO) audit for several plantations and mills since October 2012.
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Daniel Sitompul - Audit Team Member and audited OHS aspect Daniel graduated with Bachelor of Chemical Engineering degree from Indonesia Institute of Technology in 1995. He has working experience as Quality, Environment and Safety Consultant for many years. She has completed ISO 14001 (2007), OHSAS 18001 (2010), Ahli K3 Umum (2007), ISO 9001 (2009), RSPO PC Training (2013), Auditor SMK3 (2013) dan ISPO Auditor Training (2013). He has also completed the training form government regarding to Safety Management System (SMK3), PROPER and AMDAL (environment). For the last 5 years she has been involved in quality (ISO 9001), Safety (OHSAS 18001) and environmental (ISO 14001) management system consultancy and audits for very broad industrial and in the palm oil sector since 2013 for several plantations and mills.
2.4
Stakeholder consultation
Stakeholder consultation was performed into internal and external stakeholders. Internal stakeholders included staffs and workers. External stakeholders were selected by considering that they have an interest in the organisation activities, directly border with organisation area where the workers live. External stakeholders included NGO, governments and civil societies. Letters were also sent to external stakeholders to invite for comment or individual / group discussions. Group and Individual discussions with stakeholders were conducted during the audit, to verify compliance against relevant criteria and indicator related to land status and conflict, environmental, social aspect and HCV. Surrounding Village of estate and mill has been chosen to represent societies. Group and individual discussion were conducted for two sessions. First session was conducted especially for surrounding stakeholders directly affected on estate and mill, i.e. Head of village, farmers. Second session was conducted especially for labour union, gender committee and selected workers. Group interview was conducted for workers with similar job while others were interviewed individually in the scope to verify compliance against relevant criteria and indicator related to infrastructure facility, labour, social aspect (discrimination and sexual harassment), environment and HCV. The result of stakeholder consultation used to justify fulfilment of some indicators, e.g. criterion 2.2 indicator major 3, minor 1 and minor 2, criterion 2.3 indicator major 1, criterion 6.5 indicator minor 1, criterion 6.6 indicator minor 1, criterion 6.7 indicator minor 1, criterion 6.8 indicator minor 1, criterion 6.9 indicator minor 1, 2 and 3, criterion 6.10 indicator minor 1 and 2, criterion 6.11 indicator minor 1, etc. The result of these consultations was provided in Appendices D on page 148. Table 12: List of internal and external stakeholder
STAKEHOLDERS
METHODS OF CONSULTATION
Internal stakeholders (mill and estates) Head of SPSI
Group discussion
Head of Gender Committee
Group discussion
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STAKEHOLDERS Workers
METHODS OF CONSULTATION Group discussion for workers with similar role, otherwise individually interviewed
External Stakeholders Villages head, community leader and religion leader around BAME and BMLE Villages head, community leader, religion leader, contractor around SPNE and SPNA Social and Labour Agency of Kotabaru Regency (Dinas Sosial dan Tenaga Kerja Kabupaten Kotabaru) Agriculture and Plantation Agency of Kotabaru Regency (Dinas Pertanian dan Perkebunan Kabupaten Kotabaru) Environment Agency of Kotabaru Regency (BLHD Kabupaten Kotabaru) National Land Agency (Badan Pertanahan Nasional (BPN) Kabupaten Kotabaru) BPJS Ketenagakerjaan
Group discussion
District Police (Kepolisian Sektor Serongga, Kelumpang Selatan and Kelumpang Ilir ) District Head (Camat) of Kelumpang Selatan and Kelumpang Ilir NGOs: WWF, Sawit Watch, GAPKI, AMAN (Aliansi Masyarakat Adat Nusantara)
An invitation letter to comment was sent
2.5
Group discussion An invitation letter to comment was sent
An invitation letter to comment was sent
An invitation letter to comment was sent An invitation letter to comment was sent An invitation letter to comment was sent
An invitation letter to comment was sent An invitation letter to comment was sent
Date of next surveillance visit
The next surveillance visit will be conducted around August 2016 three months before datum month of the certification period. 3.0
AUDIT FINDINGS
3.1
Action taken on previous audits findings
All non-conformances (Major and Minor) from the previous audits have been followed up by taking corrective actions. Corrective actions have been implemented and verified. All corrective actions were considered as closed satisfactorily. There was no recurrence of NC. 3.2
Claim and use of certification mark and or logo
No claim and used of certification mark and or logo. So far no RSPO certified CPO and PK has been sold, although there were claimed in other sustainability standard scheme.
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3.3
Description of audit findings
3.3.1. RSPO PRINCIPLE AND CRITERIA PRINCIPLES 1: COMMITMENT TO TRANSPARENCY NO 1.1 1.1.1
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) Growers and millers provide adequate information to relevant stakeholders on environmental, social and legal issues relevant to RSPO Criteria, in appropriate languages and forms to allow for effective participation in decision making. There shall be evidence that growers and millers provide adequate information on (environmental, social and/or legal) issues relevant to RSPO Criteria to relevant stakeholders for effective participation in decision making. Specific Guidance: For 1.1.1: Evidence should be provided that information is received in appropriate form(s) and language(s) by relevant stakeholders. Information will include information on the RSPO mechanisms for stakeholder involvement, including information on their rights and responsibilities.
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NO a.
1.1.2
CRITERION / INDICATOR CHECKLIST Does the company maintain a list of stakeholders? (E.g. listed by category and stakeholders listed should be site specific)
b.
What is the frequency of updating the stakeholder list?
c.
Is there evidence of stakeholder verification?
d.
What type of information is provided? (E.g. Environmental, social and legal)
e.
What is the frequency and level of access to this information?
f.
How and where is the information disseminated?
g.
Who is responsible for providing & updating information?
h.
Is there an SOP available to describe the process (of information sharing/dissemination)?
i.
Are stakeholders aware of the type of information available and the procedures for accessing the information?
OBSERVATIONS & OBJECTIVE EVIDENCE Procedure No.SOP/SMART/UMUM/SADV/I/0 04, dated 1 July 2014 : Prosedur Komunikasi dan Konsultasi. Logbook Daftar Informasi untuk Stakeholder dan Tanggapannya
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Information request and their respond were determined in a documented procedure. Communication procedure was established and implemented by the organisation. Communication procedure describes the method to follow up the information request from interested party. All information requests from stakeholder were listed and recorded by Mill and Estate on logbook “Record of information request and responses (Daftar Informasi untuk Stakeholder dan Tanggapannya), The information includes the problem of social, legal and environmental. The company has made a list of stakeholders by category (government agencies, village, religious leaders / village community and business partners). List of stakeholders is well maintained and always done regularly update data (6 months), the last performed update on 28 July 2015, which is responsible in this case is the SPO Ofiicer. All information can be accessed by interested parties. Provision of information to be known by Estate Manager and approved by the Regional Controller (RC). If the information is confidential trade must go through the approval of Head Office. Provision of information to the relevant agencies recorded in the logbook "Daftar Informasi untuk Stakeholder" form no. F/SMART/UMUM/SADV/004/003. All information provided in several stakeholders are in accordance with the terms and language used, for example in the form of reports and the contents of the report. Delivery of Information is delivered in Bahasa Indonesian so it can be understood by employees and stakeholders.
(M) Records of requests for information and responses shall be maintained. Guidance: Growers and millers should have a Standard Operating Procedure (SOP) to respond constructively to stakeholders, including a specific timeframe to respond to requests for information. Growers and millers should respond constructively and promptly to requests for information from stakeholders. Growers and millers should ensure that sufficient objective evidence exists to demonstrate that the response is timely and appropriate. See Criterion 1.2 for requirements relating to publicly available documentation. See Criterion 6.2 on consultation.
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NO
CRITERION / INDICATOR CHECKLIST See Criterion 4.1 on SOPs. a. Does the company have an SOP to ensure constructive response to stakeholders?
OBSERVATIONS & OBJECTIVE EVIDENCE
b.
Who is the personnel in charge (PIC)?
c.
Does the SOP cover the elements under 1.1.1?
d.
Is there a clear time frame for response to request for information?
e.
Are records of requests for information and responses maintained?
f.
Are responses to requests for information timely and appropriate?
Procedure No.SOP/SMART/UMUM/SADV/I/ 004, dated 1 July 2014 Prosedur Komunikasi dan Konsultasi. Logbook Daftar Informasi untuk Stakeholder dan Tanggapannya. Social Impact Assessment (SIA) Report Juni – July 2010 Monitoring and Review of SIA period June 2012 – December 2014 Report of retributions / Local Tax Report of the environment, including: EIA, RKL / RPL report RKL / RPL P2K3 reports
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Organization has established a mechanism for receiving and providing information in the procedure No.SOP/SMART/UMUM/SADV/I/004, dated 1 July 2014 Procedure “Komunikasi dan Konsultasi”. List of stakeholder and types of information are updated every 6 months or if there are changes, SPO Officer responsible for updating the data. The latest update of List Stakeholders and Types of Information, performed in June 2015. With the use of the log book "Daftar Informasi untuk Stakeholder dan Tanggapannya", the organization (Estate and Mill) can monitor all of the information that is communicated to stakeholders. Stakeholders List and Related Information has been compiled in Form no. F/SMART/UMUM/SADV/004/003 (Jenis informasi dan stakeholder terkait), dated 4 August 2014, defines the type of document that is available for each stakeholder and also includes the type of report must be sent to the relevant agencies that need. Based on the 'list of information' above, some of the information that can be accessed by stakeholders are included: legal, social, environmental, production, and others, all the information is accessible must be approved by management (Regional Controller / RC). Organization has established a mechanism for receiving and providing information in the No.SOP/SMART/UMUM/SADV/I/004, dated 1 July 2014 Prosedur Komunikasi dan Konsultasi. The response to requests for information by the above procedure is at least 30 days or 4 weeks. A list of the information available to the public include:
- Social and employment, including: employment list, a list of facilities and
infrastructure / facilities of the company, reports the Social Impact Assessment (SIA) and its realization CSR program, list of participants and evidence pembayarannnya worker.
- Report of retributions / Local Tax - Report of the environment, including: EIA, RKL / RPL report RKL / RPL
implementation, execution reports LA, B3 Reports, Reports Identification of high conservation value areas (HCVF)
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NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
- Health and Safety (K3), includes: List of heavy equipment, P2K3 reports, program management and implementation K3
1.2 1.2.1
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. (M) Publicly available documents shall include, but are not necessarily limited to: • Land titles/user rights (Criterion 2.2); • Occupational health and safety plans (Criterion 4.7); • Plans and impact assessments relating to environmental and social impacts (Criteria 5.1, 6.1, 7.1 and 7.8); • HCV documentation (Criteria 5.2 and 7.3); • Pollution prevention and reduction plans (Criterion 5.6); • Details of complaints and grievances (Criterion 6.3); • Negotiation procedures (Criterion 6.4); • Continual improvement plans (Criterion 8.1); • Public summary of certification assessment report; • Human Rights Policy (Criterion 6.13). Guidance: This concerns management documents relating to environmental, social and legal issues that are relevant to compliance with RSPO Criteria. Management documents will include monitoring reports. The auditors will comment on the adequacy of each of the documents listed in the public summary of the assessment report. Examples of commercially confidential information include financial data such as costs and income, and details relating to customers and/or suppliers. Data that affects personal privacy should also be confidential. Ongoing disputes (within or outside of a legal mechanism) can be considered as confidential information where disclosure could result in potential negative outcomes for all parties involved. However, affected stakeholders and those seeking resolution to conflict should have access to relevant information. Examples of information where disclosure could result in potential negative environmental or social outcomes include information on sites of rare species where disclosure could increase the risk of hunting or capture for trade, or sacred sites which a community wishes to maintain as private. Growers and millers should ensure that sufficient objective evidence exists to demonstrate that the level of measuring and monitoring of the management plan, and information, is appropriate and made available. For National Interpretation: Specific approaches to personal privacy safeguards, including any legal requirements, will be considered. a. How are the management documents Document related: Organisation documents that is generally available by the organisation. List of YES listed in (c) below made publicly available? management documents are publicly available such as: Site Permit (Izin Lokasi), Social Impact Assessment (SIA) Land Use Title (HGU), Plantation Operation Permit (IUP), Environmental and Report Juni – July 2010
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NO b. c.
CRITERION / INDICATOR CHECKLIST Where are the documents placed? Is the information provided adequate? Note: At minimum, an information summary of the document listed below should be made available.
Land titles/user rights (Criterion 2.2) Legal boundaries ,land use, classification, total area, grant title, permit validity , NCR rights, Occupational health and safety plans (Criterion 4.7); risk assessment and mitigation, emergency response plan, training, accident records Plans and impact assessments relating to environmental and social impacts (Criteria 5.1, 6.1, 7.1 and 7.8); main social and environmental impacts and mitigation measures, HCV documentation (Criteria 5.2 and 7.3); identification on HCV areas, maps, management and monitoring HCV Pollution prevention and reduction plans (Criterion 5.6); identification of pollutants, management and reduction measures Details of complaints and grievances (Criterion 6.3);
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OBSERVATIONS & OBJECTIVE EVIDENCE Monitoring and Review of SIA period June 2012 – December 2014 AMDAL Site Permit (Izin Lokasi), Land Use Title (HGU) Report (RKL and RPL implementation reports), HCV Assessment report
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Environment Impact Analysis document (AMDAL), environmental management and monitoring report (RKL and RPL implementation reports), HCV Assessment report, Social Impact Assessment (SIA) Report, Occupational Health and Safety Management Plan, Corporate Social Responsibility (CSR) and Continuous Improvement Plan Those documents were accessible and shown during this audit. The documented procedure was established, it’s mentioning the process and responsibilities and authorities in regards responding the request on information from the public. The coverage of request on information as stated in the procedure including information on legal documents, environmental documents, social activities documents, occupational health and safety programme documents and continual improvement documents.
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NO
d. e.
CRITERION / INDICATOR CHECKLIST nature of complaints, parties involved, status of case Negotiation procedures (Criterion 6.4); SOP, consultative, neutral, inclusiveness, timeframe, responsibility Continual improvement plans (Criterion 8.1); for all elements under 8.1, Public summary of certification assessment report; follow RSPO format Human Rights Policy (Criterion 6.13). policy statement should comply to the requirements of 6.13 Do the management documents contain monitoring plans and reports?
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Are all monitoring reports publicly available?
1.31
Growers and millers commit to ethical conduct in all business operations and transactions. *1 New Criteria - Growers and millers commit to ethical conduct in all business operations and transactions.
1.3.1
There shall be a written policy committing to a code of ethical conduct and integrity in all operations and transactions, which shall be documented and communicated to all levels of the workforce and operations. Guidance: All levels of the operations will include contracted third parties (e.g those involved in security). The policy should include as a minimum: • A respect for fair conduct of business; • A prohibition of all forms of corruption, bribery and fraudulent use of funds and resources; • A proper disclosure of information in accordance with applicable regulations and accepted industry practices. The policy should be set within the framework of the UN Convention Against Corruption, in particular Article 12.
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NO a.
CRITERION / INDICATOR CHECKLIST Is there a written policy committing to a code of ethical conduct and integrity in all operations and transactions?
b.
Does the policy include as a minimum: A respect for fair conduct of business? A prohibition of all forms of corruption, bribery and fraudulent use of funds and resources? A proper disclosure of information in accordance with applicable regulations and accepted industry practices?
c.
Is the policy documented and communicated to all levels of the workforce and operations, including contracted third parties? How is it communicated?
d.
OBSERVATIONS & OBJECTIVE EVIDENCE Policy "Principles of Business Ethics" signed by Vice President of Agriculture (VPA), August 2014 Attendance list regarding dissemination of ethical conduct and integrity policy
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR PT. SMART Tbk has established the policy "Principles of Business Ethics" signed by VPA on 1 August 2014. committed to continue practicing responsible business ethics referring to the shared values of Companies namely integrity, positive attitude, commitment, continuous improvement, innovation and loyalty as well as in accordance with the rules, SPO principles and criteria. It consists of five policy which can be summarized in: - Corporate practice and disseminating the shared values to all employees in all business activities - Support the implementation of the 10 principles of UNGC in which there was core value of devices that is human rights, labour, environment and anti-corruption - Company not provide for any tolerance of corruption in business practices that performed by employees - Company committed to the ethical standards of behaviour in the management of all activities of business practices - Company implement good corporate governance This policy has been disseminated to all employees and contractors corporate partners. Evidence of dissemination in the form of attendance list and minutes of socialization were available. The policy has been disseminated to all employees on 18 June 2015 and on contactor (TBS contracting transport, etc.) on 14 June 2015.
Are the documentation and communication done in the appropriate languages?
Note to auditor: The workforce should be interviewed to determine level of understanding of policy
PRINCIPLES 2: COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS NO 2.1
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE CHECKLIST EVIDENCE There is compliance with all applicable local, national and ratified international laws and regulations.
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COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
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CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE CHECKLIST EVIDENCE (M) Evidence of compliance with relevant legal requirements shall be available.
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Guidance: Implementing all legal requirements is an essential baseline requirement for all growers whatever their location or size. Relevant legislation includes, but is not limited to: regulations governing land tenure and land-use rights, labour, agricultural practices (e.g. chemical use), environment (e.g. wildlife laws, pollution, environmental management and forestry laws), storage, transportation and processing practices. It also includes laws made pursuant to a country’s obligations under international laws or conventions (e.g. the Convention on Biological Diversity (CBD), ILO core Conventions, UN Guiding Principles on Business and Human Rights). Furthermore, where countries have provisions to respect customary law, these will be taken into account. Key international laws and conventions are set out in Annex 1 Contradictions and inconsistencies should be identified and solutions suggested. For National Interpretation: All relevant legislation will be identified, and any particularly important requirements identified. a. Is the complete list of legal requirements List and Evaluation of Regulation The relevant legal requirement or regulations for mill and estates have been YES available? (Refer to relevant NIs or LIs for and Legal Requirement established and identified. Copies of the legal requirements were shown and list of legal requirements) maintained properly. The regulations were regarding to: Records of Implementation: b. Does the company have copies of the OHS Legal requirements: lifting equipment, permits of machinery, safety Notes of Meeting Safety legal requirements? committee, safety officer, medical insurance, monitoring of working Committee environment, paramedic and first aid officer, clinic for workers, handling of Quarterly Safety Performance hazardous materials including pesticides, firefighting team and equipment Note to auditor: A due diligence on the Report etc. company/area or management unit on legal Measurement Report of OHS compliance should be conducted prior to field Enviromental legal requirements: waste water discharge permit, river water Parameters audit. Any non-compliance should be verified and ground water abstraction permits, hazardous waste storage permit, Valid permit of lifting equipment, during the field audit. provision of required infrastructure waste water treatment ponds, handling of machinery etc. Relevant legislation includes, but is not limited hazardous waste. Valid permit of boiler operator to: regulations governing land tenure and landand lifting equipment operator, Social legal requirements: minimum wage, labour law, occupational safety, use rights, labour, agricultural practices (e.g. etc. employee social benefit. chemical use), environment (e.g. wildlife laws, Medical Surveillance Reports pollution, environmental management and Slip of Incident Insurance Status of compliance with the applicable laws and regulations were evaluated, forestry laws), storage, transportation and and evaluation of compliance result indicated that compliance status was justified Payment processing practices. It also includes laws Result of analysis of waste with reference to the objective evidence of compliance. made pursuant to a country’s obligations under water discharge quality, Example: international laws or conventions (e.g. the stationaly emission, ambient air, Convention on Biological Diversity (CBD), ILO PROPER evaluation by Ministry of Environment has concluded that moving source emission core Conventions and UN Guiding Principles on Batu Ampar Mill granted for BLUE award which indicated status of their Hazardous waste manifests Doc ID: 3843 / Issue Date May, 2014
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NO
2.1.2
CRITERION / INDICATOR CHECKLIST Business and Human Rights.
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR environmental legal compliance for period 2014 – 2015.
Provision of valid permits: hazardous waste temporary storage and land application permit; boiler, sterilizer, pressurized vessel permits, lifting equipment, personnel who conduct lifting equipment operation and clinic permit
Provision of required infrastructure for environmental management: waste water treatment ponds, hazardous waste storage
Availability of several MSDS.
periodic environmental parameter monitoring (stationary emission, ambient emission and ambient noise, moving source emission, waste water discharge quality, and ground water quality)
system of plant cultivation, oil palm plantation,
list of protected flora and fauna,
management of protected area,
paramedic and company doctor, medical check-up, safety committee,
Minimum wage, labour law, occupational safety, employee social benefit.
Transport and lifting equipment certification by regulatory body. A documented system, which includes written information on legal requirements, shall be maintained. a.
Is there a document system which includes the following? - Personnel in charge to manage - Set of legal documents - Comprehensive list of international, national, sub-national and provincial laws which details the requirements of specific to the mill and estate operations. - Relevant sections within the law that
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SOP/SMART/UMUM/SADV/I/002 List and Evaluation of Regulation and Legal Requirement F/SMART/UMUM/SADV/002/001 – List of regulation
Procedure Identification and evaluation compliance against laws and regulations was available. The PIC to manage the compliance was Safety Officer, Environmental Officer, SPO Officer. List of applicable laws and regulations included the resume of requirements were available and maintained. The copies of the regulations were distributed to related section according to their evaluation.
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YES
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CRITERION / INDICATOR CHECKLIST is identified and linked to activities
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
b.
2.1.3
Are the documents available to all levels of management? A mechanism for ensuring compliance shall be implemented. a.
Is an internal audit for legal compliance conducted annually and documented?
SOP/SMART/UMUM/SADV/I/002 OHS Internal audit report 16 April 2015 List and Evaluation of Regulation and Legal Requirement
Mechanism for ensuring compliance with all applicable local, national and ratified international laws and regulations was described in SOP/SMART/UMUM/SADV/I/002.
YES
For OHS law and regulations, internal audit were planned annually. The last audit was on 16 April 2015 conducted by approved OHS auditor by authority. The audit checklist covered the implementation of the all applied regulations. For the other law and regulations internal audit for legal compliance was conducted during RSPO internal audit which conducted by Sustainability Department Head Office. Last of evaluation of legal compliance was conducted on 6 July 2015.
2.1.4
A system for tracking any changes in the law shall be implemented. Specific Guidance: For 2.1.4: The systems used for tracking any changes in laws and regulations should be appropriate to the scale of the organisation. a. Is there a documented methodology (e.g.: SOP/SMART/UMUM/SADV/I/002 Documented procedure exists and implemented for accessing and identifying personnel in charge (PIC), source of info, F/SMART/UMUM/SADV/002/003 changes in the regulations. The system established to ensure: frequency of update) for tracking changes - Collecting related legislation – Contact list for updating of and communication of changes to - Determination of regulations referred regulation relevant sections of the legislation? - Distribution of regulations to relevant authorities regarding F/SMART/UMUM/SADV/002/004 - Implementation of regulations and requirements – Monitoring of regulation - Maintaining the of renewal regulations updating Records and implementation observed during audit shown that changes were well identified, and the latest legal requirements were well documented in the list of legal requirements. Contacts with regulatory body for updating legal requirements were well documented. SPO Officer has responsibility to update the change of law and regulations.Last updating of the regulations requirements was conducted in February 2015. Updating law and regulations changes were well documented. There were several
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YES
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NO
2.2 2.2.1
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
new regulations: Permen LH 5/2014, PP 101/2014, Peraturan Gubernur Kalimantan Selatan 05/2007, UU no. 2/2014 Penyelesaian Bunganan Industrial. The changes of applicable legal and other requirements have been reviewed and socialized to workers. The right to use the land is demonstrated, and is not legitimately contested by local people who can demonstrate that they have legal, customary or user rights. (M) Documents showing legal ownership or lease, history of land tenure and the actual legal use of the land shall be available. Guidance Where there is a conflict on the condition of land use as per land title, growers should show evidence that necessary action has been taken to resolve the conflict with relevant parties. A mechanism should be in place to resolve any conflict (Criteria 6.3 and 6.4). Where operations overlap with other rights holders, companies should resolve the issue with the appropriate authorities, consistent with Criteria 6.3 and 6.4. For National Interpretation: Any legal, customary or user rights to land, or disputes, which are likely to be relevant, will be identified. a. Are there documents showing legal - Location Permit This surveillance audit was conducted to BAMM, BAME, BMLE, SPNE and YES ownership or lease of the land available? - Plantation Permit SPNA. Documents that showing legal ownership of land tenure and the actual (e.g. land titles, lease documents) - Forest Release Permit (IPKH) legal use of the land was available in the form of concession and HGU license - Documents of land use tittle document. Document and License Department of PT. SMART Tbk keeps the b. Are there documents showing history of (HGU certificate). original HGU documents, while Estates keep the copies of HGU certificate. land tenure available? (e.g. legal Licenses document were available at Estates audited. Following are Plantation SHM certificate documents showing land status change, Operation Permit and HGU reviewed during this audit: SIA and EIA reports, HCV assessment reports) 1. BAME and BMLE: c. Are there documents showing the actual Site permit #SK.02/PL.84/1989/AGR.43, dated 15 March 1989 +/1 legal use of the land available? 10,000 Ha, permit was given to PT. Inti Gerak Maju. Site permit No. SK.02/PL.61/7 d. Are the documents complete? Forest land release permit (Izin pelepasan kawasan hutan) No. 151/Kpts-11/1993, +/- 4,789 Ha, dated 18 April 1993 and No. 115/Kpts11/1996, +/- 3,080Ha, dated 27 March 1996. A total is +/- 7,799 Ha. Decree of Ministry of Agrarian/Head of BPN (National Land Agency) #52/HGU/BPN/98 on 30 June 1998 HGU #23 Desa Sei Dua, Batu Ampar and Serongga, Kec. Batulicin and Kelumpang Selatan, Kab. Kota Baru, dated 28 July 2000. Area: 4,719.673 Ha (BAME). HGU #24 Desa Langadai, Tengah Keramat and Sei Tabuk, Kec. Kelumpang Selatan Kab. Kota Baru, dated 20 July
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OBSERVATIONS & OBJECTIVE EVIDENCE
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COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR 2000. Area: 2,929.037 Ha. Permit was given to PT. Inti Gerak Maju. PT. Inti Gerak Maju was taken over by PT. Tapian Nadenggan in 2007, based on Notary Letter, Suhartini SH, dated 20 April 2007. Plantation permit previously was given to PT Inti Gerak Maju No. 464/Menhutbun-VII/2000 total 7,648.71 Ha and transferred to PT Tapian Nadenggan, dated 11 October 2011.
2.
SPNE: Site permit: No. SK.04/PI-84/1989/AGR-43 issued by Governor of South Kalimantan, to PT. Sinar Kencana Inti Perkasa, dated 11 April 1989 for a total of +/- 14,000 Ha. Forest land release permit (Izin pelepasan kawasan hutan) No. 326/Kpts-11/1994 dated 5 August 1994 issued by Minister of Forestry of the Republic of Indonesia for a total of +/- 13,358.83 Ha, Kelompok Hutan Sungai Pangapitan, Sungai Senakin, Sungai Kupang and Sungai Serongga Plantation permit No. 465/Menhutbun-VII/2000 for a total of 14,972.39 Ha to PT. Sinar Kencana Inti Perkasa. Decree of Ministry of Agrarian/Head of BPN (National Land Agency) #8/HGU/BPN/96 on 14 February 1996 to PT. Sinar Kencana Inti Perkasa HGU #01, to PT. Sinar Kencana Inti Perkasa, dated 23 September 1996, Desa Pulau Panci, Serongga, Bakau, Sungai Kupang for a total of 4,077.40 Ha
3.
SPNA Consists of 5 villages in Kotabaru Regency (Kabupaten Kotabaru) i.e. Telagasari, Plajau Baru, Mandala, Sukamaju and Pulau Panci. First stage permit issued by Kotabaru Regent No. 6/2000, in regard decision on location for land consolidation in Kotabaru Regency (penetapan lokasi pelaksanaan konsolidasi tanah di Kabupaten Kotabaru). This permit was strengthened with the permits from BPN (National Land Agency) in regard decision approval on state land for agricultural land
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SUMMARY OF FINDINGS FOR EACH INDICATOR
consolidation for respective village and then finally by issuance of land own title (SHM) for each farmer. Decree of BPN Head No.30-XI-2002 (Telagasari) for area of 788.00 Ha. Decree of BPN Head No.32-XI-2003 (Plajau Baru) for area of 690.98 Ha. Decree of BPN Head No.46-XI-2004 (Mandala) for area of 705.75 Ha. Decree of BPN Head No.36-XI-2005 (Sukamaju) for area of 606.50 Ha. Decree of BPN Head No.30-XI-2006 (Pulau Panci) for area of 456.26 Ha.
Some of SHM are: Decree of BPN Head No. 19/420.3/M-1/435-KP-10, SHM #289 Mandala) for area 17,500 m2 Decree of BPN Head No. 18/420.3/M-1/471-KP-10, SHM #146 Telaga) for area 25,000 m2 Decree of BPN Head No. 420/33/144/KP-10, SHM #2 (Desa Panci) for area 20,000 m2 Decree of BPN Head No. 420/33/144/KP-13, SHM #5 (Desa Panci) for area 20,000 m2 Decree of BPN Head No. 20/420.3/M-1/399.KP-10, SHM #168 Sukamaju) for area 20,000 m2
(Desa (Desa Pulau Pulau (Desa
It was noted that SHM for Desa Plajau Baru has not been finished. The organization has conducted communication with BPN through letter #07/DL/SKIP/XII/2014 dated 10 December 2014 however there was no reply from BPN. Several visiting to BPN has also been conducted. 4.
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BAMM: Site permit: issued by Bupati Kotabaru #04/1999 to PT. SMART Tbk. Building use title issued by BPN #03 and #04, dated 23 October 2000 PT. SMART Tbk Palm oil mill building title issued by Bupati Kotabaru, dated 05 February
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CRITERION / INDICATOR CHECKLIST
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR 2000 PT. SMART Tbk
2.2.2
Legal boundaries shall be clearly demarcated and visibly maintained. Specific Guidance: For 2.2.2: Plantation operations should cease on land planted beyond the legally determined area and there should be specific plans in place to address such issues for associated smallholders. a. Is there a legal map showing location of - SOP/SMART/CERSLegal map showing location of boundary markers is documented in “Map of YES boundary markers? EHSD/SADV/I/004 – boundary pegs”. The map described pegs number and GPS location. (Minor NCR Maintenance of Boundary Pegs 2015-01 closed) b. Is there physical presence of boundary - Logbook of activity (Buku HGU pegs observed were: markers? Kegiatan Mandor – BKM). BAME: c. Is there an SOP for boundary demarcation - Map of legal boundary - #037 (03º12’17.9” S and 116º04’39.1” E) and maintenance? - Program of boundary pegs - #051 (03º13’23.4” S and 116º04’34.6” E) maintenance 2015 - #077 Note to auditor: Ground verification of boundary - Field Observation to HGU pegs - #084 - #128 markers using GPS should be conducted. Priority should be on boundaries with other estates, community areas, protected area and rivers In the case of Associated Smallholders: d. Are there documents showing that the boundaries of associated smallholders have been recorded and verified by the mill? e.
In case of boundary breach, is there proof of a mitigation plan being implemented?
SPNE: - #039 (03º08’10.18” S and 116º00’34.98” E) - #021 (03º08’54.68” S and 116º01’39.41” E) - #014 (03º07’38.58” S and 116º00’29.9” E) - #015 (03º07’43.41” S and 116º00’53.83” E SPNA: - #MDL 7 (03º10’2.41” S and 116º03’09.0” E) - #MDL 8 (03º10’21.78” S and 116º03’08.83” E) - #MDL 6 (03º10’01.57” S and 116º02’59.06” E) - #MDL 4 (03º09’50.83” S and 116º01’54.29” E) - #MDL 32 (03º11’13.50” S and 116º01’58.61” E) BMLE: - #043 (03º10’28.3” S and 116º07’11.0” E) - #039 (03º10’17.6” S and 116º06’45.6” E) - #031 (03º09’56.9” S and 116º06’13.0” E)
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NO
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SUMMARY OF FINDINGS FOR EACH INDICATOR -
#020 (03º10’15.8” S and 115º05’24.2” E) #016 (03º10’42.2” S and 115º05’09.5” E)
Legal boundaries are clearly demarcated and maintained. All pegs were in good condition and maintained. Plantation activity such as upkeep and harvesting were conducted inside the border. Procedure of boundary pegs maintenance was described in SOP/SMART/CERSEHSD/SADV/I/004 – Maintenance of Boundary Pegs. Estates has program to maintenance boundary pegs such as cleaning of pegs circle three times a year, pegs repainting twice a year and pegs repairing twice a year. A review to legal boundaries maintenance records at BAME, SPNE, SPNA and field observation to a number of legal boundaries demonstrated that the legal boundaries were well maintained by Estates.Last activities of maintenance were conducted in June 2015 (BAME, SPNE, SPNA). Report of boundary pegs condition was recorded in their log book (Buku Kegiatan Mandor – BKM). Minor Non-conformance 2015-01 Identity of legal boundary was not according to legal map, e.g. legal boundary #16, #17, #18, #45 and #46 (BAME) Location of legal boundary was not according to legal map, e.g. #14 in Block F.09 Division II SPNE. 2.2.3
Where there are or have been disputes, additional proof of legal acquisition of title and evidence that fair compensation has been made to previous owners and occupants shall be available, and that these have been accepted with free, prior and informed consent (FPIC). a.
Are there, or have there been any land disputes?
Note to auditor: Due diligence should be conducted on the management to provide evidence that there has been no historical or current land dispute
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Document of the compensation report, including: Minutes of Acceptance, receipt / kuitansi, letter from the head of the village.
Based on review of land compensation records and also result of interview with stakeholders, all Estates and Plasma has not a problem of land disputes.
Information gathered from public consultation
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YES
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NO b.
c.
2.2.4
CRITERION / INDICATOR CHECKLIST If there are or have been disputes, are there: Documents to proof legal acquisition? Records of FPIC process?
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
If there has been acquisition involving compensation, are there: Records that Fair compensation has been provided and accepted by parties involved? Records that all affected parties are consulted and represented? Documents of negotiations/discussion available?
Note to auditor: There should be direct verification of above with the affected parties (M) There shall be an absence of significant land conflict, unless requirements for acceptable conflict resolution processes (see Criteria 6.3 and 6.4) are implemented and accepted by the parties involved. a.
Does the company have cases of significant land conflict? (i.e. preventing the company from operating normally)
b.
If the company has cases of conflict, are records of the following available? - Status of conflict - SOP/ mechanism for conflict resolution - Implementation of SOP/mechanism - Acceptance of the procedures by all parties - Records of conflict resolution
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Public Consultation with Village Head and community leader around BAME, BMLE, SPNE, SPNA and BAMM on 4 and 6 August 2015 and information from Estate and Mill Manager Procedure SOP/SMART/SENSCSRD/SADV/I/002, 1 July 2010; Land of Conflict Resolution.
Referring to the result of interview with stakeholder, there was no significant land conflict identified/present in all Estates and Plasma has not a problem of land disputes or conflict area. Land dispute resolution mechanism described in the procedure SOP/SMART/SENS-CSRD/SADV/I/002, 1 July 2010; Land of Conflict Resolution. Processes and procedures of land compensation described in the SOP/NP/SMART/VII/D&L 002, date of 1 July 2010.
Procedures of Processes land
compensation described in the SOP/NP/SMART/VII/D&L 002, date of 1 July 2010. WORK ITEM:WI-700160 © SAI Global Limited Copyright 2008 - ABN 67 050 611 642
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NA
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CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) For any conflict or dispute over the land, the extent of the disputed area shall be mapped out in a participatory way with involvement of affected parties (including neighbouring communities where applicable). a.
Is there an SOP for participatory mapping of disputed area?
b.
Is a dispute map available?
c.
Is there documented evidence of involvement and acceptance by the affected parties?
Note to auditor: Actual ground verification showing the accuracy of the dispute map should be conducted
Procedure SOP/SMART/SENSCSRD/SADV/I/002, 1 July 2010; Land of Conflict Resolution. Procedures of Processes land compensation described in the SOP/NP/SMART/VII/D&L 002, date of 1 July 2010.
Land claims settlement begins by verifying the validity of the land claim documents (map location). Then the field of physical examination, involving village officials and community leaders.
N/A
The physical examination included also with the Berita Acara Pemeriksaan Lapangan including maps the location in question. Then the verification is done with the land claim documents HGU permits. If the problem can not be resolved land claims in the Estate level, the land issues will be coordinated with the Legal Head Office team. Steps to resolve land claims with the the public that are set by consensus and if the settlement agreement is not found, then it and settled based on the laws in force.
2.2.6
(M) To avoid escalation of conflict, there shall be no evidence that palm oil operations have instigated violence in maintaining peace and order in their current and planned operations.
2.3
Specific Guidance: For 2.2.6: Company policy should prohibit the use of mercenaries and para-militaries in their operations. Company policy should prohibit extra-judicial intimidation and harassment by contracted security forces (see Criterion 6.13). a. Does the company have a policy to HGU Map Estate has been developed more than 16 years. Based on Public Consultation YES circumvent instigated violence to maintain with Village Head and community leader around BAME, BMLE, SPNA and SPNE Public Consultation with Village peace and order in current and planned on 4 and 6 August 2015 there was no evidence that palm oil operations have Head and community leader operations? instigated violence in maintaining peace and order in their current and planned around BAME, SPNE, BMLE, operations. b. Is there any evidence of: SPNA and BAMM on 4 and 6 - The use of confrontation and August 2015 intimidation by the company to maintain peace and order? - Use of para-militaries and mercenaries in the plantation? Use of the land for oil palm does not diminish the legal, customary or user rights of other users without their free, prior and informed consent.
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NO 2.3.1
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) (M) Maps of an appropriate scale showing the extent of recognised legal, customary or user rights (Criteria 2.2, 7.5 and 7.6) shall be developed through participatory mapping involving affected parties (including neighbouring communities where applicable, and relevant authorities). Guidance: All indicators will apply to current operations, but there are exceptions for long-established plantations which may not have records dating back to the time of the decision making, in particular for compliance with Indicators 2.3.1 and 2.3.2. Where there are legal or customary rights over land, the grower should demonstrate that these rights are understood and are not being threatened or reduced. This Criterion should be considered in conjunction with Criteria 6.4, 7.5 and 7.6. Where customary rights areas are unclear these should be established through participatory mapping exercises involving affected parties (including neighbouring communities and local authorities). This Criterion allows for sales and negotiated agreements to compensate other users for lost benefits and/or relinquished rights. Negotiated agreements should be non-coercive and entered into voluntarily, carried out prior to new investments or operations, and based on an open sharing of all relevant information. The representation of communities should be transparent and in open communication with other community members. Adequate time should be given for customary decision making and iterative negotiations allowed for, where requested. Negotiated agreements should be binding on all parties and enforceable in the courts. Establishing certainty in land negotiations is of long-term benefit for all parties. Companies should be especially careful where they are offered lands acquired from the State by its invoking the national interest (also known as ‘eminent domain’). Growers and millers should refer to the RSPO approved FPIC guidance (‘FPIC and the RSPO: A Guide for Companies’, October 2008) For National Interpretation: Any commonly encountered situations should be identified. a. Does the company have an SOP on FPIC? Site Permit (Izin Lokasi), Land Use Title (HGU) b. Is there evidence that the identification of legal, customary or user rights has been done through FPIC process? c.
Is there evidence that the FPIC process has been implemented in accordance to the company SOP? Where is this evidence recorded? (E.g.: Documents, Minutes of meeting, Records, Agreements, Maps etc.)
d.
Is there a map of the extent of legal, customary or user rights? Is this map of appropriate scale (1: 10,000)?
e.
Was the map produced through participatory mapping with reference to
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Maps have been developed for each estate indicating Legal demarcation and planted areas. Planted areas of the Estate are wholly on Government land, leased under HGU.
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YES
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CRITERION / INDICATOR CHECKLIST SIA and HCV assessment?
NO
2.3.2
f.
Does the map have a title, legend, source, scale and projections/georeference?
g.
Are the maps accepted by the relevant communities?
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Copies of negotiated agreements detailing the process of free, prior and informed consent (FPIC) (Criteria 2.2, 7.5 and 7.6) shall be available and shall include: a) Evidence that a plan has been developed through consultation and discussion with all affected groups in the communities, and that information has been provided to all affected groups, including information on the steps that shall be taken to involve them in decision making; b) Evidence that the company has respected communities’ decisions to give or withhold their consent to the operation at the time that this decision was taken; c) Evidence that the legal, economic, environmental and social implications for permitting operations on their land have been understood and accepted by affected communities, including the implications for the legal status of their land at the expiry of the company’s title, concession or lease on the land. a. Are copies of negotiated agreements with Procedure SOP/SMART/SENSIt was confirmed during group discussion that no land within mill and estates are NA affected parties available? CSRD/SADV/I/002, 1 July 2010; encumbered by legal or customary rights. Land compensation had been made Land of Conflict Resolution. before the land use concession (HGU) processing. Maps have been owned b. Is there evidence that the agreement is indicating legal demarcation and planted areas according by HGU. prepared through proper FPIC process? Procedures of Processes land compensation described in the c. Does the agreement contain the following: Procedure for FPIC process was available, and during public consultation with SOP/NP/SMART/VII/D&L 002, - An action plan developed through Villages Heads (Serongga village, Langadai village, Sukamaju village, Pulau date of 1 July 2010. consultation with affected parties, is Panci village etc.), it was confirmed that the procedure was made in consultation inclusive and evidence that members Public Consultation with Village and discussion with them. of affected parties are well informed Head and community leader and involved in the decision making The procedure was consulted with surrounding communities around the area of around around BAME, SPNE, process PT SMART Tbk. (BAMM, BAME and SPNE) on 14 September 2010. BMLE, SPNA and BAMM on 4 - Evidence of options to give or and 6 August 2015 withhold consent for development The presence or absence of - Evidence that members of the socialization / consultation with affected communities understand and community leaders on 14 accept the implication involved in September 2010 permitting/rejecting oil palm development on their land (E.g.: legal status, social, environmental, economic) - Evidence that the negotiated
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NO
2.3.3
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE agreement was entered voluntarily without coercion by all parties - Evidence that adequate time was given for customary decision making and iterative negotiations - Clause which states that the negotiated agreement is legally binding All relevant information shall be available in appropriate forms and languages, including assessments of impacts, proposed benefit sharing, and legal arrangements.
a.
2.3.4
Is there evidence that all the information (maps, agreement, records, impact assessment, benefit sharing and legal arrangements) is available in appropriate forms and languages, understood and accessible to affected parties?
Procedure of Land of Conflict Resolution No. SOP/SPO/SMART/LH-04, 1 July 2010
All information related to village communities around the plantations, including stakeholdes and smallholders, in the delivery of information, including assessments of impacts, proposed benefit sharing and legal arrangements are presented in Indonesian language and grammar that is simple and easy to understand.
COMPLIANCE (YES/NO)
YES
Note to auditor: this should be cross checked to a sample of the affected parties (M) Evidence shall be available to show that communities are represented through institutions or representatives of their own choosing, including legal counsel. Specific Guidance: For 2.3.4: Evidence should be available from the companies, communities or other relevant stakeholders. a. Who is the representative of the Document of the compensation Based on the attendance list at the time of dissemination to the public, seen some community in the negotiation process? report, including: Minutes of village chief and the local village. Evidence shows that people have determined Acceptance, receipt / kuitansi, letter their representatives through the local village chief. Based on the proof of delivery b. Is the representative accepted by the from the head of the village. of compensation is also visible signature of the head of the village which is also community? accompanied by current photo handover compensation. c. Is the record of appointment to represent the community available and shared with other parties?
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YES
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PRINCIPLES 3: COMMITMENT TO LONG-TERM ECONOMIC AND FINANCIAL VIABILITY NO 3.1 3.1.1
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE There is an implemented management plan that aims to achieve long-term economic and financial viability.
COMPLIANCE (YES/NO)
(M) A business or management plan (minimum three years) shall be documented that includes, where appropriate, a business case for scheme smallholders. Specific Guidance: For 3.1.1: The business or management plan should contain: • Attention to quality of planting materials; • Crop projection = Fresh Fruit Bunches (FFB) yield trends; • Mill extraction rates = Oil Extraction Rate (OER) trends; • Cost of Production = cost per tonne of Crude Palm Oil (CPO) trends; • Forecast prices; • Financial indicators. Suggested calculation: trends in 3-year running mean over the last decade (FFB trends may need to allow for low yield during major replanting programmes). Guidance: Whilst it is recognised that long-term profitability is also affected by factors outside their direct control, top management should be able to demonstrate attention to economic and financial viability through long-term management planning. There should be longer term planning for plantations on peat, particularly in regards to subsidence and flooding issues (see Indicator 4.3.5). Consideration of smallholders should be inherent in all management planning where applicable (see also Criteria 6.10 and 6.11). For scheme smallholders the content will vary from that suggested (refer to RSPO Guidance On Scheme Smallholders, July 2009). Growers should have a system to improve practices in line with new information and techniques. For smallholder schemes, the scheme management should be expected to provide their members with information on significant improvements. This Criterion is not applicable to independent smallholders (refer to RSPO Guidance for Independent Smallholders under Group Certification, June 2010) a. Does the company have a documented Business management plan for the The company has set up a business management plan for the next 5 years and YES business or management plan with a next 5 years and the forecast in the forecast have been well documented in the document management plan of minimum planning period of 3 years? document “Profitability PT. SMART PT. SMART Tbk. – Batu Ampar Mill 2015 – 2020. Management plan was set up Tbk. – Batu Ampar Mill 2015 – including independent FFB suppliers. Its management plan include: b. Does it include the following: 2020” including independent FFB - FFB Production actual 2013 and 2014 and projection 2015 – 2020 - Land area statement (planting suppliers - CPO, PK, PKO, PKM production actual 2013 and 2014 and projection 2015 – years, non-planted areas, i.e. HCV, 2020 conservation areas, fragile soils, - CPO, PK, PKO, PKM Revenue actual 2013 and 2014 and projection 2015 – enclaves) with updated location
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NO
-
CRITERION / INDICATOR CHECKLIST maps. Maps should have title, legend, source, scale and projections/georeferenced Plan for management of scheme smallholders (where appropriate) Quality of planting materials Crop projection = Fresh Fruit Bunches (FFB) yield trends Mill extraction rates = Oil Extraction Rate (OER) trends Cost of Production = cost per tonne of Crude Palm Oil (CPO) trends Forecast prices Financial indicators – profitability forecast (income vs cost) Projected expansion (area, mill capacity, infrastructure, social amenities) General strategy and allocation for environmental and social management (refer to P5, P6 and P8)
c.
Is this management document subjected to an annual review?
d.
For plantations on peat, is there a long term viability plan – e.g. flooding, drainability assessments and subsidence issues? (see 4.3.5)
e.
Does the grower have a system to improve practices in line with new information and techniques? - Has the personnel in charge (PIC) been identified?
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OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR -
2020 Estate Cost, Mill Cost, KCP Cost, Selling cost, Bulking cost and Tax portion actual 2013 and 2014 and projection 2015 – 2020 Nett Profit/Loss
With general assumption including : - CPO, PK, PKO, PKM selling price actual 2013 and 2014 and forecast 2015 – 2020 - Inflation rate - Exchange rate - Disc Rate - Management fee, toll fee The management plan is reviewed annually and revised as appropriate; based on the achievement against the plan and other parameters may change. The organisation has a system to improve practices in line with new information and techniques through innovation project which presented during annual meeting. All staffs can propose innovation. Innovation approved by management was communicated to all unit management.
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NO
3.1.2
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) - How is the information updated? - Is there a documented SOP which requires monitoring and updating information to improve practices? - Is new information communicated to workers and scheme smallholders (where appropriate)? How is it communicated? An annual replanting programme projected for a minimum of five years (but longer where necessary to reflect the management of fragile soils, see Criterion 4.3), with yearly review, shall be available. a. Is there an annual replanting programme Management plan PT. SMART Tbk Projected annual replanting programme was described in the “Management Plan YES projected for a minimum of five years? Batu Ampar Mill for year 2014 – of PT. SMART Tbk. – Batu Ampar Mill 2014 – 2020”. Detail Annual Replanting 2020. Programme are: b. Has it been documented? c.
Is the progress of implementation documented?
d.
How does the programme take into consideration fragile soils such as peat? Is there a longer projection period (see C4.3)?
e.
Is there evidence of a yearly review of the replanting programme?
Year 2014 2015 2016 2017 2018 2019 2020
BAME 1,190.11 -
Replanting Programme (Ha) BMLE SPNE 499.39 297.57 1,656.82 1,581.18 768.54 501.83 57.60 -
SPNA -
No replanting program in SPNA on this Management Plan period because the oldest plants in that estate is just 23 years in 2020. Normally, plantation performed replanting after the plant age is 25 years.
PRINCIPLES 4: USE OF APPROPRIATE BEST PRACTICES BY GROWERS AND MILLERS
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CRITERION / INDICATOR CHECKLIST
NO 4.1
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Operating procedures are appropriately documented, consistently implemented and monitored. (M) Standard Operating Procedures (SOPs) for estates and mills shall be documented.
4.1.1
Specific Guidance: For 4.1.1 and 4.1.4: SOP and documentation for mills should include relevant supply chain requirements (see RSPO Supply Chain Certification Standard, Nov 2011). For National Interpretation: National codes of practice or Best Management Practices (BMPs) will be referenced.
a.
Have the SOPs for mills and plantation been documented?
-
b.
Does the SOP cover key processes, harvesting, transportation, manuring, IPM, GAP, Supply Chain requirements for the mill, etc.?
SOP for agronomy best practises MCAR and its Work Instruction
-
Form F/SMART/UMUM/SADV/001/ 002 (document distribution register).
-
SOP for Mill best practises in document of MCMD-2013
-
Work Instructions of Palm Oil Process PT SMART
-
Recapitulation Report of FFB Received 2015
-
Tank Maintenance Records
-
Station Operational Records sheet
-
Lab Inspection Report of CPO Product
c.
d.
Is a copy of the SOP available on site and is it documented in an appropriate language? Is there evidence that SOPs are implemented and understood by workers?
e.
Are the SOPs appropriate and adequately cover all estate and mill processes and activities?
f.
How are the SOPs made available at the point of use?
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Standard Operating Procedures for Estates were developed and documented in SOP (Standard Operating Procedure) MCAR which revised on 1 September 2012. Consist of procedure for new area and replanting planning, nursery, land clearing, preparation before planting, fertilising, upkeep, pest management, road maintenance, peat land management, drainage system, mature and immature upkeep, integrated pest management and harvesting. Also there were procedures for several processes including riparian zone management, application of agrochemical. Procedure also described required PPE and other safe working practices. Hardcopy of procedure are available and controlled. Interviews with the employees indicate satisfactory level of understanding and implementation in relation to their respective job function. Procedure of best practice operation of Batu Ampar Mill was available and documented in document of MCMD-2013, Standard Operational Procedure of Palm Oil Process PT SMART Tbk revision 6 issued by Head Office. The procedure describes operation instruction from FFB receiving through production, processing (grading, sterilization, threshing, pressing, clarification, nut and kernel processing) and dispatch of CPO and PK. Quality control check, sampling methods including its reporting from reception of FFB up to dispatch of CPO and PK was mentioned in the Laboratory procedure. Hardcopy of procedure are available and controlled. Copy of the procedure was available on site and is it documented in indonesian language. SOP distribution to all section and division was well documented in the Form F/SMART/UMUM/SADV/001/002 (document distribution register).
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YES
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NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Work Instructions has been developed and posted at work stations within the mill and each division in estate. Records of receiving FFB, sterilization, pressing, clarification and delivery (January – August 2015) were evident. Procedure has been disseminated periodically to all related employee (harvest, brondol and upkeep employee and operator). Last dissemination performed in 24th April 2015 to all employees PT Tapian Nadenggan (BAME, BAMM, SPNE, SPNA, BMLE). Interviews with the employees indicate satisfactory level of understanding and implementation in relation to their respective job function. Sample of estate operational implementation were taken in harvesting process in Block F14 Division V BAME, Block H8 Division II SPNE, Block D9 Division I SPNA and Block F5 Division I BMLE; and pesticide spraying in Block F7 Division IV BAME, Block C11 Division I SPNE, Block E10 Division II SPNA and Block G7 Division I BMLE. The results were shown and it was observed that all of the activity was met with the procedure and well implemented. Procedure (SOP) were appropriate and adequately cover all estate processes and activities includes new area and replanting planning, nursery, land clearing, preparation before planting, manuring, upkeep, pest management, road maintenance, peat land management, drainage system, mature and immature upkeep, integrated pest management, harvesting and transportation. SOPs made were available at the point of use (in all section and division of estate.
A mechanism to check consistent implementation of procedures shall be in place. 4.1.2
Guidance: Mechanisms to check implementations could include documentation management systems and internal control procedures. a. Is there a master list of all SOPs? - Harvesting Audit Report BAME, Masterlist of all SOPs document and its revision history were available and well b. How does the company keep track of BMLE, SPNE and SPNA which documented. Organization keeps track of revision of the SOPs in revision history revisions? conducted on February 2015 in the cover of SOPs. Organization has defined the Controled document procedure wich was explain the translation of SOP into work instructions in c. Is there mechanism for: - Audit OIA Report Mill and appropriate languages (Indonesian language) and its document controll. SOPs Translation of SOP into work Estate which conducted on 13 training and dissemination to all of employee has been conducted, the evidence instructions in appropriate – 20 February 2015. languages?
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YES
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NO -
-
CRITERION / INDICATOR CHECKLIST Records of training for all levels? Internal control (e.g. audit and review, field inspection) procedure in place to monitor consistent implementation of SOPs? Trained and competent personnel assigned to carry out internal control activities? Implementation audits to be carried out regularly covering implementation of all the SOPs? Procedure to address noncompliance and corrective action for continuous improvement?
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OBSERVATIONS & OBJECTIVE EVIDENCE - RSPO internal audit report which conducted on 13 - 18 April 2015.
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR was sighted and well documented. The organization has well implemented internal control and monitoring processes that check and report on the implementation of the Management Guidelines. These include independent checks of the Mill and Estates by the corporate internal audit. These include independent checks of the Mill and Estates by the corporate internal audit, which is : -
OIA (Operation Internal Audit), programmed twice a year. Operational Internal Audit has been performed to check consistent implementation of the procedures and work instructions. Internal audit covering operational activities of plantations and mill include the maintenance of palm oil crop (maintenance, fertilization, and pesticide use), harvesting and other supporting activities such as administration, road infrastructure, FFB transport and mill process. The last audit for both mill and estates was performed within 6th January – 2nd March 2015 in BAME, BAMM, BMLE, SPNE and SPNA. Trained and competent personnel were assigned to carry out OIA (Head Office Internal audit department). Audit report and its follow up was well done and documented.
-
Harvesting Audit programmed yearly. Its covering operational harvesting checks began from standard crop harvest, lose and harvest discipline. Last audit performed in 6th – 20th February 2015. Audit report and its action plan were documented. Trained and competent personnel were assigned to carry out OIA (Head Office Internal audit department).
-
Internal audit RSPO. Covering audits of sustainability in all parts of plantation and mill operational. Last audit performed in 13 – 18 April 2015 both in BAME, BAMM, BMLE, SPNE and SPNA. Audit report and its finding followed up and action plan was well documented. Management review to discuss the RSPO audit result and its follow up was performed in June 13th 2015. Trained and competent personnel were assigned to carry out Internal Audit RSPO (Head Office Sustainablility department).
-
GKM (Gugus Kendali Mutu) : discuss the issue in operation activity and
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CRITERION / INDICATOR CHECKLIST
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR review the SOPs implementation in field and dissemination the organization policy. Each estate manegers and Division Assistant was assigned to carry out this control. Organization has defined the procedure to address non-compliance and corrective action for continuous improvement in Correction and Corrective Action Procedure.
4.1.3
Records of monitoring and any actions taken shall be maintained and available, as appropriate. a.
Have the records been maintained on the following? Measurements or results of internal control and monitoring activities (refer 4.1.2) Records of corrective actions and improvement undertaken
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-
BKM (Buku Kegiatan Mandor Log book of group leader activity). BKM of several activities was reviewed, e.g. manuring, manual road maintenance, manual weeds control, census of diseases, circle and path spraying.
Record of monitoring and any action taken were maintained and available for Estate, e.g. : -
BKM (Buku Kegiatan Mandor - Log book of group leader activity). BKM of several activities was reviewed, e.g. manuring, manual road maintenance, manual weeds control, census of diseases, circle and path spraying. Untuk mengecek kehadiran karyawan dan hasil kerja karyawan.
-
BPtB (Buku Potong Buah – Logbook of harvesting activity), verification of its document was done in Division 1 – 3 BAME, BMLE, SPNE and SPNA date August 7th 2015.
-
BPtB (Buku Potong Buah – Logbook of harvesting activity)
-
BKtB (Buku Kutip Brondolan – Logbook of loose fruit collecting activity)
-
BKtB (Buku Kutip Brondolan – Logbook of loose fruit collecting activity). Record kutip brondol work result activity. Verification of its document was done in Division 1 – 3 BAME, BMLE, SPNE and SPNA date August 7th 2015.
-
“Inspeksi panen detail” period August 2015 in BAME, BMLE, SPNE and SPNA
-
-
Operation Internal Audit Reports on April 2015
“Inspeksi panen detail” to check the consistency of harvesting activity based on the procedure and work instruction. The item which was check covering: number of palm oil harvested, number of FFB harvested, FFB lagged, brondol lagged, midrib set out, abnormal harvested, etc. One supervision at least one harvested employee was check every day. Verification of its document was done in Division 1 – 3 BAME, BMLE, SPNE and SPNA date August 7th 2015.
-
Shift Report book to control and monitor daily work activity of mill, record number of attendance employee, starting hour, throughput, oil and kernel production, issue/trouble in process activity.
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YES
Audit Report
NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR -
Logsheet every station from loading ramp, sterilizer, threshing, press, clarification, boiler and effluent. Record daily activity of processs in each station and process performance in each station.
-
Breakdown report and repair request Logbook, supervisor check the machine condition and report to maintenance section to repair if there was a breakdown condition.
-
Control of Process work program and routin maintenance and equipment repair.
Records of corrective actions and improvement undertaken for all of the control and monitoring activity above has been maintained by the organization. 4.1.4
(M) The mill shall record the origins of all third-party sourced Fresh Fruit Bunches (FFB). a. Is there an SOP for third-party FFB Document “Rekap TBS Kebun Luar Organization has defined the procedure for third-party FFB sourcing. sourcing? Tahun 2015” which contained the Record of TBS received from external sources was stated on form Recapitulation b. Is there a list of approved third-party FFB FFB tonnage delivery from third of FFB Received Report. There were a list of approved third-party FFB suppliers, suppliers? party from Januari – July 2015. such as : c. Is there proof of observed implementation Kelompok Tani Telaga Sari, no SPK 002/TBS/SMART-KTTX/I/2015 with of SOP? area 1,450 ha d. Is there daily and summary records of Gapoktan Karya Tani, no SPK 001/TBS/SMART-GKTX/VIII/2014 with area volume and origins of third-party FFB 1,250 ha received? KUD Giat, No. SPK 003/TBS/SMART-KUGX/I/2015 seluas with area 455.4 e. Have these records been verified against ha the available document? Kelompok Tani Gemar Tanam, No. SPK 005/TBS/SMART-GMTX/I/2015 with area 500 ha There were evidence of SOP implementation such as : FFB grading process 100% in accordance with grading criteria which has been agreed in SPK, price of FFB was agreen in SPK based on price fixing from Disbun South Kalimantan Province, payment carry out after FFB received and invoice receive by finance (average one month payment after FFB and invoice received by mill). For example payment invoices No. 007/GKTX-SMART/7/20/2015 date July 7th 2015
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YES
Audit Report
NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR for Gapoktan (Farmers Group) Karya Tani. It was observed that the payment and price was met with SPK and procedure. Organization only received legal FFB; in SPK article 5 was describe that “FFB sourcing from the third party is FFB originating from land that has been obtain permission of land acquisition and plantation business from the relevant authorities and cultivated in accordance with the terms and conditions in applicable laws and regulations and is not obtained illegally. Tanah Laut mill record the origins of all third-party sourced Fresh Fruit Bunches. FFB tonnage delivery from the third party was well documented daily and monthly in the document “Rekap Penerimaan TBS Luar Tahun 2015”. Below were the FFB received data during January – July 2016 (kg) : FFB Received (kg)
4.2 4.2.1
Period
Kelompok Tani Telaga Sari
Gapoktan Karya Tani
KUD Giat
Kelompok Tani Gemar Tanam
January
61,050
1,643,810
16,740
118,620
February
60,610
934,430
-
97,290
March
34,130
317,110
-
57,780
April
42,940
1,632,260
220,140
32,520
May
101,920
2,920,830
43,570
83,600
June
84,530
1,289,860
139,000
77,900
July
78,970
1,030,560
162,920
29,440
TOTAL
464,150
9,768,770
582,100
497,150
Practices maintain soil fertility at, or where possible improve soil fertility to, a level that ensures optimal and sustained yield. There shall be evidence that good agriculture practices, as contained in Standard Operating Procedures (SOPs), are followed to manage soil fertility to a level that ensures optimal and sustained yield, where possible. Guidance: Long-term fertility depends on maintaining the structure, organic matter content, nutrient status and microbiological health of the soil. Nutrient efficiency should take account of the age of
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NO
CRITERION / INDICATOR CHECKLIST plantations and soil conditions.
OBSERVATIONS & OBJECTIVE EVIDENCE
For National Interpretation: The range of appropriate techniques will be identified. a. Are there SOPs for Good Agricultural - SOP/SMART/MCAR/IX/TAPractices in managing soil fertility? PPK (Manuring – Pemupukan) b. Is there evidence that the SOPs have - Field observation in Block F7 been implemented and monitored? Division IV BAME, Block C11 Division I SPNE, Block E10 Division II SPNA and Block G7 Division I BMLE.
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Organization has been defined the SOPs for Good Agricultural Practices in managing soil fertility which documented in SOP/SMART/MCAR/IX/TA-PPK (Manuring – Pemupukan). Manuring was performed manual and mechanic with EMDEK. Manual manuring performed by spreading the fertilizer by person manually and uniformly in each palm oil trees in accordance with dose which has defined by Smartri. Organization also defined SOP fertilizer application with Spreader (Emdek). Fertilizer application with Emdek conducted in mineral soil and flat area. Fertilizer time application considering the conditions of rainfall and crop needs based fertilizer recommendation.
YES
Estates activities are carried out based on Division Work Program which generated from annual budget. Activities program are such as manuring and other operation activity. Site observation was performed during audit to some activities: spraying and manuring. Interview with employees working in those activities showed that procedures were implemented. Activities have been performed at defined interval. 4.2.2
Records of fertiliser inputs shall be maintained. a.
Is records of fertiliser inputs maintained?
b.
Is there records to proof that the fertiliser program is linked to the agronomic report?
c.
Is there records of fertilizer usage per tonne of FFB production (>in Summary Table, specific types of fertilizers)?
-
Manuring recommendation year 2015 BAME, BMLE, SPNE and SPNA
-
Document of “Rencana dan Realisasi Pemupukan Semester 1 2015 BAME, BMLE, SPNE and SPNA
Records of fertiliser inputs are well maintained in document “Rencana dan Realisasi Pemupukan” (Plan and Realisation of Manuring). Fertiliser inputs recorded each semester. Manuring recommendation in 2015 for BAME, BMLE, SPNE and SPNA has been defined based leaf sampling unit (LSU) and soil sampling unit (SSU). Record of manuring realisation in first semester of 2015 shows that the realisations are in accordance with the plan/recomendation. Annual fertilizer recommendation has been implemented and monitored. Fertilizer/manuring programme was developed by SMARTRI for all Division.
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YES
Audit Report
NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Manuring recommendation in BAME, BMLE, SPNE and SPNA consist of 2 section such as: -
Manual manuring recommendation 2015
-
Mechanical manuring recommendation 2015
Bellow are the records of total fertilizer usage in 1st semester 2015 : Type of Fertilizer Urea DAP TSP CIRP MOP Super Dolomite Kieserite Powder Kieserite Granular Borate NH4Cl
Total Fertilizer usage (tonne) BAME BMLE 264.15 231.95 263.75 99 49.85 118.05 99.95 29.80 744.55 481.15 105.95 85.30 45.85 41.65 50.00 36.90 35.11 20.95 131.200 47.25
SPNE 195.35 117.10 104.10 451.25 122.30 31 56.30 6.78 85
SPNA 580.65 156.05 270.85 880.85 424.40 4,927.3 -
Bellow are the records of fertilizer usage per tonne of FFB production in 1st semester 2015 : Type of Fertilizer FFB prod (ton) Urea DAP TSP CIRP MOP Super Dolomite Kieserite Powder Kieserite Granular Borate NH4Cl
Doc ID: 3843 / Issue Date May, 2014
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Total Fertilizer usage/tonne FFB BAME BMLE SPNE 30,550.37 25,287.71 27,853.92 0.0086 0.0092 0.0070 0.0086 0.0039 0.0042 0.0016 0.0047 0.0033 0.0012 0.0037 0.0244 0.0190 0.0162 0.0035 0.0034 0.0044 0.0015 0.0016 0.0011 0.0016 0.0015 0.0020 0.0011 0.0008 0.0002 0.0043 0.0019 0.0031
SPNA 26,045.90 0.0223 0.0070 0.0122 0.0395 0.0190 0.2211 -
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CRITERION / INDICATOR CHECKLIST
NO 4.2.3
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
There shall be evidence of periodic tissue and soil sampling to monitor changes in nutrient status. a.
Is there SOPs for tissue and soil sampling?
b.
Is there evidence of implementation of the SOPs, including availability of records?
c.
Is there records of tissue and soil analysis?
d.
Is the results of the study incorporated into the fertilizer program?
-
Document of “ Memorandum Hasil Analisa Laboratorium” Lab SMARTRI, for soil sample analysis and leaf sample analysis in BAME, BMLE, SPNE and SPNA year 2013, 2014 and 2015
-
IK/SMART/MCAR/IX/TAPPK/05-Pengambilan LSU (Leaf Sampling Unit)
-
IK/SMART/MCAR/IX/TAPPK/06-Pengambilan SSU (Soil Sampling Unit).
Soil and leaf sampling was analysed regularly by SMARTRI to determine the nutritional status of soil, to assist and to be guided in the preparation of annual fertilising programme recommendation. Soil is analysed when the age of the plant is 3, 5, 8 years and continued with age of the plant is added by 5 years and 1 year before replanting. Leaf was analysed annually. Soil and leaf sampling was taken from each division. Organization has been defined work instruction for LSU (Leaf sampling unit) IK/SMART/MCAR/IX/TA-PPK/05-Pengambilan LSU and for SSU (Soil Sampling Unit) IK/SMART/MCAR/IX/TA-PPK/06-Pengambilan SSU. Evidence of periodic leaf sample analysis are available on Lab Analysis Result : -
-
-
-
BAME, Lab Analysis Result Ref#233/DAUN/LAB-SMARTRI/IV/2015 dated 16th April 2015 with total number of 104 sample analysed (N, P, K, Mg, Ca, B, Cl). BMLE, Lab Analysis Result Ref# 234/DAUN/LAB-SMARTRI/IV/2015 dated 17th April 2015 with total number of 68 sample analysed (N, P, K, Mg, Ca, B, Cl). SPNE, Lab Analysis Result Ref# 376/DAUN/LAB-SMARTRI/VII/2014, Ref#371/DAUN/LAB-SMARTRI/VII/2014, Ref#067/DAUN/LAB/SMARTRI/IV/2014, dated 10th July 2015 with total number of 81 sample analysed (N, P, K, Mg, Ca, B, Cl). SPNE, Lab Analysis Result Ref#250/DAUN/LAB-SMARTRI/VI/2014 dated 9th May 2014.
Last LSU taken in April – July 2015 in BAME, BMLE, SPNE by SMARTRI. The result of soil analysis was depend on the year of planting, e.g. YOP 1993 in BAME has performed soil analysis in 2013 and YOP 1994 in SPNE has performed soil analysis in 2014 at the age of 20 years. The results of soil analysis are also available on Laboratory Analysis Result sunch as: Result
Ref#011/TANAH/AL/TCLZ/02/10 dated 30th November 2009 with total number of 450 samples (C.Org, H-Al Tkr, N, N-KTK, pH) in SPNE. The results of the study were incorporated into the fertilizer program. Doc ID: 3843 / Issue Date May, 2014
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YES
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NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Fertilization recommendations are made annually based on the results study of LSU and SSU. A nutrient recycling strategy shall be in place, and may include use of Empty Fruit Bunches (EFB), Palm Oil Mill Effluent (POME), and palm residues after replanting. 4.2.4
Guidance: The nutrient recycling strategy should include any use of biomass for by-products or energy production. a. Is there a nutrient recycling strategy in - Document of “Rekap bulanan There was the Nutrient recycling strategy performed by company such as land place? aplikasi janjang kosong 2015” application from POME (Palm Oil Mill Effluent) and Empty fruit bunch (EFB) BAME, BMLE and SPNE. b. Does the strategy include the following? application. POME or liquid waste from mill used as Land application, it gives - Document of “ Data Aplikasi Clear objectives and time-bound nutrient for palm oil plantation. POME is applied using piping system and flat bed. Land Application 2015” BAME targets Land application was applied in Tanah Laut Estate. Liquid waste (POME) applied and SPNE dosage was 375 m3 /ha/year with 3 times rotation and BOD 2,500 – 4,000 mg/L. Inventory of POME and EFB were not applied nearby housing and water spring. There was - EFB 279.14 ha area (9 block) applied with POME in Batu Ampar Estate division III, - POME from January to July 2015 total POME applied was 80,306.25 m3. POME in - Fibre Sungai Panci Estate was applied in 8 Block with area 208.26 ha; from January to - Boiler ash June 2015 total POME applied was 106,692.50 m3. - Kernel shell - Palm residues from replanting EFB were applied in BAME, BMLE and SPNE by manually and mechanical using Biomass recycling program tractor. EFB were applied based on the recommendation from SMARTRI in terms Implementation and monitoring of dosage per ha and location (60 ton/ha dosage). Empty fruit bunch application records was performed as mulch ground cover and added of organic material. Total Applications of Empty fruit bunch in BAME was 41,662.20 tons from January - June 2015 and 21 block with total area applied 694.37 ha. Total Applications of Empty fruit bunch in BMLE was 5,193 tons from January - July 2015 and 11 block with total area applied 86.55 ha. Total Applications of Empty fruit bunch in SPNE was 15,595.20 tons from January - June 2015 and 13 block with total area applied 259.92 ha.
Note to auditor: Ground verification required
POME and EFB were not applied in Sungai Panci Plasma due to the distance was far enough from Batu Ampar mill. 4.3
Practices minimise and control erosion and degradation of soils.
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YES
Audit Report
NO
4.3.1
CRITERION / INDICATOR CHECKLIST (M) Maps of any fragile soils shall be available.
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Guidance: Plantations on peat should be managed at least to the standard set out in the ‘RSPO Manual on Best Management Practices (BMPs) for existing oil palm cultivation on peat’, June 2012 (especially water management, fire avoidance, fertiliser use, subsidence and vegetation cover). Techniques that minimise soil erosion are well known and should be adopted, where appropriate. These should include practices such as ground cover management, biomass recycling, terracing, and natural regeneration or restoration instead of replanting. For National Interpretation: National Interpretation (or an RSPO recognised parallel means) will 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. a. Is there soil maps showing presence of - Maps of soil type in Tanah Laut YES Maps of soils survey from Plantation Monitoring and Planning Division were fragile soils and problem soils (refer to Estate were available in scale 1 : available for BAME, BMLE, SPNE and SPNA. The maps included maps of fragile 4.3.6)? 50,000 soils. Based on maps of soils type, there are no fragile soils present in BAME, - Maps of soil type in Kintapura b. Are maps georeferenced and of BMLE, SPNE and SPNA. Soil characteristic is presented in table below: Estate were available in scale 1 : appropriate scale (1:50,000)? 50,000 Batu Ampar Estate: - Field observation in Tanah Laut Topography Estate and Kintapura Estate Classification Ha Typic Hapludults Typic Dystropepts Typic Hapludults Typic Tropaquepts Typic Hapludults Typic Dystropepts Typic Sulfaquents Total Area
(%) 8 – 15 8 – 15 0–8 0–3 15 – 30 15 – 30 0–3
2,305.94 1,208.09 643.09 436.39 4,593.51
Batu Mulia Estate: Classification Typic Hapludults
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Topography (%) 0–8
Ha 1,032.36
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NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Typic Hapludults Typic Dystropepts Typic Dystropepts Typic Tropaquepts Typic Tropaquepts Tropaquepts Typic Sulfaquents
8 – 15 8 – 15 0–8 0–3 0–3 0–3 0–3
Total Area
710.35 733.98 155.28 297.07 2,929.04
Sungai Panci Estate: Classification Typic Hapludults Typic Dystropepts Typic Hapludults Typic Dystropepts Typic Dystropepts Aquic Dystropepts Typic Hapludults Typic Sulfaquents Typic Hapludults Limestone outcrops Limestone outcrops Total Area
Topography (%) 8 – 15 8 – 15 0–8 0–8 0–8 0–3 15 – 30 0–3 0–8
Ha 2,139.58 470.77 474.95 572.62 53.95 300.85 64.68 4,077.40
Sungai Panci Plasma : Classification Typic Hapludults inklusi aquic dystrudepts
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Topography (%) 0–3 3-9
Ha 177.66
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CRITERION / INDICATOR CHECKLIST
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Typic Hapludults inklusi typic dystrudepts
3-9
786.07
Typic Hapludults inklusi typic dystrudepts
9 - 16
2,615.07
16 - 21 21 - 40
129.40 113.77 3,822.17
Typic Hapludults Typic Hapludults Total Area
Based on Semi Detail Soil Map of all estates, BMLE has 1 % of sulphate acid soil from total area planted and SPNA has 3 % area with slope 12 – 22º. Fragile soils were well managed. Even though there are fragile sulfic soil (Typic Sulfaquents) in SPNE soil table, but those area are not planted area, so it doesn’t need special treatment for the area. Manuring to fragile soils was performed twice in 1st semester while manuring to mineral soil was only performed once in 1st semester. Maps georeferenced was available in appropriate scale 1:50,000. 4.3.2
A management strategy shall be in place for plantings on slopes above a certain limit (this needs to be soil and climate specific). a.
Is there a management strategy in place for plantings on slopes?
b.
Does the management strategy include the following? Identification of steep areas not suitable for planting Policy of planting on slopes - SOPs to minimise soil erosion based on local soil and climate conditions, e.g. ground cover management, biomass recycling, terracing, and natural regeneration or restoration instead of replanting
c.
Is there proof of records of field
Doc ID: 3843 / Issue Date May, 2014
-
Maps of Soil and Topography in BAME, BMLE, SPNE and SPNA in scale 1 : 50,000 Preparation of new area planting procedure SOP/SMART/MCAR/I/TA-PPA Procedure 03/VPARSPO/03/2010 “Management of Riparian Area” Field observation in BAME, BMLE, SPNE and SPNA
Based on maps of soil unit, there are slopes between 15 - 30% in BAME with area 643.09 ha, in SPNE 572.62 ha while in SPNA the slopes was 21 - 40% with area 113.77 ha. In BMLE the highest slopes was < 22%. Organization has been defined the strategy for planting on slopes area in the procedure SOP/SMART/MCAR/I/TA-PPA “Preparation of new area planting” describes procedure for minimising and controlling erosion, and peat land management. The organization does not recommend plantings on slopes >40% or >22º. When the slope area was planted, system for planting on slopes area was provided by considering soil and climate specific through terracing, determining of base line, levelling of terrace, and determining of planting space. To minimise and control erosion in slope area, several practices have been implemented such as terracing, growing of legume cover crops (LCC). Procedure 03/VPA-RSPO/03/2010 “Management of Riparian Area” has been established to
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YES
Audit Report
CRITERION / INDICATOR CHECKLIST inspection on SOP implementation?
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR control area around riparian. Planting of “vetiver” grass and natural riparian plant have been performed to minimize stream and river bank erosion. It was evidenced that organization has implement the procedure in the field as defined in SOP. Organization also has performed the erosion monitoring periodically (once a month) by placing erosion stakes in slopes area. Erosion stakes was put in slopes position in the middle, top and bottom as high as 120 cm of stakes. Erosion value measured during the 1st half period was 0 mm, its mean that there was no erosion in the slope area within 1st semester 2015 both in BAME, SPNE and SPNA.
4.3.3
A road maintenance programme shall be in place. a.
Is there a road maintenance programme in place with supporting budget and resources?
b.
Is there road maintenance records?
-
-
-
Document of “Program dan realisasi pengerasan jalan tahun 2015” in BAME, BMLE, SPNE and SPNA Document of “Program dan realisasi pengerasan jalan tahun 2015” in BAME, BMLE, SPNE and SPNA Field observation in BAME, BMLE, SPNE and SPNA
Procedure for road maintenance has been established. BAME, BMLE, SPNE and SPNA have established road maintenance programme for main road, collection road and access road by manual and mechanical maintenance. Road maintenance includes manual, grading and compacting and road hardening. Road hardening budget for 2015 has been observed including the realisation. Manual road maintenance programme was provided in Division Work Programme. Manual road maintenance was implemented based on Division Work Programme or road condition. Mechanical road maintenance use heavy equipment – motor grader and compactor. The mechanical road maintenance programme was provided for all division and detailed in Blocks. Manual and mechanical road maintenance realisation was recorded including complex area maintained, distance of road maintained, diesel fuel consumption and quantity of gravel. During audit it was observed that road passed was in good condition. Total laterit and split stone which applied for road hardening in 1st semester was: -
Doc ID: 3843 / Issue Date May, 2014
8,396.11 m3 (54.38% achieve from one year budget/plan) in BAME Division I –V 5,888.71 m3 (64.76% achieve from one year budget/plan) in BMLE Division I – III
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YES
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NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR -
13,585 m3 (89% achieve from one year budget/plan) in SPNE Division I – V 2,212.6 m3 (27.9% achieve from one year budget/plan) in SPNA with length 18.44 km.
There are actual work hardening road map, from the map is seen that all the way main road and collection road already hardened by hoarding the laterite. At the observation can be proven that the entire main road and collection road was in good condition and well maintained. (M) Subsidence of peat soils shall be minimised and monitored. A documented water and ground cover management programme shall be in place. 4.3.4
Specific Guidance: For 4.3.4: For existing plantings on peat, the water table should be maintained at an average of 50cm (between 40 - 60cm) below ground surface measured with groundwater piezometer readings, or an average of 60cm (between 50 - 70cm) below ground surface as measured in water collection drains, through a network of appropriate water control structures e.g. weirs, sandbags, etc. in fields, and watergates at the discharge points of main drains (Criteria 4.4 and 7.4). a. Is there an SOP to provide guidance on - Maps of Soil and Topography in Based on Semi detail Soil Map and field observation at BAME, BMLE, SPNE and Not applicable subsidence management? BAME, BMLE, SPNE and SPNA SPNA there are no peat soils in the plantation. in scale 1 : 50,000 b. Does the SOP make reference to the - Soil Survey Report Semi Details RSPO BMPs on peat? Topography in BAME, BMLE, c. How is subsidence being monitored? SPNE and SPNA d.
Are there records of subsidence monitoring?
e.
How is subsidence being minimised?
f.
Is there a water management programme and evidence of implementation? For existing plantings on peat, the water table should be maintained at an average of 50cm (between 40 - 60cm) below ground surface measured with groundwater piezometer readings, or an average of 60cm (between 50 - 70cm) below ground surface as measured in
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CRITERION / INDICATOR CHECKLIST water collection drains, through a network of appropriate water control structures e.g. weirs, sandbags, etc. in fields, and watergates at the discharge points of main drains (Criteria 4.4 and 7.4).
NO
g.
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Is there a ground cover management programme and is there evidence of implementation?
Drainability assessments shall be required prior to replanting on peat to determine the long-term viability of the necessary drainage for oil palm growing. 4.3.5
Specific Guidance: For 4.3.5: Where drainability assessments have identified areas unsuitable for oil palm replanting, plans should be in place for appropriate rehabilitation or alternative use of such areas. If the assessment indicates high risk of serious flooding and/or salt water intrusion within two crop cycles, growers and planters should consider ceasing replanting and implementing rehabilitation. a. Was a drainability assessment conducted - Drainability assessment in 2006 YES Drainability assessment has been carried out in 2006, the data results have been before replanting on peat? at BAME, BMLE, SPNE and documented in the Soil Survey Report Semi Details in BAME, BMLE, SPNE and SPNA b. Was a flood risk map provided as a result SPNA. - Data results documented in the of the drainability assessment? Soil Survey Report Semi Flood risk map provided as a result of the drainability assessment. Organization c. If the drainability assessment shows that Details in BAME, BMLE, SPNE has performed the water management to avoid and prevent the flood risk by an area is unsuitable for replanting, are and SPNA 2006. create waterways in each block and create the watergate to manage the water there alternative plans in place for - Document of ”Soil survey semi level. rehabilitation and alternative use in detail” BAME, BMLE, SPNE Based on the ”Soil survey semi detail” document, there were no unsuitable area accordance to the RSPO BMPs? and SPNA for oil palm replanting in BAME, BMLE, SPNE and SPNA. Based on Semi Detail Soil Map of all estates, BMLE has 1 % of sulphate acid soil from total area planted and SPNA has 3 % area with slope 12 – 22º. Fragile soils were well managed. Even though there are fragile sulfic soil (Typic Sulfaquents) in SPNE soil table, but those area are not planted area, so it doesn’t need special treatment for the area. Manuring to fragile soils was performed twice in 1st semester while manuring to mineral soil was only performed once in 1st semester.
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CRITERION / INDICATOR CHECKLIST
NO 4.3.6
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
A management strategy shall be in place for other fragile and problem soils (e.g. sandy, low organic matter, acid sulphate soils). a.
Is there a management strategy in place for other fragile and problem soils?
b.
Does the management strategy include SOPs for the management of other fragile and problem soils?
c.
Is inspection and implementation records available?
-
-
Drainability assessment in 2006 at BAME, BMLE, SPNE and SPNA Data results documented in the Soil Survey Report Semi Details in BAME, BMLE, SPNE and SPNA 2006. Document of ”Soil survey semi detail” BAME, BMLE, SPNE and SPNA
Based on Semi Detail Soil Map of all estates, BMLE has 1 % of sulphate acid soil from total area planted and SPNA has 3 % area with slope 12 – 22º. Fragile soils were well managed. Even though there are fragile sulfic soil (Typic Sulfaquents) in SPNE soil table, but those area are not planted area, so it doesn’t need special treatment for the area. Manuring to fragile soils was performed twice in 1st semester while manuring to mineral soil was only performed once in 1st semester.
YES
Company has establish the procedure to maintain the fragile soil if any in the procedure SOP/SMART/MCAR/I/TA-PPA “Preparation of new area planting” Procedure 03/VPA-RSPO/03/2010 “Management of Riparian Area”. Fragile soil maintenance such as : Land cover crop planted, Dolomite usage for acid sulphate soil, EFB usage and organic matter added for poor organic matter soil, and etc. The dosage, frequency and quantity of fertiliser were recommended by SMARTRI.
Inspection and implementation records available. Erosion stakes to
monitoring the erosion was put in slopes position in the middle, top and bottom as high as 120 cm of stakes. Erosion value measured during the 1st half period was 0 mm, its mean that there was no erosion in the slope area within 1 st semester 2015 both in BAME, SPNE and SPNA. 4.4
4.4.1
Practices maintain the quality and availability of surface and ground water. An implemented water management plan shall be in place. Specific Guidance: For 4.4.1: The water management plan will: • Take account of the efficiency of use and renewability of sources; • Ensure that the use and management of water by the operation does not result in adverse impacts on other users within the catchment area, including local communities and customary water users; • Aim to ensure local communities, workers and their families have access to adequate, clean water for drinking, cooking, bathing and cleaning purposes; • Avoid contamination of surface and ground water through run-off of soil, nutrients or chemicals, or as a result of inadequate disposal of waste including Palm Oil Mill Effluent (POME). Guidance:
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NO
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE Growers and millers should address the effects of their use of water and the effects of their activities on local water resources. a. Is there a water management plan in Program of water usage Water supplies for Batu Ampar Mill were from rain water reservoir and river water, place for mill and plantation with identified efficiency while estate was using ground water. Permit of surface water abstraction has actions? Quantity of water use January – been provided. June 2015 b. Does the plan include the following? Mill and Estates has developed water management plan. Program of water Attendance list of dissemination management plan are: Identification of water sources Permit of surface water Efficient use of water Efficiency of water from optimalisation of pesticides usage abstraction: Keputusan Bupati Renewability of water source Dissemination of domestic water use efficiency Kota Baru #547/06/SIPA/D.PE Impacts on catchment area and Monitor water use in Estates and Mill dated 10 September 2014 valid local stakeholders Maintain water piping from leakage through 3 years. Access of clean drinking water all Monitor community ground water regulary SOP/SMART/MCMD/I/TM-PKS year round for stakeholders Monitor river water and monitoring well water – Flow chart of water treatment Avoidance of surface and ground Water efficiency in mill and laboratorium operation, e.g. reuse plan water contamination condensate water and turbine cooling water for water dilution and c.
Have the identified actions in the plan been implemented?
recycle cooling water socklet, etc Report surface water abstraction to Dinas Pertambangan dan Energi Kab. Kota Baru
Dissemination of domestic water use was conducted during moring circle on 11 February and 28 April 2015. Quantity of water use January – June 2015: Mill/Estate BAME
Budget (m3) 46,046
Realisation (m3) 45,495
% Efficiency 1,2%
SPNE
129,080
85,635
34%
BMLE
13,510
9,840
27.15%
Quantity of saving water in mill and laboratory:
Doc ID: 3843 / Issue Date May, 2014
Activity Mill
2013 (m3) 63,545.05
2014 (m3) 63,689.08
2015 (m3) 14,981.11
Laboratory
445.50
447.00
222.00
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COMPLIANCE (YES/NO) YES
Audit Report
CRITERION / INDICATOR CHECKLIST
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Mill and estate has conducted analysis and measurement of surface water, ground water, monitoring well water related to land application and consumed water (consumed by employees and local people) periodically (every semester and annually). (M) Protection of water courses and wetlands, including maintaining and restoring appropriate riparian and other buffer zones (refer to national best practice and national guidelines) shall be demonstrated. 4.4.2
Specific Guidance: For 4.4.2: Refer to the ‘RSPO Manual On Best Management Practices (BMP) for management and rehabilitation of natural vegetation associated with oil palm cultivation on peat’, July 2012. For National Interpretation: National Interpretation will refer to national guidelines or best practice and where appropriate include performance thresholds for requirements such as the size and location and methods of restoration of riparian strips or acceptable maximum run-off levels. a. Is there a map identifying water courses - Riparian zone management YES Organization has been identifying water courses and wetland in the plantation and wetlands? plan in BAME, BMLE, SPNE area. There were identified water courses and wetland in BAME : and SPNA 2015. b. Are the water courses and wetlands - Plan and realization for riparian - Riparian area/zone with area177,.95 ha in block D01 – 02, D06 – 08, D11, protected? rehabilitation BAME, BMLE, E02 – 06, F02 – 06, G02 – 06, H03, H05 c. Are the riparian and buffer zones SPNE and SPNA 2015 - Tidal marsh/swamp with area 151.42 ha in block A05 & 08, C08 – 10, D10, maintained and restored in existing - Field observation and site visit E11 – 16, F16, G06-07, I09, 11, 12, 15, 16, J16. plantation and replanting areas? in BAME, BMLE, SPNE and SPNA In SPNE there were identified water courses: d. Is there SOP for riparian and buffer zone protection? - Sungai Babi Riparian area with area 149.96 Ha. e.
Has the SOP been implemented?
In BMLE there were identified water courses and wetland: -
Rawa pasang surut : 77, 21 ha Blok D2, D3, E09, E13, E21-24
In SPNA there was identified HCV area Riparian zone in Block E03 – E08. Protection of waterways and wetlands have been made by the company with the following way : -
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Protection of riparian areas with no chemical crops care activities both
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SUMMARY OF FINDINGS FOR EACH INDICATOR fertilizer and herbicide spraying -
Conduct rehabilitation of riparian
-
Performs a of water level in the peatlands area by maintaining surface water height between 40-60 cm, this can be proved by the routine piezometers monitoring on peatland.
Riparian zone were well maintain, the following was activity to maintain riparian zone such as : -
Boundary markers placement in 5 rows of palm trees (50 m) related restrictions spraying of chemicals and chemical fertilizers in the area of 50 m side of the river. There was the evidence during the audit, riparian zone was well maintain and no contamination of chemical usage and fertilizer
-
Warning boards placement which contain information restrictions the pesticide usage and chemical fertilizers in the riparian area.
-
Riparian rehabilitation by planting vetiver grass, a shade trees and barriers to erosion trees (Angsana, Sungkai, etc.). There was the evidence of plan and realization for riparian rehabilitation, it’s observed Angsana trees and Sungkai was planted and grow well in both side of the river.
Organization also has been establish the procedure for riparian and buffer zone protection which documented in SOP/SPO/SMART/LH-06 and SOP/SPO/SMART/LH-07. During field audit, it was observed that the procedure has been implemented well and it evidenced. 4.4.3
Appropriate treatment of mill effluent to required levels and regular monitoring of discharge quality, especially Biochemical Oxygen Demand (BOD), shall be in compliance with national regulations (Criteria 2.1 and 5.6).
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NO a.
4.4.4
CRITERION / INDICATOR CHECKLIST Is the mill effluent treatment process in place?
b.
Is there a process in place for checking and monitoring water discharge quality, particularly BOD?
c.
Is the water discharge quality in compliance with national regulations?
d.
Does the mill have a license for treatment, discharge or land application of mill effluent, and is the mill in compliant with the requirements of the license?
OBSERVATIONS & OBJECTIVE EVIDENCE Analysis of result of Quality waste water effluent period 2nd semester 2014 and 1st semester 2015 Permit of waste water land application from Kotabaru Regent (Decree of Kotabaru Regent No.188.45/395/KUM/2011) Mill site visit (include WWTP ponds)
SUMMARY OF FINDINGS FOR EACH INDICATOR Batu Ampar Mill waste water was processed through a multifeedings waste water treatment ponds: four (4) active ponds with methods of anaerobic ponds. Palm Oil Mill Effluent (POME) is monitored monthly as required by permit of land application from Kotabaru Regent #188.45/395/KUM/2011. Quality of waste water effluent is monitored monthly in line with the requirements of regulation Kep Men LH No.29/2003. The result of POME monitoring was reviewed including measurement of BOD for 2nd Semester of 2014 and 1st semester 2015. The Ministry of Environment Decree #29/2003 and permit of land application required that BOD of POME flowed to land application is less than 5,000 mg/litre and pH 6 - 9.The result of POME quality during this period was BOD less than 5,000 mg/litre and pH between 6 and 9.
Mill water use per tonne of Fresh Fruit Bunches (FFB) (see Criterion 5.6) shall be monitored. a.
Are there procedures to measure mill water usage, and are the procedures implemented?
b.
Are there records of mill water use per tonne of Fresh Fruit Bunches (FFB)?
MCMD #1/2010” – Processing Mill water usage monthly monitoring records
Procedure to measure mill water usage was described in MCMD #1/2010” – Processing. Mill water use per tonne of FFB is monitored monthly as well as raw water and domestic water supply. Actual mill water use was well recorded. Result of monitoring of mill water use per tonne of FFB was sighted. Record of mill water use per tonne of FFB 2013
2014
January – June 2015
Budget 0.973 0.982 0.997 Realisation 0.85 0.74 0.78 Water use in 2015 was increased compared with 2014 due turbine load increased caused new machine operation (moving floor) for boiler feeding. 4.5
Pests, diseases, weeds and invasive introduced species are effectively managed using appropriate Integrated Pest Management techniques. (M) Implementation of Integrated Pest Management (IPM) plans shall be monitored.
4.5.1
COMPLIANCE (YES/NO) YES
Guidance:
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NO
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE Growers should apply recognised IPM techniques, incorporating cultural, biological, mechanical and physical methods to minimise the use of chemicals. Native species should be used in biological control where possible. a.
Is there a documented IPM plan?
b.
Does the IPM plan include the following? Identification of potential pests and thresholds What are the techniques used (cultural, biological, mechanical and physical methods)? What are the native species used as part of the biological control method? Does it help in reducing the use of chemicals over a period of time? Prophylactic use of pesticides Minimization of pesticide use Review on the plans to suit the present condition such as replanting?
c.
Is there an SOP to implement the plan and monitor its effectiveness?
d.
Is there records of pest occurrence and control?
-
-
-
IPM Plan program in the Work program Division BAME, BMLE, SPNE and SPNA 2015 Procedures Integrated Pest Management (IPM) SOP/SMART/MCAR/VII/TAHPT and SOP/SMART/MCAR/ VIII/TA-PGM Record of Sensus Oryctes period January to August 2015 Record of Sensus rats period January to August 2015 Summary data UPDKS (Ulat Pemakan Daun Kelapa Sawit), consist of sensus result (every 2 month) and control apps such as Cordyceps, quoted and use of light traps.
COMPLIANCE (YES/NO)
IPM Plan program was documented in the Work program Division BAME, BMLE, SPNE and SPNA 2015. Estates have established Division Work Program annually for IPM for each division. IPM programme includes detection and census of pest and diseases, weeds controlling, planting and upkeep of beneficial plant, use of pesticide and herbicide. IPM plan include the following : •
Identification of potential pests and thresholds
•
The techniques used (cultural, biological, mechanical and physical methods)
•
The native species used as part of the biological control method
•
Reducing the use of chemicals over a period of time
•
Prophylactic use of pesticides
•
Minimization of pesticide use
•
Review on the plans to suit the present condition such as replanting
Procedures SOP/SMART/MCAR/VII/TA-HPT and SOP/SMART/MCAR/ VIII/TAPGM have been established to confirm that Integrated Pest Management (IPM) to control pests, diseases, weeds and invasive introduced species. The procedures include setting out of technique to be implemented, chemical to be used, locations to be applied, and time frame for implementation. Plans and realization of early detection of pests and diseases, pest occurrence and control was well documented. Pest detection is an early warning system for pests; if the results of the detection exceed a predetermined threshold (e.g. 20% for rodents and 5% for the caterpillars) then conducted a pest’s census and advanced control actions (e.g. the application of rodenticide for rodents and fogging or hand picking for caterpillar). Several records of pest occurrence and control verified ie :
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YES
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SUMMARY OF FINDINGS FOR EACH INDICATOR -
Rat census conducted every 3 months, Last census in July 2015 in BAME, BMLE, SPNE and SPNA known the average level of rat attacks was less than 5% (1-3%) so that there is no chemical control using pesticides Tikumin.
-
Detection of leaf-eating caterpillar pests (UPDKS) was performed by rotation 6 times a year or every two months on the same block. Last early detection of the rotation 1-3 period January - July 2015 in BAME, BMLE, SPNE and SPNA there were no UPDKS pests detected. Plans and realization of early detection of pests and diseases was well documented.
-
IPM training to IPM workers has been performed in 19 Januari 2015 and 4 Mei 2015 by SMARTRI. Records of training were evidenced.
-
Monitoring Gufon (Tyto alba) is performed every month to monitor the activity of owls as predators of rats. Last observation conducted in BAME in June 2015 in division 3 there were 8 Gufon active and 7 Gufon was not active. Monitoring in SPNE on April 2015 Gufon number total 119 active 40 Gufon (34%) and 79 Gufon inactive (66%). In SPNA monitoring on July 2015 there were 52 Gufon which is active 14 Gufon (26%).
-
Planted the beneficial plant as the host/nest for natural enemies UPDKS (Eucanticona purcelata, cycanus sp). The beneficial plant such as: Turnera subulata planted in the collection and the main road, Antigonon leptopus planted in every corner of the main road intersections and road collection, Casia cobanensis planted alternately with Turnera in Collection Road and Main Road. Evidence of planting and upkeep in BAME, BMLE, SPNE and SPNA was sighted and the field observations were also observed well maintained.
It was observed during July 2013 to August 2015 there was no result in BAME, BMLE, SPNE and SPNA pest detection that exceeds the threshold. 4.5.2
Training of those involved in IPM implementation shall be demonstrated.
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NO a.
CRITERION / INDICATOR CHECKLIST Is there records of training provided to those involved in the implementation of IPM?
OBSERVATIONS & OBJECTIVE EVIDENCE - Document of IPM training record in BAME, BMLE, SPNE and SPNA
SUMMARY OF FINDINGS FOR EACH INDICATOR The latest training of IPM performed to Batu Ampar and Sungai Panci Estate employees (assistant, group leader and worker who conduct IPM) on 19 Januari 2015 in BAME by SMARTRI. Training IPM in SPNE conducted on 22 Januari 2014 by SMARTRI. Training IPM in SPNA conducted on 4th May 2015 by SMARTRI.
COMPLIANCE (YES/NO) YES
List of participant attendance was sighted. Training material was also observed covered IPM technique and implementation. Personnel interviewed during field observation were verified has received training of IPM. 4.6
Pesticides are used in ways that do not endanger health or the environment. (M) Justification of all pesticides used shall be demonstrated. The use of selective products that are specific to the target pest, weed or disease and which have minimal effect on non-target species shall be used where available. Specific Guidance: For 4.6.1: Measures to avoid the development of resistance (such as pesticide rotations) should be applied. The justification should consider less harmful alternatives and IPM.
4.6.1 Guidance: The RSPO has identified some examples of alternatives to pesticide use, which include those listed in the ‘Research project on Integrated Weed Management Strategies for Oil Palm; CABI, April 2011’. Due to problems in the accuracy of measurement, monitoring of pesticide toxicity is not applicable to independent smallholders (refer to ‘Guidance for Independent Smallholders under Group Certification’, June 2010).
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NO a. b.
c.
CRITERION / INDICATOR CHECKLIST Does the organization have a policy on safe use of chemicals? Does the organization have SOPs for use of selective products that are specific to target pests, weeds, or diseases and which have minimal effect on non-target species? i. Measures to avoid the development of resistance (such as pesticide rotation) should be applied. ii. Is there a list of all pesticide with target species and justification of use? iii. The justification should consider less harmful alternatives and IPM. Is there evidence of implementation of SOP on the ground?
OBSERVATIONS & OBJECTIVE EVIDENCE - Policy for use of imited pesticides dated August 1 2014 by VPA - SOP / SMART / CAR / VIII / TA-PGM, weed control - List of Agrochemicals used by BAME, BMLE, SPNE and SPNA 2015 which approved and registered by Agriculture Department - Register number refer to Pesticide Commission Book “Buku Komisi Pestisida” year 2014. - Record of Implementation of pesticides rotation usage between glifosat and paraquat. - Record of Plan and realization for developing Beneficial plants 2015 - IPM technique implemented such as : Beneficial plant usage, Handpicking for controlling ulat api, Applied Cordyceps fungi, Light trap usage
SUMMARY OF FINDINGS FOR EACH INDICATOR Organization has made policy for use of imited pesticides dated August 1 2014 by VPA, Organozation is responsible for the use of limited pesticides in accordance with the principles of sustainable palm oil management. The use of pesticides Type 1A, 1B and Paraquat in accordance with prevailing law, best practices plantations, sustainable reduction and efforts to increase knowledge, awareness of employees in the use of chemicals categorized as 1A or 1B by WHO and Paraquat to create a safe working environment. Organization has established procedure weed control SOP No. SOP/SMART/CAR/VIII/TA-PGM. Each type of pesticide used have been defined specific target of pest, types of weeds, application doses per hectare which have minimal effect on non-target species and a broad plan of applications and specified in the annual budget and annual work plan of the organization. Measures to avoid development of resistance have been implemented by pesticides rotation between glifosat and paraquat. List of all pesticide with target species and justification of use was well documented. Justification has been consider less harmful alternatives and integrated pest management. Less harmful alternatives been applied by developing : -
beneficial plants for inang predator ulat api
-
Handpicking for ontrolling ulat api
-
Applied Cordyceps fungi
-
Light trap usage
During audit document and field audit, its evidenced that the procedure was well implemented. Agrochemicals used by BAME, BMLE, SPNE and SPNA plantation has been approved and registered by Agriculture Department, e.g. -
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Rolixone 276 SL – license RI.0112011984666 expired date 23 June 2016,
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COMPLIANCE (YES/NO) YES
Audit Report
CRITERION / INDICATOR CHECKLIST
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR -
Erkafuron 20 WG (Metsulfuron methyl), License RI .2405/6-2011/T expired date 23 June 2016 Roll up 480 SL (Isopropil Amina Glifosat 480 g/l), License RI.01030120042133, Expired date 31 December 2018 Starane 290 EC (Fluroxipir Methylepthyl ester 30%), License RI.0103011988854 expired date 15 April 2019, Garlon 670 EC (Triklopir 480 g/lt) – license RI 01030120062405 expired on 23 June 2016.
It was noted that there were no agrochemicals being used which were not registered during this audit. Agrochemicals use and their register number refer to Pesticide Commission Book “Buku Komisi Pestisida” year 2014. 4.6.2
(M) Records of pesticides use (including active ingredients used and their LD50, area treated, amount of active ingredients applied per ha and number of applications) shall be provided. a.
Does the company have a pesticide application program?
b.
Is records of pesticides use available?
c.
Do the records detail the active ingredients used and their LD50, area treated, amount of active ingredients applied per ha and number of applications?
-
-
Records of pesticide use in document “Recapitulation of agrochemical use” in BAME, BMLE, SPNE and SPNA at 2015 Budget Agrochemical and realization in BAME, BMLE, SPNE and SPNA at 2015 Pesticides toxicity unit/ton FFB 2015 in BAME, BMLE, SPNE and SPNA (Jan – July 2015)
Organization has defined a pestice application program in the annual budget and annual work plan in each division. Appropriate dose of herbicide use and the type of job rotations per year has been defined by organization in work program : -
Spraying circle and path three times a year using Rolixone + Erkafuron and Roll up + starane,
-
Spray a bush two times a year using Rolixone + erkafuron,
-
Spray a fern two times a year using Rolixone + Erkafuron
-
Spray Asplenium two times a year using Rolixone + Erkafuron
-
Spray woody weeds two times a year using Garlon + Agristik
Agrochemicals use was well recorded in “Recapitulation of agrochemical use” including active ingredients used and their LD50, area treated, amount applied per ha and number of applications. The documents were also recorded dosage of agrochemical use, target species. The records were sighted in BAME, BMLE, SPNE and SPNA. It was noted that dosage applied and application rotation was in Doc ID: 3843 / Issue Date May, 2014
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YES
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NO
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OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR accordance to budget.
(M) Any use of pesticides shall be minimised as part of a plan, and in accordance with Integrated Pest Management (IPM) plans. There shall be no prophylactic use of pesticides, except in specific situations identified in national Best Practice guidelines. Specific guidance for 4.6.3: Justification of the use of such pesticides will be included in the public summary report. 4.6.3
For National Interpretation: National Interpretation will consider: statutory requirements concerning pesticide use, lists of legally prohibited pesticides, pesticide 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. National Interpretation will develop best practice guidelines on the exceptional circumstances that would allow the use of pesticides categorised as World Health Organisation Class 1A or 1B, or those listed by the Stockholm or Rotterdam Conventions, and paraquat as well as how they will be used in ways that do not endanger health or the environment. YES - Document “Plan and realization Organizations have implemented IPM 2015 work program include: budget agrochemical” year - Early detection of pests and plant diseases (EWS) 2013, 2014 and 2015 BAME, BMLE, SPNE and SPNA - Development of natural enemies of pests and plant diseases with planting a. Does the company have an IPM plan? beneficial plant such as Turnera subulata, Cassia cobanensis and Antigonon - Document report “BKM 2015” b. Has that plan been implemented? leptopus, the development of an owl as a natural enemy of rat. BAME, BMLE, SPNE and c. Is the effectiveness of the IPM plan SPNA - Chemicals usage as a last alternative in the control of pests and diseases monitored? - Site visit and field observation Early detection UPDKS (ulat pemakan daun kelapa sawit) performed every 2 d. Are there records showing that the use of in BAME, BMLE, SPNE and months, it documented in BKM (buku kegiatan mandor). Beneficial plant Turnera pesticides have been minimised in SPNA subulata, Cassia cobanensis and Antigonon leptopus already planted almost in accordance with Integrated Pest every block along the main road and collection road. Owl introduction was in Management (IPM) plan? progress with the implementation of owl nest (Gufon) and the introduction of an owl from Hanau Estate. e. Has there been prophylactic use of pesticides? If so, justification must be Monitoring the implementation of the IPM was documented in “plan and provided in accordance to National Best realization Work Program IPM 2015” in each division (detection of plant diseases Practices. and pests census (UPDKS, rats, Oryctes), spraying ferns, path and circle weeding spraying and beneficial plant upkeep.
The use of pesticides has been minimised as part of a plan, and in accordance with Integrated Pest Management (IPM) plans, e.g. in Batu Ampar Estate :
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OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Material Rollup (L) Rolixone (L) Erkafuron (L) Starane (L) Garlon
2013 1,805.15 2,059.56 84.38 234.16 -
2014 1,144.50 1,414.16 67.84 167.84 117.89
2015 812.94 1,174.73 58.89 151.62 117.19
E.g in Batu Mulia Estate : Material Rollup Rolixone Erkafuron Starane Garlon
2013 1,871.60 -
2014 1,104.31 960.15 47.99 202.43 223.78
2015 1,109.92 882.96 44.60 263.42 299.10
E.g in Sungai Panci Estate : Material Rollup (L) Rolixone (L) Erkafuron (L) Starane (L) Garlon
2013 1,576.44 1,842.63 106.08 320.59 438.45
2014 1,342.12 1,539.96 80.09 276.39 865.88
2015 831.08 1,193.58 73.99 134.67 276
2014 1,402.03 875.11 60.02 247.54 314.28
2015 1,176.59 196.76 196.76 269.21 171,40
E.g in Sungai Panci Plasma : Material Rollup (L) Rolixone (L) Erkafuron (L) Starane (L) Garlon
2013 1,730.34 1,872.50 105.38 474.22 1,035.20
Use of pesticides in the field was always lower than the planned budget. It also shows the company's commitment to always reduce pesticide usage and give priority to the prevention of mechanical, biological and integrated pest
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OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR management. There was no prophylactic use of pesticides, it’s evident by site visit and field observation in BAME, BMLE, SPNE and SPNA. Pesticide only used and apply for weeds and pest.
4.6.4
Pesticides that are categorised as World Health Organisation Class 1A or 1B, or that are listed by the Stockholm or Rotterdam Conventions, and paraquat, are not used, except in specific situations identified in national Best Practice guidelines. The use of such pesticides shall be minimised and eliminated as part of a plan, and shall only be used in exceptional circumstances. a. Does the company have a complete - Listing of WHO class 1A, class YES Organization already has a list of pesticides that are included in WHO Class 1a listing of WHO class 1A, class 1B, and 1B, and Stockholm or (extremely hazardous) 28 type, class 1B (highly hazardous) 56 types and Stockholm or Rotterdam Conventions Rotterdam Conventions Stockholm Rotterdam convention pesticide. In Langadang Estate and Tasik Mas pesticide? pesticide Estate there was no use of 1A and 1B class pesticides. Paraquat which was used - Policy of Paraquat uses from b. Is there a policy, procedure or by organization included in the class class II (Moderately hazardous). Vice President Agronomy (VPA) management plan committing to minimise dated 1 March 2010. Organization has defined a policy, documented in “Memorandum Presiden and eliminate use of these pesticides and - Memorandum from Regional Direktur No. 044/PD/IX/2014 dated 21 November 2014” organization commited to paraquat? Controller (RC) Kalimantan reduce the use of Paraquat as much as 30% in 2015 and in 2018 will no longer c. Are there records of minimisation of Selatan 1 dated 21 July 2014 used/eliminate. During this time the use of paraquat only to eradicate the weeds pesticides and paraquat use? - Memorandum Presiden Direktur of Pakisan (Noxious Ferns). No. 044/PD/IX/2014 dated 21 d. Where there is the use of the above The use of pesticides and paraquat has been minimised as part of a plan. The November 2014 pesticides or paraquat, has justification in records of minimisation was available, e.g in Batu Ampar Estate : line with national best practice guidelines - Document “Plan and realization budget agrochemical” year Material 2013 2014 2015 been documented? 2013, 2014 and 2015 BAME, Rolixone (L) 2.059,56 1.414,16 1.174,73 e. Does physical verification of inventory in BMLE, SPNE and SPNA E.g in Batu Mulia Estate : the chemical store agree back to the inventory records? Material 2013 2014 2015 Rolixone
1.871,60
960,15
882,96
E.g in Sungai Panci Estate : Material Rolixone (L)
2013 1,842.63
2014 1,539.96
2015 1,193.58
2014
2015
E.g in Sungai Panci Plasma : Material
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2013
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NO
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OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Rolixone (L)
1.872,50
875,11
196,76
To reduce paraquat use, Estates implement S4 (Selective Spraying and Site Specific) which agrochemical is only used in targeted weeds, no spraying in riparian buffer zones. There was a Policy of paraquat use, PT Smart are committed to always control aspects of the environment and prevent environmental impacts and create a safe working environment for all employees with respect to the use of paraquat. Regional Control (RC) of Kalimantan Selatan 1 also established Memorandum regarding Paraquat uses: -
Paraquat is only use to control ferns (Stenochlaena, Lycopodiophyta, etc)
-
Rotation weeding circle and path spraying which were using Paraquat lowered at least 3% from the previous year and wherever possible be replaced with a systemic herbicide based on weed vegetation in the field besides ferns.
-
4.6.5
Applications of Paraquat performed by trained and certified personnel under direct supervision by the foreman who was also certified (M) Pesticides shall only be handled, used or applied by persons who have completed the necessary training and shall always be applied in accordance with the product label. Appropriate safety and application equipment shall be provided and used. All precautions attached to the products shall be properly observed, applied, and understood by workers (see Criterion 4.7). - Training record and certificates YES a. Is there SOP for chemicals/pesticides Pesticide use and handling was documented in the procedure certificate no. handling? SOP/SMART/MCAR/VIII/TA-PGM and work instruction IK/SMART/MCAR/VIII/TA03/KP3/KS/IV/2013 in TLTE PGM/03-Weeds control. General instructions of security in working with pesticides b. Is there a training plan and training - Training record and certificates described in procedure includes the selection of kinds of pesticides, pesticide records for workers who apply or handle no.03/KP3/KS/IV/2014 in KNTE storage, pesticide use, addressing pesticide contamination, first aid instructions, pesticides? - Field observations to spray medical assistance. activities (pesticide/herbiside c. Is there evidence that training has been usage) in Tanah Laut Estate at conducted in an appropriate language Agrochemicals have been applied and handled by trained spraying workers who Block C18 division I and understood by the workers? have received usage of limited pesticide training. Training was delivered by Kintapura Estate at Block G7 Pesticide Commission of Agriculture Department South Kalimantan Province on d. Are pesticides handled, used or applied division I 25th March 2014 in BAME and BMLE, on 25 March 2011 in SPNE and SPNA. only by persons who have completed the - MSDS of All type Agrochemical Training record and certificates were sighted for all sprayers 2015 BAME, BMLE, necessary training? SPNE and SPNA. For example in BAME Certificate No. 03/KP3/KS/IV/2013, e. Are the workers involved in chemical Certificate No. 05/KP3/KS/II/2011, Certificate No. 010/KP3/KS/VIII/2011; in SPNE
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CRITERION / INDICATOR CHECKLIST handling or application able to demonstrate understanding of the hazards and risks related to chemicals used when interviewed?
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Certificate No. 03/KP3/KS/IV/2014, Certificate No. 03/KP3/KS/IV/2014, Certificate No. 010/KP3/KS/VIII/2011; in SPNA Certificate No. 03/KP3/KS/IV/2014, Certificate No. 03/KP3/KS/IV/2014, Certificate No. 010/KP3/KS/VIII/2011, Certificate No. 010/KP3/KS/VIII/2011, Certificate No. 010/KP3/KS/VIII/2011.
f.
Are pesticides always applied in accordance with the product label?
Training covered handling of concentrate agrochemical and spraying method including pesticide hazard.
g.
Are MSDS for pesticides used readily available for easy reference?
h.
Is appropriate safety and application equipment provided and used?
Personnel interviewed (sprayer workers) can clearly explain the type of work including work methods and goals, materials used (pesticides) including the dosage and hazards and risks, personal protective equipment and first aid.
i.
Is PPE used appropriate according to recommendations in any risk assessments done?
j.
Is appropriate PPE provided and used, and can it be easily replaced if damaged?
k.
Does the management checked the workers usage of appropriate PPEs?
Pesticides always applied in accordance with the product label and storage instruction , such as : - Erkafuron: 148.48 kg - Rolixone: 1,378.10 L - Roll Up: 1,002.57 L - Starane: 120.6 L Agrochemicals storage was locked areas with limited access. The storage was ventilated. MSDS and hazard symbol label were provided nearby of agrochemicals. Emergency shower and eyewash were also provided to anticipate in case of an emergency of agrochemical handling. The possible spill was managed. Secondary containment was provided around the chemical storage area. Spill kit was also provided in the area. PPE for handling of chemicals were provided including boots, apron, safety glass, respiratory mask and hand gloves. PPE used was appropriate according to recommendations in any risk assessments. PPE provided and used can be easily replaced if damaged. Site visit in Block F7 Division IV BAME, Block C11 Division I SPNE, Block E10 Division II SPNA and Block G7 Division I BMLE has been done to observe the spraying and pesticide application in field. Interview with spraying workers were evident that all of them has a good knowledge regarding the pesticide usage and its material usage and toxicity. All the workers has used the personal protective
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NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR equipment meet with the safety rules and work instruction such as : Appron, safety goggles, chemical masker, hand gloves (2 type : cotton inside and rubber outside) and safety shoes. All precautions attached to the products properly observed, applied, and understood by workers. Mandor as person in charge to
checked the workers usage of appropriate PPEs was well monitored in each spraying job. (M) Storage of all pesticides shall be according to recognised best practices. All pesticide containers shall be properly disposed of and not used for other purposes (see Criterion 5.3). 4.6.6
Specific guidance for 4.6.6: Recognised best practice includes: Storage of all pesticides as prescribed in the FAO International Code of Conduct on the distribution and use of pesticides and its guidelines, and supplemented by relevant industry guidelines in support of the International Code (see Annex 1). a. Has the SOP for pesticide storage been SOP for pesticide storage was documented in IK/SKIP/GDG/01 – Pesticide YES IK/SKIP/GDG/01 – Pesticide documented and implemented? warehouse. Pesticides are stored in the determined area separated from fertiliser (Major NCR warehouse 2015-02 closed) Receipt note returning of empty and other chemicals. Pesticides storage is provided in Divisions as well as in b. Are all pesticides stored according to central storage. Agrochemicals storage is locked areas with limited access. The pesticides containers to PT. recognised best practices? storage is ventilated. MSDS and hazard symbol label are provided nearby of Rolimex Kimia Nusamas c. Is there evidence that empty pesticide pesticides. Emergency shower and eyewash are also provided to anticipate in Permit of hazardous waste containers are properly stored and case of an emergency of agrochemical handling. PPE for handling of pesticides collection PT. Maju Asri Jaya disposed off and not used for other are provided including boots, apron, safety glass, respiratory mask and hand Utama: Keputusan Menteri purposes? gloves. The possible spill is managed. Secondary containment is provided around Negara Lingkungan Hidup the pesticides storage area. Spill kit is also provided in the area. #37/2011 dated 21 February d. Is there evidence observed in the field 2011 that pesticide containers are All empty pesticides containers were triple rinsed and stored in the temporary Contract Agreement between indiscriminately disposed (in dump site) storage of hazardous wastes. The jerrycans were reused to spraying activities, PT. Maju Asri Jaya Utama and or used for other purposes, .e.g. as waste while bottles containers were returned to suppliers (PT Rolimex Kimia Nusamas) PT. Waste International (SPK containers, flower pots? and managed by licensed transporter PT Maju Jaya Asri Utama and processor PT #002/WI/SPKLB3-P/I/2015) Wastec International. Hazardous waste manifests were sighted for Juli 2014, Contract Agreement between March and July 2015 (BAME, BMLE and SPNA), March and June 2015 (SPNE). PT. SKIP with PT. Rolimex Return of empty pesticides containers to PT. Rolimex Kimia Nusamas was Kimia Nusamas #013/RKNconducted in December 2014 (BAME), July 2014 (SPNE). FER/PER/V/2015 on 19 May 2015 regarding transportation of Major Non-conformance 2015-02: empty pesticides containers There was no evident that BAME received pesticide containers waste from the Field observation to Division warehouse, central warehouse, other Estate where logbook of the other Estate mentioned that pesticide
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NO
4.6.7
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE pesticedes containers cleaning area, temporary storage of hazardous waste Application of pesticides shall be by proven methods that minimise risk and impacts. a. Is there work instruction for pesticide - SOP/SMART/MCAR/VIII/TAapplication? PGM Pesticide use and handling and work instruction b. Is there training provided on work IK/SMART/MCAR/VIII/TAinstruction including risk and impacts of PGM/03-Weeds control pesticide applications? - Training and dissemination records for sprayers worker in January 2015 - Field observations to spray activities (pesticide/herbiside usage) in BAME, BMLE, SPNE and SPNA
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR containers waste was sent to BAME. Pesticide container in SPNA Division II warehouse was not completed with label and hazard symbol. Pesticide use and handling was documented in the procedure SOP/SMART/MCAR/VIII/TA-PGM and work instruction IK/SMART/MCAR/VIII/TAPGM/03-Weeds control. Training and dissemination on work instruction including risk and impacts of pesticide applications (Material safety data sheet) has been performed by organization on January 2015 in BAME, BMLE, SPNE and SPNA to all sprayers and chemical workers. Training and dissemination records were sighted. Field observations conducted to spray activities in Block F7 Division IV BAME, Block C11 Division I SPNE, Block E10 Division II SPNA and Block G7 Division I BMLE. The results were shown and it was observed that all of the activity was met with the procedure and well implemented. Personnel interviewed can clearly explain the type of work including work methods and goals, materials used (pesticides) including the dosage and danger, personal protective equipment and first aid. Several BKM of circle weeding spray using agrochemicals was sighted. It was noted that agrochemicals (roll up, rolixon and erkafuron) use were approved and registered agrochemical. Dosage of agrochemical use, target species was in line with the procedure (SOP/SMART/MCAR/ XII/TA-PTM “Mature Upkeep” and SOP/SMART/MCAR/VIII/TA-PGM “Control of Weeds”). BKM recorded target species, dosage and trained spraying officer. Minor Non-conformance 2015-03: - Field observation for spraying activity in Block E10 SPNA found herbicide mixing between Roll up and fresh water performed in field - There is no place/container for controlling spills of herbicides in the field and supervisors who conduct mixing didn’t use PPE faceshield
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YES (Minor NCR 2015-03 closed)
Audit Report
CRITERION / INDICATOR CHECKLIST
NO
4.6.8
4.6.9
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
(M) Pesticides shall be applied aerially only where there is documented justification. Communities shall be informed of impending aerial pesticide applications with all relevant information within reasonable time prior to application. a. Has aerial spray been applied? If yes, is YES - Pesticide application area Pesticide application performed with strict supervision of the field supervisors and there documented justification? warning signs, installed for 2 assistants. Application of pesticides based on plant maintenance work program weeks in area applied b. Is the impact and risk associated with that has been scheduled. Application of pesticides considers various factors such - Warning boards of pesticide aerial application documented and made as the environment, safety and weather. In the area of pesticide applied there was applied and warning for not to available? warning boards installed for 2 weeks. Socialization is also performed to the local graze cattle in the area of people not to graze cattle in the area of pesticides applied to avoid the toxicity and c. Are the identified affected communities pesticides applied hazards of toxic pesticides. informed of impending aerial pesticide - Field observations to spray applications with all relevant information activities (pesticide/herbiside within reasonable time prior to usage) in BAME, BMLE, SPNE application? and SPNA Maintenance of employee and associated smallholder knowledge and skills on pesticide handling shall be demonstrated; including provision of appropriate information materials (see Criterion 4.8). a.
b.
Has the company provided information materials on pesticide handling to all employees and associated smallholders (if any) (see Criterion 4.8)? Is there evidence of periodic training (in appropriate language) of employees and associated smallholders on pesticide handling?
Note: Interview with workers and smallholders on their knowledge and skills in pesticides handling.
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-
-
Record of Pesticide training to workers in BAME, BMLE, SPNE and SPNA Field observations to spray activities (pesticide/herbiside usage) in BAME, BMLE, SPNE and SPNA
YES
There was no smallholder associated with estate. Company has provided information materials on pesticide handling to all employees. Training and dissemination on work instruction including risk and impacts of pesticide applications (Material safety data sheet) has been performed by organization on January 2015 to all sprayers and chemical workers. Training and dissemination records were sighted. Agrochemicals have been applied and handled by trained spraying workers who have received usage of limited pesticide training. Training was delivered by Pesticide Commission of Agriculture Department South Kalimantan Province on 25th March 2014 in BAME and BMLE and on 25 March 2011 in SPNE and SPNA. Training record and certificates were sighted for all sprayers in BAME, BMLE, SPNE and SPNA.
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CRITERION / INDICATOR CHECKLIST
NO 4.6.10
OBSERVATIONS & OBJECTIVE EVIDENCE
Proper disposal of waste material, according to procedures that are fully understood by workers and managers shall be demonstrated (see Criterion 5.3). a.
Is there an SOP for proper disposal of waste material?
b.
Is there training provided to workers and managers on proper waste disposal?
c.
4.6.11
4.6.12
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Is there evidence of implementation of proper ways for waste disposal by the company?
SOP/SPO/SMART-18 – Waste handling SOP/SMART/LEMSEHSD/SADV/I/002 – Waste handling Field observation to spraying and harvesting activities Attendance list of training
SOP for proper disposal of waste material was described in SOP/SPO/SMART-18 and SOP/SMART/LEMS-EHSD/SADV/I/002 – Waste handling. Waste material were disposed in the designated area and separated between organic and inorganic waste landfill and not being burned. Training of proper waste disposal was conducted on 18 June 2015 and 26 February 2015. Interview with spraying worker and harvester during audit, there was good level of understanding among workers regarding how to separate between inorganic and organic waste.
(M) Specific annual medical surveillance for pesticide operators, and documented action to treat related health conditions, shall be demonstrated. a.
Is there an updated list of pesticide operators?
b.
Is there records of annual medical surveillance of pesticide operators?
c.
Is there medical and treatment records of all pesticide operators?
List Of Pesticides Operator 2015 Diagnoses Card and Report from recommended hospital and local polyclinic MCU Recapitulation Report on: BAME: 27/05/2015 SNPE: 8/4/2015 SNPA: 5/5/2015 BMLE: 19/05/2015
List of pesticides operator was shown and updated periodically. Specific health surveillance has been performed for all pesticide operators included cholinesterase, spirometry and audiometry. The surveillance was planned to be conducted once in a year. Medical treatments records as Reports of the health surveillance for all workers were available. The recommended actions were recorded and reported to estate manager. Base on recommendation from manager the actions were executed and the results were reports from the recommended hospital. All results raised from actions taken were maintained properly. Diagnoses Card Covered the diagnoses and treatment applied to the workers. Several records were available for all estates audited. Socialization of health surveillance results have been conducted to the workers.
(M) No work with pesticides shall be undertaken by pregnant or breast-feeding women.
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YES
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NO a.
CRITERION / INDICATOR CHECKLIST Is there a policy statement preventing pregnant and breast-feeding women from handling pesticides?
b.
Is there a lists of female workers handling pesticides available?
c.
Does the company have a system to identify pregnant and breast-feeding women?
d.
Is there evidence showing that pregnant and breast-feeding women are not allowed to handle pesticides?
OBSERVATIONS & OBJECTIVE EVIDENCE Employee Health Inspection Report of Estate and Mill, dated 25-26 February 2015.
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Policies related to pregnant and breastfeeding is according to a circular letter from the CEO-PSM3 dated 12 January 2010:" Workers Pregnant - Breastfeeding and Inspection Sprayer "no. 001 / SE-ADH3 / BNJO / 01/2010: -
Do not allow pregnant and nursing women workers working as sprayers Special for sprayers that use agrochemical, shall conduct regular checks every four (4) months.
Health checks of the sprayer including pregnancy tests on female workers is done every four months last performed on 25-26 February 2015 at BAME and SPNE while SPNA on 27 Juni 2015 and recorded in the medical checks sprayers in the clinic. So for workers who are pregnant and breastfeeding is not employed for activities related to chemicals, it is sign when field observations and conducted checks on power sprayers, there are no labor who are pregnant and breast-feeding as the list of checks in the clinic. General Medical Check Up (MCU) employees of Estates and Mill conducted in May 2015 and recorded in the “Laporan hasil Pemeriksaan Kolinesterase periode Mei 2015”.
4.7
An occupational health and safety plan is documented, effectively communicated and implemented. (M) A health and safety policy shall be in place. A health and safety plan covering all activities shall be documented and implemented, and its effectiveness monitored.
4.7.1
Guidance: Growers and millers should ensure that the workplace, machinery, equipment, transport and processes under their control are safe and without undue risk to health. Growers and millers should ensure that the chemical, physical and biological substances and agents under their control are without undue risk to health when appropriate measures are taken. All indicators apply to all workers regardless of status. The health and safety plan should also reflect guidance in ILO Convention 184 (see Annex 1). Occupational health and safety policy is remained unchanged. The policy was YES a. Is there a health and safety policy in Health and Safety Policy displayed at strategic locations of estate and mill and communicated to place? OHS Target and Plan 2015 Is it written in an appropriate Notes of Meeting Safety employees including contractor workers. The Health and safety policy was signed
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NO
CRITERION / INDICATOR CHECKLIST language? Has the policy been approved by an authorized personnel and dated? Does the policy cover mitigation of risks to workers health and safety at all workplace activities? Are the workers aware of and understand the policy?
b.
Is there a health and safety plan in place? Does the plan include targets for improving occupational health and safety? Does the plan reflect guidance provided in the ILO Convention 184 (see Annex 1)?
c.
Is there evidence of implementation of the plan?
d.
Is the effectiveness of the health and safety plan monitored?
e.
Is the health and safety plan made publicly available?
f.
Is there an action plan if targets are not achieved?
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OBSERVATIONS & OBJECTIVE EVIDENCE Committee April-May 2015 Risk Assessment register 2015 OHS Training Records 2015 Safety Performance Report 2015 Evaluation Records of Emergency Simulation Measurement Report of OHS Parameters Valid permit of lifting equipment, machinery etc. Safety Working Permit Records Etc. Observations of OHS implementation on: BAME: spraying activities (block F7 Div 04) and harvesting activities (block F14 Div 05), warehouse and workshop. SPNE: spraying activities (block C11 Div 01) and harvesting activities (block H8 Div 02), warehouse and workshop. SPNA: spraying activities (block E10 Div 01) and harvesting activities (block D9 Div 01), warehouse and workshop. BMLE: spraying activities (block G7 Div 02) and harvesting activities (block F5 Div 01), warehouse
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR by organization director on 1 November 2013. The mitigation of risks to workers health and safety was included in point 4 in the policy. Health and safety plan and target for all estates and mill were evident and included guidance provided in ILO Convention 184. The evidences of the implementation were shown such as Health Surveillance Reports, OHS Performance Reports, OHS Training attendance, etc. Monitoring of the safety plan was conducted by regular safety meeting once in a month. Several actions were issued for the unachieved safety targets and plans. The safety target and plan was also publicly available via company website. Safety Programs/Plans has been defined such as: safety trainings, safety inspection, safety parameters monitoring, MCU, Review of Risk Assessment, Handling of incidents, ERP simulation, safety reporting to authority, safety committee meeting etc. The implementations of the programs were evident such as: Safety Committee meeting during January – July 2015 Safety training: Safety Performance Report to local authority period Apr-June 2015 Emergency procedure testing/simulation on May-July 2015 etc. Monitoring of physical chemistry factors has been conducted on 27 March 2015 such as noise, vibration, air quality, etc. Several factors were found exceeded than regulation such as noise. Follow up regarding to this condition has been conducted and evaluated. Documented procedure was available to handle this activity (SOP/SMART/HESS-EHSD/SADV/I/016). OHS induction was performed by Safety Officer at mill and estates. With this induction, auditor team was made aware on the situation of mill and estates, the risk may be existed, the basic OHS rules at mill and estate and emergency preparedness and response procedure, etc. Utility equipment were available and installed such as boilers, sterilised, steam vessel, compressors, generator, heavy equipment, lifting equipment. This equipment has been inspected by local authority and the records were evident. Periodic monitoring was also performed internally such as boiler parameter monitoring (pressure, temperature, water
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NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE and workshop. BAMM: loading/unloading, production process including utilities, workshop, storage and laboratory.
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR quality, water level, etc. Operators who operate utility and vehicles were trained by authorised body and equipped by valid licensee. Certificate of training was also evident. Moving parts of machine/equipment generally has been covered or guarded. Safety sign was provided to make workers aware on this hazard and risk. Electrical hazard symbol was provided at electrical panel. Inspection regarding to electrical installation has been made. Access for workers to workplace in general also good e.g. stair was provided with hand rail and platform at height was provided with border to prevent fall risk. There was also detailed working instruction which described process for conducting activities including requirement concerning to OHS aspects such as requirement of PPE. Working instructions were sighted such as spraying, harvesting, pesticide preparation, etc. The procedure for controlling the critical activities was established, SOP/SMART/HESS-EHSD/SADV/I/015. The procedure was covering OHS control for working in confined space (e.g. cleaning of storage tank), working at height and welding. Work permit system was implemented for these works. It was noted that measurement of adequacy of oxygen and availability of dangerous gas were required before entering confined space and it was mentioned in the work permit; the portable gas detector was sighted during this audit. It was also noted that working at more than 2 meters from land or platform has been classified as working at height; this was mentioned in the procedure. Lock out tag out (LOTO) procedure (SOP/SMART/HESS-EHSD/SADV/I/009) has also been established and implemented especially intended for risk control of maintenance activities. The procedure for management of PPE has been established (SOP/SMART/HESS-EHSD/SADV/I/010). The PPE for each activity has been established, e.g. working at mill, working at generator set, welder, working at laboratory, harvester, sprayer, fertilizer storage, chemical storage, etc. Observation during this audit generally concluded that PPE has been well provided and implemented. Workers were interview during this audit and generally they understood the risk of their work and the purpose of using PPE. Emergency Response Team has been defined and the emergency flow charts have been established for any kind of emergency situation such as earthquake, fire, flood etc. The awareness of employee was gained with the simulation of emergency response conducted on 27 May 2015. The evacuation routes and
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CRITERION / INDICATOR CHECKLIST
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR emergency flowcharts have been socialized during simulation. Emergency signs and boards were provided in several areas. The muster points for each area such as workshop, warehouse, office etc. were sighted.
4.7.2
(M) All operations where health and safety is an issue shall be risk assessed, and procedures and actions shall be documented and implemented to address the identified issues. All precautions attached to products shall be properly observed and applied to the workers.
a. Have risk assessments been conducted
for all operations where health and safety is an issue?
b. Does the risk assessment cover all the
organization’s processes and activities?
c.
If any accidents had occurred, were these included in the risk assessments with action plans to prevent further recurrence?
Risk Assessment (ISBPR) and review for BAMM, BAME, SPNE, SPNA and BMLE. Procedure SOP/SMART/HESSEHSD/SADV/I/02
d. Have the procedures and action plans
been documented and implemented to address the identified issues?
a. Risk Assessment (ISBPR) for all operations was available and reviewed on 7 January 2015. b. The risk assessments cover all the organization’s processes and activities such as: spraying, fertilizing, weeding, road maintenance, harvesting, transportation, warehouse, workshop, infrastructure, policlinic, office etc. c. Related risk assessments were reviewed if any accident has occurred. d. Several procedures related to issues raised have been documented such as procedure for using hydrant and FE, safety working permit, lock out tag out, first aid to workers, material processing and transportation, etc. e. All precautions attached to products been properly observed and applied to the workers. Several controls such as providing PPE and administration control were applied to workers in some activities such as: mill maintenance process, spraying activities, handling of pesticides etc.
YES
e. Have all precautions attached to products been properly observed and applied to the workers?
4.7.3
(M) All workers involved in the operation shall be adequately trained in safe working practices (see Criterion 4.8). Adequate and appropriate protective equipment shall be available to all workers at the place of work to cover all potentially hazardous operations, such as pesticide application, machine operations, and land preparation, harvesting and, if it is used, burning.
a. Are all workers involved in the operation appropriately trained in safe working practices (see Criterion 4.8)?
b.
Are OSH training programs and training records available and conducted by
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List Attendance of Risk Assessment and Work Instruction socialization for mill and estates. SOP/SMART/HESSEHSD/SADV/I/010
Risk assessment and Work Instruction socializations have been performed both for mill and estates. Samples were taken for Risk Assessment and Work Instruction socialization for: harvesting, spraying and chemical warehouse workers. The socializations were conducted by Safety Officer who has been qualified as Safety Officer by the government. The procedure for management of PPE (SOP/SMART/HESS-EHSD/SADV/I/010)
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YES
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CRITERION / INDICATOR CHECKLIST qualified persons?
NO
4.7.4
c.
Is adequate and appropriate protective equipment available to all workers at the place of work to cover all potentially hazardous operations, such as pesticide application, machine operations, and land preparation, harvesting and, if it is used, burning?
d.
Is PPE provided to workers and replaced when damaged? Does the organization maintain a list of PPE distribution? Are workers observed wearing appropriate PPE?
OBSERVATIONS & OBJECTIVE EVIDENCE PPE Checklist Maintenance PPE Distribution Records
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR has been established. The PPE for each activity has been established, e.g. working at Mill, working at generator set, welder, working at laboratory, harvester, sprayer, fertilizer storage, chemical storage, etc. Observation during this audit generally concluded that PPE has been well provided and implemented. Workers were interview during this audit and generally they were understood the risk of their work and the purpose of using PPE. List of PPE was evident included: ear plug, helmet, ear muff, safety shoes, gloves, googles, mask, gas mask, apron etc. The records of PPE distribution when it was damaged were evident such as for: Batu Ampar Estate on 4–19 March 2015 to harvesting workers at Block F14 Division 05 and pesticides operator at block F7 Division 04. It was observed that workers were wearing appropriate PPE such as gloves, goggles, shoes and chemical mask for pesticides operators in block F7 division 04 named Jumaiyah, Windarti, Rominah and Kanih.
(M) The responsible person/persons shall be identified. There shall be records of regular meetings between the responsible person/s and workers. Concerns of all parties about health, safety and welfare shall be discussed at these meetings, and any issues raised shall be recorded.
a. Has the company identified the
-
responsible person/persons to implement OSH?
b.
Are meetings between the responsible persons and workers conducted on a regular basis, or as required by law, if any?
c.
Are minutes of meeting recording attendees and issues discussed available?
d.
Are concerns of all parties about health, safety and welfare discussed at these meetings?
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-
Approval Letter of Safety Committee from local government Pemkab Kotabaru, South Borneo. Notes of Meeting Safety Comiittee (P2K3) from April – June 2015 for all estates and mill.
The responsible person was identified as Chief of P2K3 (estate or mill manager) and P2K3 secretary (Safety Officer). The safety committee (P2K3) structure was evident and been approved by local authority Pemkab Kotabaru for mill and all estates. Notes of Regular Meeting of Safety Committee with workers were evident. Samples were reviewed for April - June 2015. The meeting was planned once in a month as required by Permenaker 04/1987. Several concerns were discussed such as: request for safety signs and first aid box. The actions were monitored for realisation and reported to management and local authority.
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YES
Audit Report
NO
4.7.5
CRITERION / INDICATOR CHECKLIST Note to Auditor: Interviews with workers reflect compliance to a-d above.
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Accident and emergency procedures shall exist and instructions shall be clearly understood by all workers. Accident procedures shall be available in the appropriate language of the workforce. Assigned operatives trained in First Aid should be present in both field and other operations, and first aid equipment shall be available at worksites. Records of all accidents shall be kept and periodically reviewed. a. Are there SOPs for accidents and Emergency respond Emergency respond procedure written in Bahasa Indonesia was described by YES emergencies? procedure SOP/SMART/UMUM/SADV/I/005 and was covered reporting, responsibility of all SOP/SMART/UMUM/SAD members of ERP Team, handling of ERP situation, mitigating of ERP situation, Do these cover all major potential V/I/005 etc. Some situations were identified such as earthquake, flooding, fire, hazardous emergencies, such as, but not Accident procedure spillage, explosion etc. limited to fire, chemical spillage, and SOP/SMART/HESSpotential natural disasters specific Accident procedure written in Bahasa Indonesia was described by: EHSD/SADV/I/005 for the region, e.g. earthquakes, SOP/SMART/HESS-EHSD/SADV/I/005. Accidents happened were investigated List attendance of volcanoes, etc.? such as last accident for workers M. Kasun on 8 June 2015. The accident has procedure socialization Are accidents investigated and been reported to Dinsosnakertrans on 13 June 2015. The record of accident Training Certificate of First action taken to prevent recurrence? investigation was evident and maintained properly. Aid Officer Are accident records provided to the Emergency respond procedure has been socialized to workers during the local authority in accordance with simulation of emergency situation and attended by all workers. The list of local legal requirements, if any? attendance was available. From workers interview in the field it was observed that Available in the appropriate the workers were clearly understood of what is required in the procedure. language of the workforce? b.
Are the instructions on emergency procedures clearly understood by all workers?
c.
Are assigned operators trained in First Aid present in both field and other
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Trained First Aid operators were provided in the field area. They were trained as First Aid Officer from Dinsosnakertrans on 13 March 2014 for all estates and mill. There were also First Aid trainings from local paramedic during Feb-July 2015. The First Aid equipment were available at worksites such as harvesting area, spraying area etc. and were checked in accordance with local regulation WORK ITEM:WI-700160 © SAI Global Limited Copyright 2008 - ABN 67 050 611 642
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CRITERION / INDICATOR CHECKLIST operations?
NO
4.7.6
d.
Is there records of training of the first aiders?
e.
Is first aid equipment available at worksites? Is the equipment available during conduct of field manual work?
e.
Are first aid kits adequately stocked and regularly checked in accordance with local legal requirements?
f.
Are records of all accidents kept and periodically reviewed for continuous improvement?
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Permenaker 15/2008.
All workers shall be provided with medical care, and covered by accident insurance. a.
Is there evidence that all workers are provided with medical care (refer to Criterion 6.5.3), and covered by accident insurance by the company? For contract workers, the contract between the company and the contractor shall be in compliance.
b.
For accidents that have occurred, is there evidence that the affected workers received appropriate medical treatment, and was able to claim and receive compensation under the insurance policy (if relevant)?
c.
Is there evidence that the insurance policies are valid?
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Slip payment of medical care and accident insurance July 2015
All workers were covered by accident and medical care insurance including contract workers. Slip payment for the insurance were available for payment in July 2015. The insurances were still valid as seen by most recent slip payment for the in July 2015 for all estates and mill.
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NO
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE CHECKLIST EVIDENCE Occupational injuries shall be recorded using Lost Time Accident (LTA) metrics.
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Specific Guidance for 4.7.7: The National Interpretation will define the metrics for LTA. For countries where there are no national interpretations, the growers will determine their own metrics. 4.7.7
4.8
For National Interpretation: National Interpretation will define the metrics for LTA. All legal requirements together with any local or national guidance on safe working practice in agriculture will be identified and used. It will also be important to identify what constitutes a ‘hazardous’ operation in the local context. a. Are occupational injuries recorded - Accident Reports and YES using Lost Time Accident (LTA) Investigation Safety performance for both mill and estates was calculated using frequency rate metrics? - Frequency Rate and Severity and severity rate. During 2015 the value for FR and SR was stated as below:: Rate Calculation Table • BAMM: FR=0; SR=0 • BAME: FR=9.48; SR=142.2 • SPNE: FR=8.00; SR=21.00 • SPNA: FR=0; SR=0 • BMLE: FR=30.33; SR=58.13
All staff, workers, smallholders and contract workers are appropriately trained. (M) A formal training programme shall be in place that covers all aspects of the RSPO Principles and Criteria, and that includes regular assessments of training needs and documentation of the programme.
4.8.1
Guidance: Workers should be adequately trained on: the health and environmental risks of pesticide exposure; recognition of acute and long-term exposure symptoms including the most vulnerable groups (e.g. young workers, pregnant women); ways to minimise exposure to workers and their families; and international and national instruments or regulations that protect workers’ health. The training programme should include productivity and best management practice, and be appropriate to the scale of the organisation. Training should be given to all staff and workers by growers and millers to enable them to fulfil their jobs and responsibilities in accordance with documented procedures, and in compliance with the requirements of these Principles, Criteria, Indicators and Guidance. Contract workers should be selected for their ability to fulfil their jobs and responsibilities in accordance with documented procedures, and in compliance with the requirements of the RSPO Principles, Criteria, Indicators and Guidance. Growers and millers should demonstrate training activities for schemes smallholders who provide Fresh Fruit Bunches (FFB) on a contracted basis. Workers on smallholder plots also need adequate training and skills, and this can be achieved through extension activities of growers or millers that purchase fruit from them, by smallholders’ organisations, or through collaboration with other institutions and organisations (refer to ‘Guidance for Independent Smallholders under Group Certification’, June 2010, and ‘Guidance on Scheme Smallholders’, July 2009)
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CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) For individual smallholder operations, training records should not be required for their workers, but anyone working on the farm should be adequately trained for the job they are doing (refer to ‘Guidance for Independent Smallholders under Group Certification’, June 2010, and ‘Guidance on Scheme Smallholders’, July 2009). For National Interpretation: Appropriate occupational training qualifications will be identified. a. Does the company maintain a list of staff, • Training Identification Matrix workers, smallholders and contract • Training Programme 2015 workers whom training must be provided • Training Records to? (List Attendance, evaluation etc.) b.
Is there a formal training programme in place that covers all aspects of the RSPO Principles and Criteria? Does the formal training program include: Regular assessment of training needs of all staff, workers, smallholders and contract workers; Training for workers on smallholder plots; Documentation of all the training assessment needs, formal training conducted and the list of participants attending these formal training; Does the training for workers cover, at minimum, to the following: o The health and environmental risks of pesticide exposure; o recognition of acute and long-term exposure symptoms including the most vulnerable groups (e.g. young workers,
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Training need identification matrix 2015 was evident and covered staff, workers, smallholders, and contract worker. Training programme 2015 were sighted and established based on the training needs identification and covered all aspects of the RSPO criteria such as safety, environment, social, best practice, human rights, management program, HCV and ethical. The list of attendance and the training handout were evident such as for BAMM, BAME, SPNE, SPNA and BMLE: •
Pesticides training on 25 March 2014
•
First aid officer on 17 June 2015
•
Socialization For Prohibition for Pregnant Women as Sprayer on 18 June 2015
•
Use of pesticides on 26 March 2014
•
Welder Certification on 14 April 2015
•
Training RSPO, ISCC and ISPO on April 2015
•
Risk Assessment Training in January 2015
•
ERP Simulation on 5 May 2015
•
Fire Fighting on16 May 2015
•
Field Fire Simulation on 23 May 2015
•
HCV in 2 – 8 April 2015
•
Handling Chemical in February 2015
•
Sexual Harassment on 27 July 2015
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CRITERION / INDICATOR CHECKLIST pregnant women); o ways to minimise exposure to workers and their families; o International and national instruments or regulations that protect workers’ health; and o Productivity and best management practice.
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR •
Work Instruction socialization on 21 July 2015
•
Health Insurance on 20 June 2015
•
PPE Training on 9 April 2015
•
SMDP (Supervisory Management Development Program) in July 2015
Note to auditor: To interview staff, workers, smallholders and contract workers to verify that the training has been conducted effectively. 4.8.2
Records of training for each employee shall be maintained. a.
Are training records maintained for each employee?
Personal Training Records of SPO Officer
Evidence of training for key persons were verified and sighted and the records were maintained for each employee such as for SPO officer. The system to record personal training was established-in this record; the training which has been completed by each person was recorded. Training realisation records are sighted such as hazardous substance handling training, boiler training, safety officer, pesticides training, etc.
YES
PRINCIPLES 5: ENVIRONMENTAL RESPONSIBILITY AND CONSERVATION OF NATURAL RESOURCES AND BIODIVERSITY NO 5.1 5.1.1
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) Aspects of plantation and mill management, including replanting, that have environmental impacts are identified, and plans to mitigate the negative impacts and promote the positive ones are made, implemented and monitored, to demonstrate continual improvement. (M) An environmental impact assessment (EIA) shall be documented.
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SUMMARY OF FINDINGS FOR EACH INDICATOR
COMPLIANCE (YES/NO)
Guidance: The EIA should cover the following activities, where they are undertaken: • Building new roads, processing mills or other infrastructure; • Putting in drainage or irrigation systems; • Replanting and/or expansion of planting areas; • Management of mill effluents (Criterion 4.4); • Clearing of remaining natural vegetation; • Management of pests and diseased palms by controlled burning (Criteria 5.5 and 7.7). Impact assessment can be a non-restrictive format e.g. ISO 14001 EMS and/or EIA report incorporating elements spelt out in this Criterion and raised through stakeholder consultation. Environmental impacts should be identified on soil and water resources (Criteria 4.3 and 4.4), air quality, greenhouse gases (Criterion 5.6), biodiversity and ecosystems, and people’s amenity (Criterion 6.1), both on and off-site. Stakeholder consultation has a key role in identifying environmental impacts. The inclusion of consultation should result in improved processes to identify impacts and to develop any required mitigation measures. For smallholder schemes, the scheme management has the responsibility to undertake impact assessment and to plan and operate in accordance with the results (refer to ‘Guidance for Independent Smallholders under Group Certification’, June 2010, and ‘Guidance on Scheme Smallholders’, July 2009). For National Interpretation: National Interpretation will consider any national legal requirements together with any other issues that are not required by law but are nevertheless important, e.g. independent social and environmental impact assessment (SEIA) for replanting may be desirable under specific situations. a. Has an EIA been conducted according to Documented ANDAL, RKL and Environmental impact analysis documents were provided, such as Documented the scope of operation covering at ANDAL, RKL and RPL approved by Indonesian Ministry of Agriculture (Approval RPL approved by Indonesian minimum the following: Ministry of Agriculture (Approval AMDAL No. 15/ANDAL/RKL-RPL/BA/IV/1998) on 30 April 1998 for BAME, BMLE and BAMM, Documented ANDAL, RKL and RPL approved by Indonesian Ministry AMDAL No. 15/ANDAL/RKL Building new roads, processing mills of Agriculture (Approval AMDAL No. 104/ANDAL/RKL-RPL/BA/VIII/1996) on 9 or other infrastructure; RPL/BA/IV/1998) on 30 April August 1996 for SPNE and Document of Environmental Evaluation (DELH – 1998 for BAME, BMLE and Putting in drainage or irrigation Dokumen Evaluasi Lingkungan Hidup) of KUD Gajah Mada with area 7,117.9d Ha BAMM systems; in Kec. Kelumpang Hilir, Kec. Kelumpang Selatan and Kec. Kelumpang Hulu, Documented ANDAL, RKL and Replanting and/or expansion of Kab. Kota Baru approved by Head of BLHD Kab. Kota Baru (#660/12/BLHD/2015) RPL approved by Indonesian planting areas; Ministry of Agriculture (Approval on 16 June 2015. Management of mill effluents AMDAL No. 104/ANDAL/RKL(Criterion 4.4); Mill and Estates implemented procedure for identifying environmental aspect and RPL/BA/VIII/1996) on 9 August Clearing of remaining natural evaluating its impact. The result of environmental aspect and impact identification 1996 for SPNE vegetation; and evaluation was documented. As required by the procedure, the information of Doc ID: 3843 / Issue Date May, 2014
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CRITERION / INDICATOR CHECKLIST Management of pests and diseased palms by controlled burning (Criteria 5.5 and 7.7).
b.
Has the EIA been conducted and documented according to local requirements?
c.
Does the assessment include consultation with relevant stakeholders to identify impacts and to develop any mitigation measures?
OBSERVATIONS & OBJECTIVE EVIDENCE Document of Environmental Evaluation (DELH – Dokumen Evaluasi Lingkungan Hidup) of KUD Gajah Mada with approved by Head of BLHD Kab. Kota Baru (#660/12/BLHD/2015) on 16 June 2015 List of environmental aspect and impact identification and evaluation Report of RKL RPL implementation 2nd semester 2014 and 1st semester 2015
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR environmental is reviewed and updated regularly. Last review and update of environmental aspect and impact register was performed in February 2015. The environmental impact analysis documented in ANDAL, RKL RPL included consultation with relevant stakeholders to identify impacts and to develop any mitigation measures. Impact assessment covered in ANDAL, RKL RPL document and environmental aspect and impact, e.g.:
Building new roads, processing mills or other infrastructure; Putting in drainage or irrigation systems; Replanting and/or expansion of planting areas; Management of mill effluents; Clearing of remaining natural vegetation; Management of pests and diseases palms by controlled burning
Environmental impact assessment was conducted through regular environmental monitoring, e.g. river water quality, mill effluent quality, air emission, economical, social and culture of community and wildlife. Implementation of RKL RPL is reported six monthly. Report for 2nd semester of 2014 and 1st semester 2015 for PT. SMART Tbk. Batu Ampar Mill (reporting of BAMM, BAME and BMLE) and for PT. Sinar Kencana Inti Perkasa (reporting of SPNE and SPNA environmental monitoring and measurement) was sighted and sent to Kota Baru District Environmental Agency and Estate Agency, South Kalimantan District Environmental Agency and Ministerial Office Environment. Receipt note was also sighted. 5.1.2
Where the identification of impacts requires changes in current practices, in order to mitigate negative effects, a timetable for change shall be developed and implemented within a comprehensive management plan. The management plan shall identify the responsible person/persons. a. Is there an environmental management This criterion was not applicable Defined within the procedure (SOP/SPO/SMART/LH-11) that whenever there is a plan in place? since there is no change occurred material change, changes in operations and regulatory changes must precede within the organization. environment aspect and impact assessment. This identification was updated b. Is the environmental management plan annually. documented to include the following:
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NO c. 5.1.3
5.2
5.2.1
CRITERION / INDICATOR CHECKLIST Identification of responsible person(s); Potential impacts from current practices; Measures to mitigate negative impacts; Timetable for change (where changes in current practices are required).
OBSERVATIONS & OBJECTIVE EVIDENCE
SUMMARY OF FINDINGS FOR EACH INDICATOR
COMPLIANCE (YES/NO)
Has the environmental management plan been implemented?
This plan shall incorporate a monitoring protocol, adaptive to operational changes, which shall be implemented to monitor the effectiveness of the mitigation measures. The plan shall be reviewed as a minimum every two years to reflect the results of monitoring and where there are operational changes that may have positive and negative environmental impacts. a. Does the plan incorporate a monitoring This criterion was not applicable Defined within the procedure (SOP/SPO/SMART/LH-11) that whenever there is a N/A protocol? since there is no change occurred material change, changes in operations and regulatory changes must precede within the organization. environment aspect and impact assessment. This identification was updated b. Is the monitoring protocol adaptive to annually. operational changes? c.
Is the monitoring protocol implemented to monitor the effectiveness of the mitigation measures?
d.
Is the plan reviewed at a minimum every two years to reflect the results of monitoring and where there are operational changes that may have positive and negative environmental impacts?
The status of rare, threatened or endangered species and other High Conservation Value habitats, if any, that exist in the plantation or that could be affected by plantation or mill management, shall be identified and operations managed to best ensure that they are maintained and/or enhanced. (M) Information shall be collated in a High Conservation Value (HCV) assessment that includes both the planted area itself and relevant wider landscape-level considerations (such as wildlife corridors). Specific Guidance: This information will cover:
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NO
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) • Presence of protected areas that could be significantly affected by the grower or miller; • Conservation status (e.g. IUCN status), legal protection, population status and habitat requirements of rare, threatened, or endangered (RTE) species that could be significantly affected by the grower or miller; • Identification of HCV habitats, such as rare and threatened ecosystems, that could be significantly affected by the grower or miller; Guidance: This information gathering should include checking available biological records and consultation with relevant government departments, research institutes and interested NGOs if appropriate. Depending on the biodiversity values that are present, and the level of available information, some additional field survey work may be required. Wherever HCV benefits can be realised outside of the management unit, collaboration and cooperation between other growers, governments and organisations should be considered. For National Interpretation: Appropriate sources of information can 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. Note: Operators need to consider a variety of land management and tenure options to secure HCV management areas in ways that also secure local peoples’ rights and livelihoods. Some areas are best allocated to community management and secured through customary or legal tenures, in other cases co-management options can be considered. Where communities are asked to relinquish rights so that HCVs can be maintained or enhanced by the companies or State agencies, then great care needs to be taken to ensure that communities retain access to adequate land and resources to secure their basic needs; all such relinquishment of rights must be subjected to their free, prior, and informed consent (see Criteria 2.2 and 2.3). a. Has a High Conservation Value (HCV) - HCV Asessment and YES assessment been conducted and cover the identification Report (BAME, HCV Assessment has been conducted by Biodiversity and Conservation Section following: BMLE, SPNE and SPNA), of Sustainability Division SMART group on June 2009 (BAME, BMLE, SPNE and 2013 SPNA). The team comprises: staffs of ecological habitat, socioeconomic, wildlife Presence of protected areas that - Management plan “Rencana ecology and environment services. could be significantly affected by the Pengelolaan Kawasan HCV grower or miller; Assessment has been conducted and cover the following: dan Rencana Pemantauan Conservation status (e.g. IUCN Kawasan HCV” on • Presence of protected areas that could be significantly affected by the grower status), legal protection, population documented HCV Asessment or miller; status and habitat requirements of and identification Report, rare, threatened, or endangered • Conservation status (e.g. IUCN status), legal protection, population status 2013 (RTE) species that could be and habitat requirements of rare, threatened, or endangered (RTE) species - Site visit/Field visit at BAME, significantly affected by the grower or that could be significantly affected by the grower or miller. BMLE, SPNE and SPNA miller. • Identification of HCV habitats, such as rare and threatened ecosystems, that Identification of HCV habitats, such as could be significantly affected by the grower or miller; rare and threatened ecosystems, that could be significantly affected by the
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CRITERION / INDICATOR CHECKLIST grower or miller;
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR HCV assessment performed by a qualified HCV assessor i.e:
b.
Was the HCV assessment performed by a qualified HCV assessor?
-
Norman Faried (Team cordinator – Ecology and mapping)
c.
Was the HCV assessment performed in consultation with relevant stakeholders?
-
Kusuma Widya R (wildlife ecology)
-
Bambang Setiaji (flora/plant ecology and environmental services)
d.
Does the HCV assessment include checking of available biological records?
-
Agus Budianto (GIS)
-
Yosaphat AR (social)
e.
Does the HCV assessment include both the planted area itself and relevant wider landscape-level considerations (such as wildlife corridors)?
f.
Was the HCV assessment performed in accordance to the latest methodology available at global and national level?
HCV assessment performed in consultation with relevant stakeholders as described above. Public consultation conducted on October 5th, 2011 with the community leaders and figures around the estate and government agencies (Village Head/Kepala Desa, his officials and community leaders in the village Pulau Panci, Pantai, Langadai, Pelajau Baru, Sukamaju).
g.
Are identified HCVs mapped?
HCV assessment also includes checking of available biological records and includes both the planted area itself and relevant wider landscape-level considerations (such as wildlife corridors). Methodology of assessment using a toolkit of HCV 2008, implementation of the assessment consists of: Secondary data collection, field survey, mapping and landscape, Assessment of fauna aspect with a rapid assessment (direct observation, interviews with the parties), asessment of flora aspects (direct survey and interview) , assessment of socio-economic and cultural aspects (interviews and direct observation at selected sites), analysis and mapping. All HCV identified was mapped with scale 1 : 35,000 in BAME, BMLE, SPNE and SPNA.
(M) Where rare, threatened or endangered (RTE) species, or HCVs, are present or are affected by plantation or mill operations, appropriate measures that are expected to maintain and/or enhance them shall be implemented through a management plan. 5.2.2
Specific Guidance: These measures will include: • Ensuring that any legal requirements relating to the protection of the species or habitat are met; • Avoiding damage to and deterioration of HCV habitats such as by ensuring that HCV areas are connected, corridors are conserved, and buffer zones around HCV areas are created;
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•
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) Controlling any illegal or inappropriate hunting, fishing or collecting activities, and developing responsible measures to resolve human-wildlife conflicts (e.g. incursions by elephants).
a.
Are HCVs and/or RTEs present?
b.
If HCVs and/or RTEs are present, has a management plan containing appropriate measures that are expected to maintain and/or enhance them been prepared? The measures should include the following: Ensuring that any legal requirements relating to the protection of the species or habitat are met; Avoiding damage to and deterioration of HCV habitats such as by ensuring that HCV areas are connected, corridors are conserved, and buffer zones around HCV areas are created; Controlling any illegal or inappropriate hunting, fishing or collecting activities, and developing responsible measures to resolve human-wildlife conflicts (e.g. incursions by elephants).
NO
-
-
-
Document Report of Identification and Asessment HCV in BAME, BMLE, SPNE and SPNA 2013 Management plan “Rencana Pengelolaan Kawasan HCV dan Rencana Pemantauan Kawasan HCV” 2015 BAME, BMLE, SPNE and SPNA Record document of management plan program realization 2015 HCV Patrol Schedule (Schedule team to monitor the condition and attributes HCV) HCV Management and monitoring report semester II 2014 Field visit at BAME, BMLE, SPNE and SPNA
HCV assessment results showed that in the plantation area of BAME, BMLE and SPNE were identified several areas of HCV however in SPNA were not identified the HCV area. In Batu Ampar Estate there was identified 304.54 Ha as HCV area, the following were type of HCV : -
HCV 1.3 Areas that Contain Habitat for Viable Populations of Endangered, Restricted Range or Protected Species. There was Proboscis (Nalsalis larvatus) habitat with area 64.1 ha.
-
HCV 4.1 Forests critical to water catchments in the form tidal swamp with area 151.42 Ha.
-
HCV 4.1 Areas or Ecosystems Important for the Provision of Water and Prevention of Floods for Downstream communities. There was identified Serongga Riparian area with area 89.02 Ha.
In Sungai Panci Estate there was identified 187.37 Ha as HCV area, the following were type of HCV : -
HCV 4.1 Areas or Ecosystems Important for the Provision of Water and Prevention of Floods for Downstream communities. There was identified Sungai Babi Riparian area with area 149.96 Ha.
c.
Are the measures contained in the management plan actively implemented to maintain and/or enhance HCV values?
-
d.
Are the HCV values and the presence of RTEs periodically monitored?
HCV3. Areas that are in or contain rare, threatened or endangered ecosystems in the form of Karst Ecosystem with area 40.39 Ha.
-
e.
Are the field inspections conducted regularly to ensure implementation of mitigation plan (especially along areas bordering natural area)?
HCV6. Areas critical to local communities’ traditional cultural identity. There was Kuburan keramat (sacred grave) in estate with area 0.02 Ha.
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There was HCV 1.1 & HCV 4.1 potential in SPNA. However, grower did not agree with the determination of HCV, because it would be reduced their acreage. So, the rivers have not been identified as HCV areas, but nevertheless, the riparian zones (50m wide on both sides of the river) are being managed as HCV areas to prevent pollution and erosion. No agrochemicals are being used in this buffer WORK ITEM:WI-700160 © SAI Global Limited Copyright 2008 - ABN 67 050 611 642
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YES
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CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR zone. Estate has establish the management plan to maintain and/or enhance High conservation value area. HCV management and monitoring plan described measures taken for each HCV and its monitoring. Relevant laws were taken into account for determining appropriate measure including UU #5/1990 about Natural resources conservation, PP#7/1999 about List of protected plan and wildlife, Kepres #32/1990, and PP26/2008 Management plan consist of : Management plan HCV consist of : •
Placement, maintenance and monitoring of warning boards and boundary markers
•
Planting of Vetiver grass and Angsana (Pterocarpus indicus) at Riparian zone
•
Dissemination of information on how to manage HCV area to employees, contractors and the public/local community
•
Placement for HCV sign board, protected species information and posters
•
Management and monitoring all riparian condition (HCV area utilization, management activities, rehabilitation, HCV conditions, the effectiveness of management activities, the level of threat and the condition of land cover)
•
Management and monitoring of springs / water source
•
Management and monitoring of peat swamp forest
•
Management and Monitoring of protected wildlife/animal
•
Management and monitoring local cultural area such as Cemetry/shrine graves
•
Planting, maintenance and monitoring of plant barriers to erosion (vetiver grass & woody plants)
•
Patrol and monitoring HCV area
The measures contained in the management plan actively implemented to maintain and/or enhance HCV values. During audit, record of HCV management
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NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR implementation was sighted. Monitoring activities was well conducted. Its records was documented and sighted. HCV management and monitoring report was indicated that management implementation was effective. During field observation to HCV area in BAME, BMLE, SPNE and SPNA, it was confirmed that Managemet Plan was performed, e.g. warning and HCV signboard are well sight and maintained, vetiver grass are well grown, no damage to HCV areas occurred, etc.
5.2.3
There shall be a programme to regularly educate the workforce about the status of these RTE species, and appropriate disciplinary measures shall be instigated in accordance with company rules and national law if any individual working for the company is found to capture, harm, collect or kill these species. a. Does the company have policies or rules - Report of dissemination YES Organization has a policies or rules to protect RTE species based on UU No.5 / to protect RTE species? program both internal to 1990. Penalties under the UU No.5 / 1990 "person who deliberately capture, employee and external to b. Is there a programme to regularly injure, kill, keep, possess, maintain, transport, and trade in protected animals alive local community educate the workforce about the status of or dead can shall be punished with imprisonment of 5 years and a maximum fine - Company policy and rules the RTE species? 100.000.000, - (one hundred million). about protection to c. Is there evidence or action taken to biodiversity (flora fauna) and Penalties were communicated directly to all employees and the local community implement the rules and programs? E.g. high conservation value area. during HCV socialization and through the HCV sing borads and warnings board. Inspections conducted to check no - Posters and sign boards Organization also establishes the programme to regularly educate the workforce traps/snares put up within or nearby concerning HCV areas and about the status of the RTE species. The program has been implemented, the areas. protected species were evidence of socialization invitation, list of attendance and photographs, minutes of available in the necessary d. Have appropriate disciplinary measures socialization was proved. HCV protection and wildlife protection dissemination places been imposed in accordance with conducted twice a year internally to employee and once a year externally to - Field visit at BAME, BMLE, company rules and national law, should surrounding community. SPNE and SPNA any individual working for the company is Dissemination about the status of the RTE species and appropriate disciplinary found to have captured, harmed, measures programmed 2 times a year for Batu Ampar and Sungai Panci Estate collected or killed any RTE species? (for internal and external). Internal dissemination BAME scheduled for 2015 on May. External dissemination once a year in October 2015. The program has been implemented, the evidence of dissemination: invitation, list of attendance and photographs, minutes of meeting was shown. Organization has been appointed PIC HCV (Officer HCV) in SPNE on behalf Bryan Tri Gutama, in BAME on behalf Hendrik Panjaitan. The responsibility of HCV area management is part of the job description of the HCV Officer. These
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NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR ”HCV Officers” have no particular background for HCV management, however they has been trained in regard identification, management and monitoring of HCV on 6th May 2015. Relevant laws were taken into account for determining appropriate measure including UU #5/1990 about Natural resources conservation, PP#7/1999 about List of protected plan and wildlife, Kepres #32/1990, and PP26/2008.
5.2.4
Where a management plan has been created there shall be ongoing monitoring: • The status of HCV and RTE species that are affected by plantation or mill operations shall be documented and reported; • Outcomes of monitoring shall be fed back into the management plan. a. Does the management plan contain - Document of “ Rencana Monitoring of HCV was conducted once a week, such as : ongoing monitoring of status of HCV and pemantauan kawasan HCV” RTE species that are affected by BAME, BMLE, SPNE and - Monitoring of HCV attributes (Sign Boards Conditions) plantation or mill operations? SPNA 2015 - Monitoring of HCV conditions from any disturbance both internal and external - Document of Monitoring report b. Is the status documented and reported? factor (HCV area conditions) of HCV attributes 2015 in c. Are the outcomes of monitoring fed back BAME, BMLE, SPNE and - Monitoring of Animals and protected animals (recapitulation encounter animals into the management plan? SPNA in 1 month) - Document of Monitoring report - HCV Patrol Schedule (Schedule team to monitor the condition and attributes of HCV conditions 2015 in HCV) BAME, BMLE, SPNE and SPNA The status of HCV and RTE species that are affected by plantation or mill - Document of Monitoring report operations was well monitored, documented and reported routinely. Animals and protected animals Result of monitoring gives the feedback into the management plan improvement. 2015 in BAME, BMLE, SPNE The results from monitoring of wildlife, environmental,and socio-cultural services and SPNA gives feedback advice and recommendations to the management plan, ie: - Document of HCV Patrol Schedule and result of HCV - Should be made the point coordinates of boundary markers to ease the monitoring of HCV boundary markers patrol 2015 in BAME, BMLE, SPNE and SPNA - Set up the spray boundary marks in the riparian area on palm oil plant (50 m - Document Report “Summary of both side the river) Monitoring Results of Animals - Improve the HCV sign boards in necessary place 2015” (recapitulation of wildlife
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YES
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NO
5.2.5
5.3
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR EVIDENCE (YES/NO) encounters in 1 month) - Improve the socialization to the employees and local comunity - HCV Management and monitoring report semester II 2014 - Field visit at BAME, BMLE, SPNE and SPNA Where HCV set-asides with existing rights of local communities have been identified, there shall be evidence of a negotiated agreement that optimally safeguards both the HCVs and these rights. Specific Guidance: For 5.2.5: If a negotiated agreement cannot be reached, there should be evidence of sustained efforts to achieve such an agreement. These could include third party arbitration (see Criteria 2.3, 6.3 and 6.4). a. Is there HCV set-asides with existing YES - Document “Minutes of Public There was no HCV area with existing rights of local communities based on public rights of local communities? Consultation for Results consultation result and interview with local community leaders. During HCV Identification and assessment b. Who are the affected communities? assessment, BAME, BMLE, SPNE and SPNA conduct the public consultation to of HCV area October 5th, 2011 local communities on October 5th, 2011 with the community leaders and figures c. Is the identified HCV areas mapped? (minutes of meeting, list of around the estate and government agencies (Village Head/Kepala Desa, his attendance, summary, inputs d. Is there evidence of stakeholder officials and community leaders in the village Pulau Panci, Pantai, Langadai, and feedback from public/local consultation and negotiated agreement, Pelajau Baru, Sukamaju), NGOs. communities) in accordance to FPIC principles, with - Field visit at BAME, BMLE, In public consultation discussed the findings identification of HCV areas and the local community to optimally safeguard SPNE and SPNA response from public and relevant government agencies. The public consultation both the HCVs and rights of local also summarizes a number of inputs/feedback from local communities, leaders communities? communities, NGOs and related agencies in the management plan of HCV areas. e. If a negotiated agreement cannot be reached, is there evidence of sustained efforts to achieve an agreement? Refer to specific guidance for 5.2.5. Waste is reduced, recycled, re-used and disposed of in an environmentally and socially responsible manner.
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NO 5.3.1
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
(M) All waste products and sources of pollution shall be identified and documented. a.
Is there a registry/list of waste products produced?
-
b.
Is there a registry/list of pollution sources?
-
-
SOP/SPO/SMART-18 – Waste handling SOP/SMART/LEMSEHSD/SADV/I/002 – Waste handling List of environmental aspect and evaluation year 2015 (BAMM, BAME, BMLE, SPNE and SPNA)
Identification of waste and pollution sources from Batu Ampar Mill and its supply bases activities was evident. The source of pollution, type and control method of waste was documented on procedure SOP/SMART/LEMS-EHSD/SADV/I/002 – Waste handling.
YES
The waste products were defined as follows: 1. Mill waste, such as: fibre, shell, empty bunch, waste water and gaseous emissions 2. Estate waste, such as: pesticides, chemicals rinsed waters discharge and land application flatbed. 3. Medical waste, such as: expired drugs, contaminated cottons 4. Solids organics and inorganics waste 5. Domestics waste water In addition, sources of pollution and waste were also documented in the list of environmental aspects and environmental impacts evaluation year 2015. The document described the sources of waste and pollution and the control techniques for significant impacts on important environmental aspects.
5.3.2
(M) All chemicals and their containers shall be disposed of responsibly. a.
Is there an inventory of chemicals and their containers that are used and kept on site?
b.
How are chemicals and their containers stored and disposed off? Is it in accordance to best practices? (as prescribed by manufacturers’ labels, local requirement, national or international best practice)
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SOP/SPO/SMART-18 – Waste handling SOP/SMART/LEMSEHSD/SADV/I/002 – Waste handling Kartu gudang (Card of warehouse) Permit of temporary storage of hazardous waste: Keputusan
The disposal methods of chemicals and their containers were described on documented procedure SOP/SPO/SMART-18 and SOP/SMART/LEMSEHSD/SADV/I/002 – Waste handling. Detailed disposed methods as follows: Storing Disposed to Temporary Hazardous Waste Storage managed by licensed vendors Reuse the chemical containers Return the containers to supplier/vendors Zero buring Chemicals are stored in central warehouse and division warehouse. Quantity of
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YES (Major NCR 2015-04 closed)
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CRITERION / INDICATOR CHECKLIST Are collection and disposal records of chemicals and their containers maintained?
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OBSERVATIONS & OBJECTIVE EVIDENCE Bupati Kota Baru #188.45/299/KUM/2015 dated 08 May 2015 to PT. SMART Tbk. (BAME, BMLE and BAMM) Permit of temporary storage of hazardous waste: Keputusan Bupati Kota Baru #188.45/303/KUM/2015 dated 08 May 2015 to PT. SKIP (SPNE and SPNA) Permit of hazardous waste collection PT. Maju Asri Jaya Utama: Keputusan Menteri Negara Lingkungan Hidup #37/2011 dated 21 February 2011 Contract agreement between PT. SMART Tbk., PT. SKIP, PT. Tapian Nadenggan, PT. Purimas Sasmita with PT. Maju Jaya Asri Utama on 01 April 2013 regarding collector and processing of hazardous wastes Contract Agreement between PT. Maju Asri Jaya Utama and PT. Waste International (SPK #002/WI/SPKLB3-P/I/2015) Field observation to Division warehouse, central warehouse, pesticedes containers cleaning area, temporary storage of hazardous waste Log book of empty pesticides and chemical containers period
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR chemical was monitored and recorded in “Kartu Gudang”. The chemical containers were triple rinsed and stored in the temporary storage of hazardous wastes. The jerrycans were reused to spraying activities, while bottles containers were returned to suppliers (PT Rolimex Kimia Nusamas) and managed by licensed transporter PT Maju Jaya Asri Utama and processor PT Wastec International.The transportation and processing of chemical containers were according to manufacturers’ labels and regulation of Environmental Ministry. Records of chemical containers quantity returning to supplier and transported and processed by licensed vendor were evident. Liquid waste from agrochemical was reused for the next spraying application. While the ex-fertilizer sacks was also rinsed and reuse for collection brondolan (lose fruit of FFB). Chemicals materials containers that use at mills operations such as boiler additive liquids, lubricants, workshop materials, laboratory chemical, used oil, used battery, contaminated rags, were categorized as hazardous wastes that stored at temporary storage of hazardous waste. Hazardous wastes from BAME and BMLE were sent to temporary storage of hazardous waste in BAMM. Hazardous wastes from SPNE and SPNA were sent to temporary storage of hazardous waste in SKPM. The hazardous wastes were managed by licensed transporter PT Maju Jaya Asri Utama and processor PT Wastec International. Disposal of hazardous waste was completed with manifest. Manifest of disposal were sighted for December 2014, January, April and June 2015. Others records sighted, such as Laporan pengelolaan LB3 (report of hazardous waste management) Period October – December 2014, January – March and April – June 2015. Major Non-conformance 2015-04 Hazardous waste manifest #7 as evident that hazardous waste was processed in the authorised processor was not provided.
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NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE October – December 2014, January – March 2015 and April – June 2015
SUMMARY OF FINDINGS FOR EACH INDICATOR
COMPLIANCE (YES/NO)
A waste management and disposal plan to avoid or reduce pollution shall be documented and implemented.
5.3.3
Guidance: The waste management and disposal plan should include measures for: • Identifying and monitoring sources of waste and pollution. • Improving the efficiency of resource utilisation and recycling potential wastes as nutrients or converting them into value-added products (e.g. through animal feeding programmes). • Appropriate management and disposal of hazardous chemicals and their containers. Surplus chemical containers should be reused, recycled or disposed of in an environmentally and socially responsible way using best available practices (e.g. returned to the vendor or cleaned using a triple rinse method), such that there is no risk of contamination of water sources or risk to human health. The disposal instructions on the manufacturers’ labels should be adhered to. Use of open fire for waste disposal should be avoided. For National Interpretation: National Interpretation (or an RSPO recognised parallel means) should include, as appropriate: details of relevant national laws or policies, a list of waste types (hazardous, non-hazardous, domestic, etc.) 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 (see Criterion 4.4), existing best practice guidelines on recycling and re-use of nutrients, managing effluent ponds, increasing mill extraction efficiency and appropriate disposal of wastes. a. Is there a documented waste management SOP/SPO/SMART-18 – Waste The source of pollution, type and control method of waste was documented on and disposal plan to avoid or reduce handling procedure SOP/SPO/SMART-18 and SOP/SMART/LEMS-EHSD/SADV/I/002 – pollution? SOP/SMART/LEMSWaste handling EHSD/SADV/I/002 – Waste b. Does the waste management and disposal handling Implementation of waste management were evident during site observation: plan, at minimum, include measures for: Permit of temporary storage of Several reuse activities were implemented: Identifying and monitoring sources of hazardous waste: Keputusan o All empty pesticides containers were triple rinsed, the jerrycans were waste and pollution? Bupati Kota Baru reused to spraying activities Improving the efficiency of resource #188.45/299/KUM/2015 dated o ex-fertilizer sacks was also rinsed and for collection brondolan (lose utilisation and recycling potential of 08 May 2015 to PT. SMART fruit of FFB) wastes as nutrients or converting Tbk. (BAME, BMLE and o Liquid waste from pesticides containers cleaning was reused for the them into value-added products (e.g. BAMM) next spraying application through animal feeding
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NO
CRITERION / INDICATOR CHECKLIST programmes)? Appropriate management and disposal of hazardous chemicals and their containers? Reduction, re-use and recycle of waste?
c. Is there evidence that the plan has been implemented? d. Is there evidence that waste has not been disposed off using open fire?
5.4
OBSERVATIONS & OBJECTIVE EVIDENCE Permit of temporary storage of hazardous waste: Keputusan Bupati Kota Baru #188.45/303/KUM/2015 dated 08 May 2015 to PT. SKIP (SPNE and SPNA) Permit of hazardous waste collection PT. Maju Asri Jaya Utama: Keputusan Menteri Negara Lingkungan Hidup #37/2011 dated 21 February 2011 Contract agreement between PT. SMART Tbk., PT. SKIP, PT. Tapian Nadenggan, PT. Purimas Sasmita with PT. Maju Jaya Asri Utama on 01 April 2013 regarding collector and processing of hazardous wastes Contract Agreement between PT. Maju Asri Jaya Utama and PT. Waste International (SPK #002/WI/SPKLB3-P/I/2015) Manifest of disposal hazardous waste for period January, April and June 2015. Log book of hazardous waste January, April and Site visit to estate divisions offices and mill operations
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
o EFB and POME was applied at BMLE o Fibre and Shell from Batu Ampar Mill was used for boiler feed Segregation of organic and inorganic waste since generation up to disposal on landfill. Mill and Estate including housing has provided different waste bin for each type of waste. Organic and inorganic wastes from Mill and Estate including housing were disposed to landfill in the Estate area. Areas of organic and inorganic wastes disposal was far from housing, in the floodfree area and not in swamp area and completed with warning sign not burning wastes. Chemicals materials containers that use at mills operations such as boiler additive liquids, lubricants, workshop materials, laboratory chemical, etc were categorized as hazardous wastes that stored at hazardous waste temporary warehouse. The the chemical material container were manage by licensed transporter PT Maju Jaya Asri Utama and processor PT Wastec International. Medical waste was sent to RS Ulin Banjarmasin for burning in their incinerator. Record of medical waste sending was in December 2014, March and May 2015. It was observed that there was no waste burning Disposal of hazardous waste was completed with manifest. Manifest of disposal were sighted for January, April and June 2015. Establishment of quarterly hazardous waste management report as required by legal requirements, e.g. Period October – December 2014, January – March and April – June 2015.to BLH Kotabaru Regency, BLH South Kalimantan Province and cc to Ministry of Environmental (KLH). Receipt note was also sighted.
Efficiency of fossil fuel use and the use of renewable energy is optimised.
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5.4.1
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE A plan for improving efficiency of the use of fossil fuels and to optimise renewable energy shall be in place and monitored.
COMPLIANCE (YES/NO)
Guidance: Renewable energy use per tonne of Crude Palm Oil (CPO) or palm product in the mill should be monitored. Direct fossil fuel use per tonne of CPO or Fresh Fruit Bunches (FFB) should be monitored. Energy efficiency should be taken into account in the construction or upgrading of all operations. Growers and millers should assess the direct energy use of their operations, including fuel and electricity, and energy efficiency of their operations. This should include estimation of fuel use by on-site contract workers, including all transport and machinery operations. The feasibility of collecting and using biogas should be studied if possible. a. Is there a plan for improving efficiency of Plan for improving efficiency of the use of fossil fuels and to optimise renewable Program for improving the use of fossil fuels and to optimise energy are: efficiency of the use of fossil renewable energy? fuels Repair broken road and maintenance the road to get best time for FFB transporation Data of shell and fiber use b. Has the plan been implemented and is it Repair and maintenance the vehicle and heavy equipment to get best Monitoring of fossil fuel use monitored? condition for fossil fuel saving. Report of environmental c. Does the monitoring system encompass Use “moving floor” for boiler feeding to efficiency of fiber and shell use. monitoring implementation the following : Renewable energy use/tCPO or palm Use of renewable energy product; Year Kcal/kg CPO Direct fossil fuel use/tCPO or tFFB; 2013 1,543.12 Estimated fuel use by on-site contract 2014 1,533.43 workers and transport and machinery 2015 1,516.32 operations; Electricity use in operations. The use of fossil fuels (litre) are d.
e.
Was energy efficiency taken into account during the construction or upgrading of all operations? Has studies on the feasibility of collecting and using biogas been carried out?
Mill/Estates BAME SPNE SPNA BAME BAMM
2013
2014
375,784 291,244 72,089 197,820 1.89 liter/ton CPO
335,929 305,431 46,321 188,860 1.87 liter/ton CPO
January – June 2015 119,943 167,620 28,016 102,983 6.45 liter/ton CPO
Use of fossil fuels in SPNE was increased in 2014 compared with 2013 due to
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OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR increase of electricity generator load. Employee house was increased 27 units. Used of fossil fuels in BAME was increased in 2015 compared with 2014 due to add school bus and tractor. There was no construction or upgrading of all operation. The organisation has not carried out studies on the feasibility of collecting and using biogas.
5.5
Use of fire for preparing land or replanting is avoided, except in specific situations as identified in the ASEAN guidelines or other regional best practice. (M) There shall be no land preparation by burning, other than in specific situations as identified in the ‘Guidelines for the Implementation of the ASEAN Policy on Zero Burning’ 2003, or comparable guidelines in other regions.
5.5.1
Guidance: 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 exceptional levels of caution should be required for use of fire on peat. This should be subject to regulatory provisions under respective national environmental legislation. Extension/training programmes for associated smallholders may be necessary. a. Does the company have a zero burning • Procedure policy or any statement on zero burning? SOP/SMART/MCAR/VI/TA-RPL (Replanting) b. Does the company have SOPs for land
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Zero burning policy was described in Procedure of Replanting (SOP/SMART/MCAR/VI/TA-RPL). It described that land preparation of replanting is conducted by cutting and chipping. Fire was not used during land preparation
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YES
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CRITERION / INDICATOR CHECKLIST preparation which mentions zero burning?
NO
c.
Was land prepared using the burn method? If yes, was it based on the specific situations identified in the ‘Guidelines for the Implementation of the ASEAN Policy on Zero Burning’ 2003, or comparable guidelines in other regions?
d.
Has the policy been implemented throughout the operations?
e.
Is there training programmes for associated smallholders on zero burning where appropriate?
OBSERVATIONS & OBJECTIVE EVIDENCE • Field Observation to BAME and SPNE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR for conversion from coconut to oil palm in 2005 to 2007 and neither for the waste disposal.
Where fire has been used for preparing land for replanting, there shall be evidence of prior approval of the controlled burning as specified in ‘Guidelines for the Implementation of the ASEAN Policy on Zero Burning’ 2003, or comparable guidelines in other regions. 5.5.2
For National Interpretation: National Interpretation will identify any specific situations where such use of fire may be acceptable, for example through reference to ‘Guidelines for the Implementation of the ASEAN Policy on Zero Burning’ 2003, or comparable guidelines in other regions. a. Where fire has been used for preparing No replanting has been conducted in Batu Ampar and Sungai Panci Estate. NA land for replanting, is there evidence of prior approval of the controlled burning as specified in ‘Guidelines for the Implementation of the ASEAN Policy on Zero Burning’ 2003, or comparable guidelines in other regions? b.
What was the justification for using fire?
Preamble 5.6
Growers and millers commit to reporting on operational greenhouse gas emissions. However, it is recognised that these significant emissions cannot be monitored completely or measured accurately with current knowledge and methodology. It is also recognised that it is not always feasible or practical to reduce or minimise these emissions.
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5.6
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) Growers and millers commit to an implementation period until the end of December 2016 for promoting best practices in reporting to the RSPO, and thereafter to public reporting. Growers and millers make this commitment with the support of all other stakeholder groups of the RSPO.
Plans to reduce pollution and emissions, including greenhouse gases, are developed, implemented and monitored. (M) An assessment of all polluting activities shall be conducted, including gaseous emissions, particulate/soot emissions and effluent (see Criterion 4.4).
5.6.1
Specific Guidance: Where practically feasible, operations should follow best management practices to measure and reduce emissions. Advice on this is available from the RSPO. a. Has an assessment of all polluting Documented procedure Identification of pollution and emission sources at Mill and Estates activities was activities been conducted including (SOP/SPO/SMART/LH-09). evident. The source of pollution, type of pollution and its control was documented gaseous emissions, particulate/soot Documented List of in List of environmental aspect and impact evaluation: emissions and effluent (see Criterion environmental aspect and boiler stack emission including particulate and soot 4.4)? impact evaluation year 2015 diesel electric generator emission (BAMM, BAME, BMLE, SPNE POME methane emission b. Is there a documented list of all identified and SPNA) Use of fertiliser polluting activities? vehicleand heave equipment emission Monitoring and measurement results for 2nd semester of 2014 and 1st semester of 2015 were sighted for boiler emission against Environment Ministry Regulation #07/2007, diesel electricity generator against Environment Ministry Regulation #21/2008, vehicle and heavy equipment emission against Environment Ministry Regulation #05/2006, odour emission against Environment Ministry Decree #50/Menlh/11/96, ambient noise against Environment Ministry Decree #48/Menlh/11/96, also ambient air quality against Government Regulation #41/1999. (M) Significant pollutants and greenhouse gas (GHG) emissions shall be identified, and plans to reduce or minimise them implemented.
5.6.2
Specific Guidance: For 5.6.2: Plans will include objectives, targets and timelines. These should be responsive to context and any changes should be justified. For 5.6.2 and 5.6.3: The treatment methodology for POME will be recorded.
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YES
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NO a.
b. c.
CRITERION / INDICATOR CHECKLIST Is there a documented list of all identified significant pollutants and GHG emissions?
Are there plans to reduce or minimise the identified pollutants and GHG emissions? Do the plans include objectives, targets and timelines for reduction that are responsive to context?
d.
Are the plans being implemented? Was there any changes? Is it justified?
e.
Is the treatment methodology for POME recorded? (refer to C 4.4.3)
OBSERVATIONS & OBJECTIVE EVIDENCE Program to reduce GHG emission Recommendation and realisation of manuring activities Record of land application Monitoring records of Utilization of waste fibre and shell as boiler fuel and electricity Permit of land application Keputusan. Bupati Kotabaru No. 188.45/395/KUM/2011 dated 29 November 2011
SUMMARY OF FINDINGS FOR EACH INDICATOR Identification of greenhouse gas (GHG) emissions sources at Batu Ampar Mill and estates activities were evident. The information of GHG sources at Batu Ampar Mill and estate was reviewed including :
COMPLIANCE (YES/NO) YES
Estate 1.
Fertilisers usage
2.
Pesticides usage
3.
Fossil fuels usage
1.
POME
2.
Fossil fuel
3.
Chemical materials usage
Mill
Plans to reduce or minimise the identified pollutans and GHG emission are:
Use of renewable energy in Mill Manuring application according to manuring recommendation from SMARTRI efficient and right on target Use organic fertiliser – land application Implement Integrated Pest Management (IPM) to control pest and disease Use registered pesticides Control of chemical use in Mill Use pesticide for prevention according to procedure Disseminate efficiency of electricity use Use enery saving lamp
All the plans are being implemented as described in the body of report. So far the plans remained the same with previous year. Batu Ampar Mill waste water was processed through a multi feedings waste water
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OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR treatment ponds. There are six anaerobic ponds. Process parameter monitoring and maintenance of the ponds were sighted. Quality of waste water effluent is monitored monthly in line with the requirements of permit of waste water land application (Keputusan. Bupati Kotabaru No. 188.45/395/KUM/2011 dated 29 November 2011 valid through 5 years). The results of monitoring of waste water effluent were reviewed including measurement of BOD for July – December 2014 and January – June 2015. The result of discharge effluent that use as land application conforms to the limits for parameters of the government regulation Kep.MenLH #29/2003 for pH (6 – 9) and BOD (< 5,000 ppm).
A monitoring system shall be in place, with regular reporting on progress for these significant pollutants and emissions from estate and mill operations, using appropriate tools. Specific Guidance: For 5.6.3 (GHG): For the implementation period until December 31st 2016, an RSPO-endorsed modified version of PalmGHG which only includes emissions from operations (including land use practices) can be used as a monitoring tool. 5.6.3
For 5.6.3: In addition, during the implementation period, growers will start to assess, monitor and report emissions arising from changes in carbon stocks within their operations, using the land use in November 2005 as the baseline. The implementation period for Indicator 5.6.3 is the same implementation period for Criterion 7.8. During the implementation period, reporting on GHG will be to a relevant RSPO working group (composed of all membership categories) which will use the information reported to review and fine tune the tools, emission factors and methodologies, and provide additional guidance for the process. Public reporting is desirable, but remains voluntary until the end of the implementation period. During the implementation period the RSPO working group will seek to continually improve PalmGHG, recognising the challenges associated with measuring GHG and carbon stock. PalmGHG or RSPO-endorsed equivalent will be used to assess, monitor and report GHG emissions. Parties seeking to use an alternative to PalmGHG will have to demonstrate its equivalence to the RSPO for endorsement. a. Is there a system in place to monitor Monitoring of emission of pollutans including green house gases was conducted YES GHG Calculation and report emission of pollutants including through measurement of boiler, genset, operational vehicle and heavy equipment period January – December greenhouse gases from estate (plantation) emission and recording of diesel fuel, fiber and shell use quantity. Monitoring of 2014 and mill operations? fertiliser, pesticide and chemical use was conducted through recording of fertiliser, Letter of reporting of GHG pesticide and chemical use quantity. Calculation to RSPO b. Is there regular reporting of the monitoring Palm GHG calculator version 2.1.1 was used to monitor the emission sources. #164/EL/SMARToutcomes? How often and to whom is The record of calculation from Palm GHG calculator was available. The amount of RSPO/VIII/2015 reporting done? GHG emissions was documented and reported annually to RSPO Secretariat. c. Is the monitoring and reporting conducted Last reporting was conducted on 4 August 2015. using appropriate tools? What tool is being
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CRITERION / INDICATOR CHECKLIST used to assess, monitor and report on GHG emissions?
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Total GHG emission of Batu Ampar Mill and its supply bases period January – December 2014 was 0.50 tCO2e/tCPO and 0.50 tCO2e/tPK.
Please refer to specific guidance for GHG requirements.
PRINCIPLES 6: RESPONSIBLE CONSIDERATION OF EMPLOYEES AND INDIVIDUALS AND COMMUNITIES AFFECTED BY GROWERS AND MILLS NO 6.1
6.1.1
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) Aspects of plantation and mill management that have social impacts, including replanting, are identified in a participatory way, and plans to mitigate the negative impacts and promote the positive ones are made, implemented and monitored, to demonstrate continual improvement. (M) A social impact assessment (SIA) including records of meetings shall be documented. Guidance: Identification of social impacts should be carried out by the grower with the participation of affected parties, including women and migrant workers as appropriate to the situation. The involvement of independent experts should be sought where this is considered necessary to ensure that all impacts (both positive and negative) are identified. Participation in this context means that affected parties are able to express their views through their own representative institutions, or freely chosen spokespersons, during the identification of impacts, reviewing findings and plans for mitigation, and monitoring the success of implemented plans. Potential social impacts may result from activities such as: building new roads, processing mills or other infrastructure; replanting with different crops or expansion of planting area; disposal of mill effluents; clearing of remaining natural vegetation; changes in employee numbers or employment terms; smallholder schemes. Plantation and mill management may have social impacts (positive or negative) on factors such as: • Access and use rights; • Economic livelihoods (e.g. paid employment) and working conditions; • Subsistence activities; • Cultural and religious values; • Health and education facilities; • Other community values, resulting from changes such as improved transport /communication or arrival of substantial migrant labour force. The review can be done (once every two years) internally or externally. For National Interpretation:
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6.1.2
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) As social impacts are particularly dependent on local social conditions, National Interpretation will identify the important issues, and methodologies for collecting data and using the results. This should include adequate consideration of the impacts on the customary or traditional rights of local communities and indigenous people, where these exist (Criteria 2.3 and 6.4). a. Has an SIA been conducted? When Social Impact Assessment (SIA) PT SMART (BAME, BMLE, SPNE and BAMM) has conducted a survey and YES was the last SIA conducted? Report Juni – July 2010 Social Impact Assasment (SIA) on period June - July 2010 and recorded in Report SIA - “Laporan Study Identifikasi Dampak Social Perkebunan Kelapa b. Is the process in conducting the SIA Monitoring and Review of SIA Sawit ”, by SMART Research Institute Jakarta. After the identification in 2010, and the findings documented? period June 2012 – December then every year provides supervision and evaluation of social impact, and then 2 2014 c. Does the SIA cover all of the potential years once to be reviewed by management. impact factors, including: Monitoring the social impact of last performed and also reviews by management Access and use rights; in the period January 2012 - December 2014. Planing for next monitoring and Economic livelihoods (e.g. paid evaluation of the social impact will performs on 14 to 18 September 2015. employment) and working conditions; Subsistence activities; Cultural and religious values; Health and education facilities; Other community values, resulting from changes such as improved transport /communication or arrival of substantial migrant labour force. (M) There shall be evidence that the assessment has been done with the participation of affected parties. a.
Does the assessment involve consultation with the affected parties? Who are the affected parties?
b.
Is there record of how the participatory assessment has been conducted? Were the affected parties able to express their views through their own representative institutions, or freely chosen spokespersons, during the identification of impacts, review of
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Social Impact Assasment (SIA), July- August 2010 Monitoring and Evaluation report period January 2012 to December 2014 Konsultasi public: Risalah consultation public Manitoring social impact assessment, on December 2014. Konsultasi public: Risalah consultation public social impact
Based on the results of the Social Impact Assessment, monitoring and evaluation report period January 2012 to December 2014, it appears that the assessment also includes stakeholders, community leaders figure, and related government agencies etc. through a public consultation which visible on participant attendance at SIA report. SIA carried out involving several participants from community leaders and village government, as seen in the list of public consultation. Consultation with communities around the area of plantation (Batu Ampar Mill, Batu Ampar Estate and Sungai Panci Estate) on the monitoring SIA activities was conducted on December 2014.
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YES
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NO
CRITERION / INDICATOR CHECKLIST findings and planning for mitigation?
OBSERVATIONS & OBJECTIVE EVIDENCE assessment (SIA), no. RSPO/KS1/09, date 18 September 2010
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Based on the SIA report period from July to August 2010, there are some positive and negative findings, that is: Positive findings: - Local people obtain employment opportunities, - The road condition is maintained, the procurement and maintenance of facilities and infrastructure around the village always getting maintenance - Community needs in the field of socio-cultural, economic, and religious education can be fulfilled.
6.1.3
Negative findings: - Against social unrest because the company is considered 'uneven' in providing support CSR in every village. - There is still a lack of assistance in health sector. - In SPNE/SPNA: There is jealousy indigenous people against entrants; (M) Plans for avoidance or mitigation of negative impacts and promotion of the positive ones, and monitoring of impacts identified, shall be developed in consultation with the affected parties, documented and timetabled, including responsibilities for implementation. a. Is there any documented record to Social Impact Assasment (SIA), Monitoring the social impact of last performed and also reviews by management YES outline the plan on mitigation, July- August 2010 in the period January 2012 - December 2014. Planing for next monitoring and implementation and monitoring Monitoring the social impact evaluation of the social impact will performs on 14 to 18 September 2015. according to the SIA report? Perkebunan Kelapa Sawit, period Document of Social Impact Identification has included action plan for avoidance January 2012 – Desember 2014. b. Have plans for avoidance or mitigation or mitigation of negative impacts and promotion of the positive ones and plan to Konsultasi public: Risalah of negative impacts and promotion of monitor the impact identified. Those actions and monitoring plan were developed consultation public monitoring the positive ones, and monitoring of in consultation with the affected parties (surrounding communities). social impact assessment, date impacts been developed? 17 April 2015 Reduction or mitigation plan for negative impact is monitoring the social impact c. Have these plans been documented, Konsultation public at audit once a year. Lastly done is for the period January 2012 - December 2014 and with clear timetables? Is the timeline conduct dated 4 August 2015. recorded in the agenda of monitoring social impact BAME, BMLE, BAMM, SPNE reasonable? and SPNA date 14 to 17 April 2015, the method used is the verification of secondary data, observation and interviews with affected communities. d. Have the persons responsible for implementation of the plans been Some of action for reduce the negative impact, including: identified? - Preparation of annual corporate social activities program - Mapping and identification of community needs
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CRITERION / INDICATOR CHECKLIST
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR - Carry out social assistance activities that has been compiled - Monitoring activities through verification of data and visits to affected communities. - Preparation of social assistance programs, especially health sector - Provides assistance in the health sector and cooperation with the Tzu Chi Foundation. - Many landowners / farmers no longer want to be working on their own land. Based on public consultation at the time the audit was conducted on 4 August 2015, which the social impact had been anticipated. Unless there is a negative impact which can even lead to negative social impacts of the new, that is the recruitment of workers from outside the village
6.1.4
The plans shall be reviewed as a minimum once every two years and updated as necessary, in those cases where the review has concluded that changes should be made to current practices. There shall be evidence that the review includes the participation of affected parties. a. Is the plan reviewed every two years? Social Impact Assasment (SIA), SIA activities conducted from July - August 2010 and carried out a public YES July- August 2010 consultation in September 2010. The last monitoring and evaluation the social b. Has the plan been updated as Monitoring the social impact impact performed and also reviews by management in the period January 2012 necessary (i.e. in cases where the Perkebunan Kelapa Sawit, period December 2014. review has concluded that changes January 2012 – Desember 2014. should be made to current practices)? It appears that the review also includes stakeholders and smallholder, Konsultasi public: Risalah community leaders figure, and related government agencies etc. through a c. Have the changes to the plan been consultation public monitoring public consultation dated 17 April 2015 at Serongga Village. Attendance records implemented? social impact assessment, date were shown. 17 April 2015 d. Is there evidence that the review has been done with the participation of the affected parties? e.
6.1.5
Has the process been recorded/documented?
The participation of affected parties was confirmed during group discussion with Village Head (Pulau Panci, Pantai, Serongga, Langadai, Pelajau Baru, Sukamaju, etc).
Particular attention shall be paid to the impacts of smallholder schemes (where the plantation includes such a scheme). a. Are there schemed smallholders Social Impact Assasment (SIA), It appears that the review also includes stakeholders and smallholder (in Sungai involved? July- August 2010 Panci Estate), community leaders figure, and related government agencies etc. Monitoring the social impact through a public consultation which visible on participant attendance at b. Have they been considered and
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CRITERION / INDICATOR CHECKLIST involved in the whole process of the SIA?
NO
c.
What are the main impacts affecting these smallholders?
OBSERVATIONS & OBJECTIVE EVIDENCE Perkebunan Kelapa Sawit, period January 2012 – Desember 2014. Konsultasi public: Risalah consultation public monitoring social impact assessment, date 17 April 2015
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR consultation public report. However, there are no negative impacts for smallholders. A form of cooperation partnerships in the SPNE is KKPA scheme (Kredit Koperasi Primer untuk Anggotannya) through the container Village Unit Cooperatives (KUD) Gajah Mada. Koperasi Unit Desa Gajah Mada has had the deed on March 15th, 1990, no. 1894 / BH / IX. KUD partnership cooperation agreement with PT Gajah Mada Sinar Kencana Perkasa Inti (Pots River Estate / SPNE) on November 4th, 1999, No. 07.
6.2
There are open and transparent methods for communication and consultation between growers and/or millers, local communities and other affected or interested parties. (M) Consultation and communication procedures shall be documented.
6.2.1
Guidance: Decisions that the growers or mills are planning to make 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. These should consider the use of appropriate existing local mechanisms and languages. Consideration should be given to the existence/formation of a multi-stakeholder forum. Communications should take into account differential access to information by women as compared to men, village leaders as compared to day labourers, new versus established community groups, and different ethnic groups. Consideration should be given to involving third parties, such as disinterested community groups, NGOs, or government (or a combination of these), to facilitate smallholder schemes and communities, and others as appropriate, in these communications. For National Interpretation: National Interpretation will consider issues such as appropriate levels of consultation and the types of organisation or individuals that should be included. a. Does the company maintain a list of Procedure SOC/PSM/9.01– Social Documented procedure for communication and consultation with public was local communities and other affected communication, Rev 1 date 01 established (Procedure SOC/PSM/9.01– Social communication). Stage of or interested parties? January 2013 communication and consultation with public was described in the procedure and it has been communicated to stakeholder on January 2013. Communication and b. Is there SOP being developed by the consultation has considered differential access to information for male/ female, company for communication and workers, villagers representative both old and new villagers including ethnics. consultation between the company and the local communities and other affected or interested parties? c.
Is the FPIC approach incorporated in
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CRITERION / INDICATOR CHECKLIST the SOP for communication and consultation with the local communities and other affected or interested parties?
NO
6.2.2
d.
Has the SOP been developed together with the local communities and other affected or interested parties using appropriate existing local mechanisms and in languages understood by these parties?
e.
Has the SOP been socialized with the local communities and other affected or interested parties taking into account the differential access to information by women as compared to men, village leaders as compared to day labourers, new versus established community groups, and different ethnic groups?
f.
Have interviews with affected parties been carried out to verify that the SOPs are effective?
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Bahasa Indonesia that understood by all surrounding communities. Communication and consultation has considered differential access to information for male/ female, workers, villagers representative both old and new villagers including ethnics. Communication and consultation can be done using verbal or using letter. Result of communication and consultation was recorded in the ‘log logbook e.g. road maintenance, donation, facilities support, invitation for memorial, etc. Most of requests were an invitation to follow the event held by the stakeholders, for example: invitation for memorial of religious holidays, invitation for area meeting from local labour department, etc.
A management official responsible for these issues shall be nominated. a.
Who in the company is appointed to be responsible for communication and consultation with the affected parties?
b.
Has the position been made official with clear and proper job description?
c.
Have the affected parties been made aware and have access to the person
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Letter # UM/X/Bi/2765/10, date 15 November 2010 (ISO Secretariat)
Based on decision letter from Top Management, Manager was responsible to coordinate communication and consultation with stakeholder
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CRITERION / INDICATOR CHECKLIST in charge?
NO
6.2.3
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
A list of stakeholders, records of all communication, including confirmation of receipt and that efforts are made to ensure understanding by affected parties, and records of actions taken in response to input from stakeholders, shall be maintained. a.
Is the following maintained? List of stakeholders (local communities and other affected or interested parties etc.); Records of all communication, including confirmation of receipt or endorsement; Evidence that efforts have been made to ensure understanding by affected parties; Record of actions taken in response to input from stakeholders.
List of stakeholder Batu Ampar Mill & Estate, Batu Mulia Estate, Sungai Panci Estate (Form no. F/SMART/UMUM/SADV/004/003, 12 February 2015
Stakeholder list was made and mentioned interested party. Stakeholder list covered District Head, Forestry and Plantation Department, Environmental Agency, Labour, transmigration and social Department, National Land Agencies, Camat, Village Head around estate and mill, FFB supplier, Police of district, Worker union and gender committee. Stake holder list was made detail, address and phone numbers were mentioned in the list. Update the list was performed twice per year by Estate Manager and SPO Officer. It was update on 12 February 2015 and recorded on form no. F/SMART/UMUM/SADV/004/003.
YES
Community aspirations were kept and recorded by the Head of Administration on logbook “stakeholder aspiration” e.g. road maintenance, donation, scholarship, invitation for memorial, etc. Interview result with farmer group was concluded that the prices paid for FFB was transparent and complied with agreement. Determination of FFB’s price was conducted through the pricing mechanism of government. In general, interview result indicated that the communication between local society and Estate was evident where some agreements were made to improve social relationship.
6.3
There is a mutually agreed and documented system for dealing with complaints and grievances, which is implemented and accepted by all affected parties. (M) The system, open to all affected parties, shall resolve disputes in an effective, timely and appropriate manner, ensuring anonymity of complainants and whistleblowers, where requested.
6.3.1
Specific Guidance: For 6.3.1: The system should aim to reduce the risks of reprisal. Guidance: See also to Criterion 1.2.
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NO
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) Dispute resolution mechanisms should be established through open and consensual agreements with relevant affected parties. Complaints should be dealt with by mechanisms such as Joint Consultative Committees (JCC), with gender representation as necessary. Grievances may be internal (employees) or external. For scheme and independent smallholders, refer to ‘Guidance for Independent Smallholders under Group Certification’, June 2010, and ‘Guidance on Scheme Smallholders’, July 2009. Where a resolution is not found mutually, complaints can be brought to the attention of the RSPO Complaints System. Refer to helpful texts for guidance, such as the Human Rights Commission (HRC) endorsed ‘Guiding Principles on Business and Human Rights: Implementing the UN "Protect, Respect and Remedy" Framework’, 2011. a. Is there an system in place to deal with Procedure No. PPNM/SOP/21, The organisasion has set a delivery mechanism for complaints of workers in the YES complaints and grievances for all dated 1 June 2012; mechanism PT SMART Procedure No. PPNM/SOP/21, dated June 1, 2012 on grievance and affected parties? for complaints dissatisfaction. Procedure and Consultation b. Who in the company is responsible to Complaint follow up was carried out in accordance with the grievance procedure Communication receive complaints and grievances? and Consultation Communication No. SOP / SPO / SMART / LH-19. No.SOP/SPO/SMART/LH-19. c. Is the existence of the system been Logbook; “Buku Catatan Receipt and handling of complaint from internal (worker) was not recorded made known and communicated to all Penanganan Keluh Kesah. appropriate with established procedure. Based on its procedure, complaint parties? should be registered in the form/complaint logbook “Buku Catatan Penanganan Keluh Kesah”, however form/logbook of complaint was not available. d. Is there evidence that the system is understood by all parties? The grievance procedure and Consultation Communication No. SOP/SPO/SMART/LH-19, has ensured that the complainant regarding the e. Is training provided to the workers on complaint will be protected in accordance with their rights. the procedures/systems? f.
Is the system effective to ensure that complaints or grievances are addressed or resolved in an effective, timely and appropriate manner?
g.
Does the mechanism or procedure provide a way for workers to report a grievance against a supervisor to someone other than the supervisor?
h.
How is a complaint or grievance investigated, addressed and resolved? Are complaints dealt with by mechanisms such as JCC?
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In the complaint handling mechanism and “musyawarah” complaint was made to reduce the risk of disputes.
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i.
CRITERION / INDICATOR CHECKLIST Is there a non-retaliation or nonreprisal policy that protects complainants or whistle-blowers?
j.
Is the privacy of parties protected?
k.
Where a resolution is not found mutually, is there a process for complaints to be brought to the RSPO Complaints System?
NO
6.3.2
6.4
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
(M) Documentation of both the process by which a dispute was resolved and the outcome shall be available. a.
Is the complaints or grievance resolution process documented?
b.
Are outcomes or decisions reported to the parties?
c.
Who has access to the documentation of the process and/or outcomes?
Logbook; “Buku Catatan Penanganan Keluh Kesah.
Up to now there are no complaints or grievance.
YES
Any negotiations concerning compensation for loss of legal, customary or user 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. (M) A procedure for identifying legal, customary or user rights, and a procedure for identifying people entitled to compensation, shall be in place.
6.4.1
Guidance: This criterion should be considered in conjunction with Criteria 2.2 and 2.3, and the associated Guidance. a. Are procedures for identifying legal, - Procedure of Land Compensation The procedure SOP/NP/SMART/VII/D&L002 described the mechanism for customary or user rights in place? SOP/NP/SMART/VII/D&L002, identifying legal, customary or user rights and also for identifying people entitled dated 1 July 2010 to compensation and determines calculation method to provide fair b. Are procedures for identifying people - Attendance list of procedure compensation. Evidence of Procedure Awareness was documented. It was entitled to compensation in place? awareness session, June 2014 communicated to related parties (community leaders, and religious figures and c. Are those procedures jointly youth leaders). Last awareness session for procedure was conducted on June
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CRITERION / INDICATOR CHECKLIST developed, agreed and accepted by local communities?
NO
6.4.2
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR 2014.
A procedure for calculating and distributing fair compensation (monetary or otherwise) shall be established and implemented, monitored and evaluated in a participatory way, and corrective actions taken as a result of this evaluation. This procedure shall take into account: gender differences in the power to claim rights, ownership and access to land; differences of transmigrants and long-established communities; and differences in ethnic groups’ proof of legal versus communal ownership of land. Specific Guidance: For 6.4.2: Companies should make best efforts to ensure that equal opportunities have been provided to both female and male heads of households to hold land titles in smallholder schemes.
a.
Has a procedure for calculating and distributing fair compensation (monetary or otherwise) been established and implemented?
b.
Are the procedures jointly developed, agreed, accepted and clearly understood by affected parties?
c.
Is the procedure monitored and evaluated in a participatory way? Have corrective actions been taken as a result of this evaluation?
d.
Does this procedure take into account the following: Gender differences in the power to claim rights; Ownership and access to land; Differences of transmigrants and long-established communities; Differences in ethnic groups’ proof of legal versus communal ownership of land.
e.
Where there are schemed smallholders, is there effort to ensure
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- Procedure of Land Compensation SOP/NP/SMART/VII/D&L002, dated 1 July 2010 - Attendance list of procedure awareness session, June 2014
Procedures related to giving and determining the amount of compensation in land acquisition described in Procedure of Land Compensation SOP/NP/SMART/VII/D&L002, dated 1 July 2010 Procedure monitored and evaluated in a participatory way, and corrective actions taken as a result of this evaluation. It’s evident through public consultation with stakeholder. Equal opportunities have been provided to both female and male heads of households to hold land titles The procedures explained that: Once a company knows the extent of land to be compensable, the company in consultation and coordination regarding the payment of team the village community / districts to get a benchmark price that will be used. After the benchmark price of the compensation obtained, the company will disseminate to the public landowner. Some records in the compensation process are: -
Minutes of Data Collection (land area) Minutes of Delivery of Land and Compensation Provision (witnessed by the Village Head and Head) Submission of Statement of Land Statement letter Map Details Land List of attendance of measurement land, which was witnessed by the local government.
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CRITERION / INDICATOR CHECKLIST equal opportunity has been provided to.
NO
6.4.3
6.5
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR It was noted that there was no ongoing progress of new land acquisition during interview with sampled villager’s representative, all previous land acquisition was solved before Land Use Title-Hak Guna Usaha (HGU).
(M) The process and outcome of any negotiated agreements and compensation claims shall be documented, with evidence of the participation of affected parties, and made publicly available. a.
Is the process and outcome of negotiated agreements and compensation claims documented?
b.
Does this documentation include evidence of the participation of affected parties? Is there any approval/signed by effected parties?
c.
Was consent obtained from all parties to make the documents publicly available?
- Procedure of Land Compensation SOP/NP/SMART/VII/D&L002, dated 1 July 2010 - Public consultation with stakeholder
During this audit it was noted that there was no ongoing progress of new land acquisition during interview with sampled villager’s representative, all previous land acquisition was solved before Land Use Title-Hak Guna Usaha (HGU).
NA
Pay and conditions for employees and for contract workers always meet at least legal or industry minimum standards and are sufficient to provide decent living wages. (M) Documentation of pay and conditions shall be available.
6.5.1
For National Interpretation: National Interpretation will define a Decent Living Wage. Where there is no National Interpretation, the legal minimum wage will be used. a. What types of employment Document of Payroll periode Wages and calculations performed using Payroll Application and recorded in the arrangements are there in the June 2015 computer system each month. Based on the payroll period in June 2015, it company? (E.g. contractual, South Kalimantan Governor appears that the payment of wages in accordance with the minimum wage set by outsourced, apprenticeships, direct Decree No. 2015 188.44 / 0632 the government. hires, piecemeal basis, etc.) / KUM / 2014; about the determination of Sectoral PT SMART Tbk. has implemented a national minimum wage standard in 2015, b. Is there documentation of pay and Minimum Wage South based in South Kalimantan Governor Regulations in 2014 No. 188.44 / 0632 / conditions for each employee?
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NO c.
6.5.2
CRITERION / INDICATOR CHECKLIST Is there a definition for living wage in the country? If not, how was the decision on wage for employees and contract workers made?
OBSERVATIONS & OBJECTIVE EVIDENCE Kalimantan 2014. PKB (Perjanjian Kerja Bersama 2014-2016. SE VPA-PSM 3 no. 003 / SEADH3 / BNJO / 04 / 15; premi panen. SE CEO-PSM 3 no. 01 / SE /CEO-ADH3 / BNJO / KSL / 04 / 2015; premi non panen
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR KUM / 2014; regarding the determination of Sectoral Minimum Wage South Kalimantan Province 2014 and management decision letter issued by the CEO3PSM 3, that is: - Decree no. 106 / 24 / CEO3 / HR.PSM3 / 03/15; About wages SKUB, - Decree no. 105 / 23 / CEO3 / HR.PSM3 / 03/15; about wages SKUH, - Decree no. 104 / 22 / CEO3 / HR.PSM3 / 03/15; about wages BHL / PKWT Wages are also based on the the PKB (Perjanjian Kerja Bersama) period 20142016, Chapter IV Working Days and Hours of Work, Article 19 Overtime, overtime calculation is based on the calculation of overtime pay in Kepmenakertrans regulation 102/MEN/VI/2004. In the PKB wage system described in Article 21.
While the wage premium for “premi panen” on Circular Letter of VPA-PSM 3 on 28 April 2015, no. 003 / SE-ADH3 / BNJO / 04/15, concerning “Premi Panen TBS” and Picking Berondol, and also for “Premi non Panen” based on Circular Letter of the CEO-PSM 3, no. 01 / SE / CEO-ADH3 / BNJO / KSL / 04/2015. (M) Labour laws, union agreements or direct contracts of employment detailing payments and conditions of employment (e.g. working hours, deductions, overtime, sickness, holiday entitlement, maternity leave, reasons for dismissal, period of notice, etc.) shall be available in the languages understood by the workers or explained carefully to them by a management official. a. Is the pay and conditions of South Kalimantan Governor Agreement / contract of employment for workers, has been included in the PKB YES employment clearly detailed in the (Perjanjian Kerja Bersama) period 2014-2016. PKB has been endorsed by Decree No. 2015 188.44 / 0632 / employment or service contracts? KUM / 2014; about the Disnakertrans Kota Baru South of Kalimantan, in which explains: (E.g. working hours, deductions, determination of Sectoral Minimum - The provisions concerning wages overtime, sickness, holiday Wage South Kalimantan 2014. - Wages follow government regulations, the UMP / UMSK entitlement, maternity leave, reasons PKB (Perjanjian Kerja Bersama - Provision and the amount of overtime pay for dismissal, period of notice, etc.) 2014-2016. - Provisions to leave work including annual leave, maternity leave and SE VPA-PSM 3 no. 003 / SE-ADH3 leave to marry well menstruation leave. b. Is the contract prepared in languages / BNJO / 04 / 15; premi panen. Participation of Social Security and social assistance. understood by the workers, explained SE CEO-PSM 3 no. 01 / SE /CEOEtc. carefully to workers by management ADH3 / BNJO / KSL / 04 / 2015; All information provided in several stakeholders is in accordance with the terms officials, and signed by both the premi non panen. and language used, for example in the form of reports and the contents of the authorised signatory of the company Interview with the chairman of report. Delivery of Information is delivered in Bahasa Indonesian so it can be and employee? union worker understood by employees and stakeholders.
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NO c.
6.5.3
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE CHECKLIST EVIDENCE Does the pay and conditions Interview with worker provided in labour laws, union representative agreements or direct contracts of employment comply with: The decent living wage as provided in the National Interpretation for the country; or The local legal requirements in meeting the minimum wage; or The industry minimum standard for a similar position or work responsibilities
d.
Is the pay received by the employee consistent with the terms of the contract and the law (relates to P2)?
e.
Have there been any cases recorded of breach by the company, or complaint made by employees against the company on unjust pay and conditions?
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Growers and millers shall provide adequate housing, water supplies, medical, educational and welfare amenities to national standards or above, where no such public facilities are available or accessible. a. Have growers and millers provided adequate housing and other basic necessities such as that listed below to national standards or above, where no such public facilities are available or accessible? adequate housing; adequate electricity; clean water supplies (availability of
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List of Public facility in 2015 Kepesertaan BPJS Kesehatan
Facilities and infrastructure provided by the company is housing (type G2, G1 and G10 for employee), housing for staff (Manager, Askep and Assitance agronomi), clinics, Child Care Centres, Education Place Koran, mosques, houses of Christian worship, TK (TK Harapan Bunda), Koperasi karyawan, Sekolah Dasar (3 Serongga SDN), sport (football field, volleyball, badminton and tennis). In addition to supporting school activities the company provides 3 units transpot school (school shuttle bus).
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NO
CRITERION / INDICATOR CHECKLIST clear water all year round); medical services (distance to health care facility i.e. clinic, hospital); children education (distance to school and schooling attendance (%) of children under 12) welfare amenities.
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR The company also provide health facilities in the form of clinic / P3K space and one ambulance unit as part of emergency response employee health services. Pelayanan kesehatan karyawan is to use the facilities of membership in BPJSKesehatan. Providing clean water for employees sourced from mill to mill employee housing as well as water reservoirs (DAM) and is used by employees of BAME and rivers that are on the block for irrigation cottage 1 and 2 SPNE. Testing has been done based on the Clean Water Testing SPNE locations “pondok” 3-4 division 2, dated 21 October 2013. Water quality testing has been carried out based on Permenkes no. 416 / Menkes / PER / IX / 1990, by the Laboratory PT Mutu Agung Lestari, test date 2 to 30 Oct.ober 2014 Electricity supply provided to employees through provision of electricity generator. Clean water provided for employees housing sourced from plants (water treatment). Water analysis/testing have been done based on the laboratory analysis report of clean water in BAMM, BAME and SPNE.
6.5.4
Growers and millers shall make demonstrable efforts to monitor and improve workers’ access to adequate, sufficient and affordable food. a.
6.6
Have growers and millers made demonstrable efforts to monitor and improve workers’ access to adequate, sufficient and affordable food?
Interviews with employees and assistant division
BAME, BMLE, SPNE and SPNA and BAMM has made a real effort to monitor and improve workers' access to adequate food, it is seen to provide transportation to the nearest market every week. The employees also have rice “catu beras” 15 kg for the employee, 9 kg for the spouse and 7.5 kg for each child, up to 3 children.
The employer respects the rights 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. (M) A published statement in local languages recognising freedom of association shall be available.
6.6.1
YES
Guidance:
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NO
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) The right of employees, including migrant and transmigrant workers and contract workers, to form associations and bargain collectively with their employer should be respected, in accordance with Conventions 87 and 98 of the International Labour Organisation (ILO). Labour laws and union agreements, or in their absence direct contracts of employment detailing payments and other conditions, should be available in the languages understood by the workers or explained carefully to them by a management official. For National Interpretation: National Interpretation will define migrant and transmigrant workers. ILO definitions and other international protocols, instruments and explanations should be used throughout. a. Has the company published a Perjanjian Kerja Bersama (PKB) Memorandum stated that the organisation respect to comply with regulation statement in local languages period 2014-2016. pertinent to freedom of association. Also PKB stated that freedom of association recognising the rights of employees to SK Dewan Pengurus Cabang can be conducted by the worker through Labour Union. freedom of association? Federasi Serikat Pekerja Pertanian & Perkebunan SPSI There is an active trade union organization both in plantation and mill, namely: b. Are the employees, including migrant Kabupaten Kota Baru, no. Indonesian Independent Workers Union (SPSI-SPM) based SK Dewan and transmigrant workers and contract KEP/10/ORG/DPC-FPengurus Cabang Federasi Serikat Pekerja Pertanian & Perkebunan SPSI workers, allowed to form associations SPPP/KTB/IX/2013, dated Kabupaten Kota Baru, no. KEP/10/ORG/DPC-F-SPPP/KTB/IX/2013, dated and bargain collectively with their September 14, 2013 September 14, 2013 and has been registered with the no. 102 / Penc / SPM / IX employer? List of union members per month / Disnakertransos September 10, 2013. c. Was the outcome, if any, from the of June 2015, Union membership is voluntary. Based on a list of union members per month of collective bargaining process between September 2014, Batu Ampar and Sungai Panci Estate have trade union the company and the association members 819, sedangkanBatu Ampar Mill has a membership of 165 people. respected, implemented and adopted in full or partially by the company? d. Are there Labour laws and union agreements, or in their absence direct contracts of employment detailing payments and other conditions, made available in the languages understood by the workers or explained carefully to them by a management official?
6.6.2
Minutes of meetings with main trade unions or workers representatives shall be documented.
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CRITERION / INDICATOR CHECKLIST a. Are there documented minutes of meetings between the company and main trade unions or workers representatives? b. Are the minutes made readily available to employees upon request?
6.7
OBSERVATIONS & OBJECTIVE EVIDENCE Perjanjian Kerja Bersama (PKB) period 2014-2016. SK Dewan Pengurus Cabang Federasi Serikat Pekerja Pertanian & Perkebunan SPSI Kabupaten Kota Baru, no. KEP/10/ORG/DPC-FSPPP/KTB/IX/2013, dated September 14, 2013 List of union members per month of June 2015,
SUMMARY OF FINDINGS FOR EACH INDICATOR Memorandum stated that the organisation respect to comply with regulation pertinent to freedom of association. Also PKB stated that freedom of association can be conducted by the worker through Labour Union.
COMPLIANCE (YES/NO) YES
There is an active trade union organization both in plantation and mill, namely: Indonesian Independent Workers Union (SPSI-SPM) based SK Dewan Pengurus Cabang Federasi Serikat Pekerja Pertanian & Perkebunan SPSI Kabupaten Kota Baru, no. KEP/10/ORG/DPC-F-SPPP/KTB/IX/2013, dated September 14, 2013 and has been registered with the no. 102 / Penc / SPM / IX / Disnakertransos September 10, 2013. Union membership is voluntary. Based on a list of union members per month of September 2014, Batu Ampar and Sungai Panci Estate have trade union members 819, Batu Ampar Mill has a membership of 165 people.
Children are not employed or exploited. (M) There shall be documentary evidence that minimum age requirements are met.
6.7.1
Guidance: Growers and millers should clearly define the minimum working age, together with working hours. Only workers above the minimum school leaving age in the country or who are at least 15 years old may be employed. The minimum age of workers will not be less than stated under national regulations. Any hazardous work should not be done by those under 18, as per International Labour Organisation (ILO) Convention 138. Please refer to ‘Guidance for Independent Smallholders under Group Certification’, June 2010, and ‘Guidance on Scheme Smallholders’, July 2009for additional guidance on family farms. a. Is the minimum working age for Circular from HRD No.002/SEHRD Circular letter No.002 / SE-HRDV / 03/09, the date March 31, 2009 YES workers together with working hours HRDV/03/09, date 31 March concerning the minimum age limit of 18 years recruitment. clearly defined in the company’s 2009 Based on a list of labor period July 2015 in Estate and Mill, no employee under recruitment policy? List of employee in Mill and the age of 18 years. During field observation and interview with worker Estates b. Are workers employed above the representative, it was verified that no employee under the age of 18 years old Field observation minimum school leaving age of the and no children found following their parent to the workplace. Interview with worker country or who are at least 15 years of representative age? c. Is there evidence that the nature of
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NO
CRITERION / INDICATOR CHECKLIST work for workers under 18 is in accordance with International Labour Organisation (ILO) Convention 138?
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
d. Does ground verification show evidence of employment of workers below the minimum working age?
6.8
Any form of discrimination based on race, caste, national origin, religion, disability, gender, sexual orientation, union membership, political affiliation, or age, is prohibited. (M) A publicly available equal opportunities policy including identification of relevant/affected groups in the local environment shall be documented.
6.8.1
Guidance: Examples of compliance can be appropriate documentation (e.g. job advertisements, job descriptions, appraisals, etc.), and/or information obtained via interviews with relevant stakeholders such as affected groups which may include women, local communities, foreign workers, and migrant workers, etc. Notwithstanding national legislation and regulation, medical conditions should not be used in a discriminatory way. The grievance procedures detailed in Criterion 6.3 apply. Positive discrimination to provide employment and benefits to specific communities is acceptable as part of negotiated agreements. a. Is there a company policy on non Circular No.096/CEO2Policy for discrimination was determined by the organisation, and all YES discrimination and equal opportunities? SE/12/2010, 14 December 2010 discrimination is prohibited for all area in the Mill and Estates as regulated in Does it at least cover the items Stakeholder consultation Social policy of company. ‘Circular Letter/Surat Edaran No. 146/CE01mentioned in the criteria (6.8)? SE/04/2010’ dated December 14th 2010. Any form of discrimination based on race, caste, national origin, religion, disability, gender, sexual orientation, union b. Is the policy made publicly available for membership, political affiliation, or age, is prohibited. The policy was publicly the relevant stakeholders? available and has been communicated to all workers and surrounding c. Is there evidence that the policy has communities. been implemented? The policy describe that the organization identify relevant/ affected groups in the local environment, e.g. surrounding villages, Moslems, Christian, Banjar tribe, Melayu tribe, Javanese tribe, Flores tribe, etc.
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CRITERION / INDICATOR CHECKLIST
NO 6.8.2
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
(M) Evidence shall be provided that employees and groups including local communities, women, and migrant workers have not been discriminated against. a. Is there evidence that employees and groups including local communities, women, and migrant workers have not been discriminated against? b. Are the employees and groups including local communities, women, and migrant workers happy with the way the company is treating them?
- Worker list of mill and each estate period June 2015. - Interview with worker union - Interview with representative worker
Worker list of Mill and Estates mentioned that all workers came from different back grounds (race, religion, gender, etc). Ethnic diversity of worker and also during interview with workers, no discrimination was identified based on religion, ethnic, gender. No evidence of discrimination found during the audit.
YES
c. Are there complaints against the company on issues relating to discrimination? d. What is the nature of complaints employees and groups including local communities, women, and migrant workers have lodged against the company, if any? 6.8.3
It shall be demonstrated that recruitment selection, hiring and promotion are based on skills, capabilities, qualities, and medical fitness necessary for the jobs available. a.
b.
c.
Does the company keep and maintain a record of their employees’ work credentials and medical history? Does the company explicitly state the indiscriminatory policy during the recruitment selection, hiring and promotion process? Is the company’s indiscriminatory
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Worker list of mill and each
estate period June 2015 Organizational structure 2015 Estate & Mill Job Description 2015 Estate & Mill
All discrimination was prohibited for all area in estate and mill. PKB also mentioned ban of discrimination for all workers in the organization. Procedure for worker recruitment (SDM-A-001-00) and procedure for employee assessment (HRD C-002-00) was available and mentioned there was no discrimination treatment during recruitment and promotion process. Promotion of worker will be done base on work period, annual evaluation result, and availability of position In the recruitment process, the company has set the standard of competence that inferred in the Position Description and Job Profile. Recruitment selection, hiring and promotion are based on skills, capabilities, qualities, and medical
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CRITERION / INDICATOR CHECKLIST policy reviewed regularly?
NO d.
6.9
6.9.1
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR fitness.
Are the company’s employees recruited and promoted based on skills, capabilities, qualities, and medical fitness necessary for the job? How is this evidenced?
Job opportunities were communicated and given to surrounding villagers at first priority where no discrimination found observed during interview and related records of workers being employed. All workers are treated equally in accordance with company regulation including rights of worker as well. The compliance in accordance with national laws has been evaluated by the organisation as described in criterion 2.1. Annuals performance evaluation result of worker was shown. It is indicated the hiring and promotion are based on skills, capabilities, qualities. There is no harassment or abuse in the work place, and reproductive rights are protected. (M) A policy to prevent sexual and all other forms of harassment and violence shall be implemented and communicated to all levels of the workforce. Specific Guidance: For 6.9.1 and 6.9.2: These policies should include education for women and awareness of the workforce. There should be programmes provided for particular issues faced by women, such as violence and sexual harassment in the workplace. A gender committee specifically to address areas of concern to women will be used to comply with this Criterion. This committee, which should include representatives from all areas of work, will consider matters such as: training on women’s rights; counselling for women affected by violence; child care facilities to be provided by the growers and millers; women to be allowed to breastfeed up to nine months before resuming chemical spraying or usage tasks; and women to be given specific break times to enable effective breastfeeding. For 6.9.2: see Indicator 4.6.12. Guidance: There should be a clear policy developed in consultation with employees, contract workers and other relevant stakeholders, and the policy should be publicly available. Progress in implementing the policy should be regularly monitored, and the results of monitoring activities should be recorded. Notwithstanding national legislation and regulation, reproductive rights are respected. a. Does the company have the policy to Circular Letter/Surat Edaran prohibit any form of sexual and all No.096/CEO1-SE/09/2014” other forms of harassment and Gender committee program violence? Interview with gender committee Interview with representative b. Has this policy been documented, worker implemented and communicated clearly to all levels of the workforce? c.
Is there a clear protocol for the
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Policies on equal opportunities and treatment to get the job described in the Circular No.096/CEO6-SE/12/2010, 14 December 2010, on the implementation in relation industrial Unit. Industrial relations without distinction of race, religion, race and gender in all types of field work. Based on workers interview and group discussion, it was concluded that there was no sexual harassment and violence within the organisation. Gender committee was established by the organisation. Each estate and mill has
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CRITERION / INDICATOR CHECKLIST company to deal/handle such issues/complaints received from the workforce?
NO
6.9.2
d.
Is there a list of awareness programs or training provided to the workforce in relation to these issues?
e.
Has the company formed a Gender Committee to address areas of concern to women? Is there a list of the members sitting in the committee? What are the Terms of Reference of the committee? Does it include the handling of issues such as: training on women’s rights; counselling for women affected by violence; child care facilities to be provided by the growers and millers; women to be allowed to breastfeed up to nine months before resuming chemical spraying or usage tasks; and women to be given specific break times to enable effective breastfeeding.
f.
Is the policy regularly reviewed?
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR appointed representative for gender committee. The committee consider matters such as; socialization on women’s rights, child care facilities to be provided by the growers and millers, women to be allowed to breastfeed up to nine months before resuming chemical spraying or usage tasks, and women to be given specific break times to enable effective breastfeeding. Organization has also setting several signboards about breastfeed up to nine months before resuming chemical spraying or usage tasks. It was observed that has been assembled on main access road and crowd locations such as: division office and housing area.
(M) A policy to protect the reproductive rights of all, especially of women, shall be implemented and communicated to all levels of the workforce.
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NO a.
b.
c.
CRITERION / INDICATOR CHECKLIST Is there a policy to protect the reproductive rights of all, especially of women? Has this policy been documented, implemented and communicated clearly to all levels of the workforce? How is this policy communicated to all levels of the workforce?
OBSERVATIONS & OBJECTIVE EVIDENCE Circular Letter/Surat Edaran no. 266/HR-OPS/08/2010. Kebijakan perusahaan oleh RCPSM3 tanggal 12 Januari 2010, no. 001/SEADH3/BNJO/01/2010. PKB 2014 -2016 Attendance list of committee gender meeting Minutes of muster morning Interview with head of gender committee Interview with women worker Gender committee structure Interview with head of gender committee Interview with women worker
SUMMARY OF FINDINGS FOR EACH INDICATOR Policy to protect women reproduction rights has been also stated in “Circular Letter/Surat Edaran” (SE #.266/HR-OPS/08/2010). Menstruation leave are given to female worker for 2 days-off without any salary deduction. Also policy of RCPSM3 dated 12 January 2010, no. 001 / SE-ADH3 / BNJO / 01/2010; the sprayers’ pregnancy examination which is conducted every 3 months.
COMPLIANCE (YES/NO) YES
The latest pregnancy tests for sprayers performed in a clinic for central BAME is: BAME: 25 – 26 February 2015 and SPNE: 8 - 22 April 2015 Gender committee was established by the organisation since 2010. The committee has representatives from all areas of work. The committee consider matters such as; trainings on women’s rights, counselling for women affected by violence, women to be allowed to breastfeed up to nine months before resuming chemical spraying or usage tasks, and women to be given specific break times to enable effective breastfeeding. Communication to all workers pertinent to prevent sexual harassment and protect women reproduction was conducted by the gender committee team and attended by the organisation. Complaint handling procedure for sexual harassment was determined. All complaints can be issued verbal and or written and informed to all administrator, gender committee and Mill/Estate Manager.
6.9.3
A specific grievance mechanism which respects anonymity and protects complainants where requested shall be established, implemented, and communicated to all levels of the workforce. a.
b.
Does the company have a mechanism to handle employment grievances, that respects anonymity and protects complainants where requested? Does the mechanism provide a way for workers to report a grievance against a supervisor to someone other than that supervisor?
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SOP/SPO/SMART/LH-19,
Consultation Communication procedure SOP/NP/SMART/XII/MCAR001, complaint mechanism for sexual harassment Interview with chairman of gender committee
The grievance procedure and Consultation Communication No. SOP/SPO/SMART/LH-19, has ensured that the complainant regarding the complaint will be protected in accordance with their rights. Procedure documented SOP/NP/SMART/XII/MCAR001 was established. A flowchart of complaint mechanism for sexual harassment was also determined. All complaints can be issued verbal and or written and informed to all administrator, gender committee and Mill/Estate Manager. During interview with female workers and gender committee, no sexual harassment and violence case was identified.
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NO c.
6.10
CRITERION / INDICATOR CHECKLIST Is the mechanism documented, implemented and communicated clearly to all levels of the workforce?
d.
Has the company identified personnel who will be responsible to receive and manage complaints received from the workforce?
e.
Has the company received any reports or complaints of harassment or abuse? How was it addressed or resolved?
f.
Is the policy reviewed regularly?
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Based on workers interview and group discussion with gender committee and workers representative, it was concluded that there was no grievance, sexual harassment and violence within the organisation.
Growers and millers deal fairly and transparently with smallholders and other local businesses. Current and past prices paid for Fresh Fruit Bunches (FFB) shall be publicly available.
6.10.1
Guidance: Transactions with smallholders should consider issues such as the role of middle men, transport and storage of FFB, quality and grading. The need to recycle the nutrients in FFB (see Criterion 4.2) should also be considered; where it is not practicable to recycle wastes to smallholders, compensation for the value of the nutrients exported can be made through the FFB price. Smallholders should have access to the grievance procedure under Criterion 6.3 if they consider that they are not receiving a fair price for FFB, whether or not middle men are involved. The need for a fair and transparent pricing mechanism is particularly important for outgrowers who are contractually obliged to sell all FFB to a particular mill. If mills require smallholders to change practices to meet the RSPO Principles and Criteria, consideration should be given to the costs of such changes, and the possibility of advance payments for FFB can be considered. a. How is the price of FFB determined? - FFB purchase procedure YES Pricing mechanisms for FFB was described in FFB purchase procedure. Price FFB pricing determination b. Is current and past prices paid for mechanism of FFB, CPO and palm kernel was determined by province from province government Fresh Fruit Bunches (FFB) publicly government and reviewed in monthly basis. The price was applied for all growers - FFB Purchase Agreement available? How? in the province. The company updates the information on the FFB pricing with FFB Suppliers c. Was there any complaints on FFB formula that includes details of transport, milling and shipping costs, each month pricing? and provides it to out growers. Annual contract are made between FFB suppliers
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d.
CRITERION / INDICATOR CHECKLIST How was the complaint handled?
e.
What was the solution?
NO
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR and mill, describing FFB specification required, contract period, determination of FFB pricing, and term of payment. Information of FFB set was available to the FFB suppliers and the commitment was stated in the procedure. Current and past prices paid for Fresh Fruit Bunches (FFB) from province government period July 2015 was publicly available. Signboard of FFB price was placed in front of the Mill office; everyone can clearly see the price of FFB in that information board. During audit it was observed that tere was no complaints on FFB pricing from
FFB suppliers. 6.10.2
(M) Evidence shall be available that growers/millers have explained FFB pricing, and pricing mechanisms for FFB and inputs/services shall be documented (where these are under the control of the mill or plantation). a.
What is the mode of recording/documenting transactions between millers with middlemen and/or smallholders?
b.
Is there evidence that growers/millers have explained FFB pricing and pricing mechanisms for FFB?
c.
Are there any inputs/services rendered by the millers to smallholders/middle men? Are these inputs/services having any influence to the pricing and pricing mechanisms for FFB?
d.
Have inputs/services been documented (where these are under the control of the mill or plantation)?
e.
Where it is not practicable to smallholders to recycle waste (i.e. EFB), is there compensation for the
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-
FFB purchase procedure
FFB pricing determination from province government FFB Purchase Agreement with FFB Suppliers
Recording/documenting transactions between millers with middlemen and/or smallholders were documented in Invoice and “Bukti Pembayaran” FFB which issued monthly after mill receives FFB from suppliers. Growers/millers have explained FFB pricing and pricing mechanisms for FFB in SPK or annual contract between FFB suppliers and mill which describing FFB specification required, contract period, determination of FFB pricing, and term of payment. The contract was understood, sign and agreed together.
Inputs/services rendered by the millers to FFB suppliers was FFB pricing determination from province government which reviewed and update in monthly basis.
Specification of inputs and or services required was communicated to the supplier/vendor through tender document or request for quotation.
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NO
6.10.3
CRITERION / INDICATOR CHECKLIST value of the nutrients of EFB given to the smallholders? Is this translated into the pricing factors of FFB?
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Evidence shall be available that all parties understand the contractual agreements they enter into, and that contracts are fair, legal and transparent. a. Is there a contractual agreement between the miller and smallholders/ middle men?
-
b. Do all parties understand the contractual agreements they have entered into?
-
FFB purchase procedure
c. Are all contractual agreements fair, legal and transparent?
Annual contract were made between FFB suppliers and mill, describing FFB specification required, contract period, determination of FFB pricing, and term of payment. Information of FFB set was available to the FFB suppliers and the commitment was stated in the procedure. The selection and evaluation of supplier/vendor was based on capability of supplier and vendor to supply required inputs and or services. Specification of inputs and or services required was communicated to the supplier/vendor through tender document or request for quotation.
d. Who keeps the contractual agreements?
The contract was understood, sign and agreed together between grower and FFB suppliers.
FFB pricing determination from province government FFB Purchase Agreement with FFB Suppliers
YES
All contractual agreements were fair, legal and transparent. All contract documents were found valid during audit. 6.10.4
Agreed payments shall be made in a timely manner. a. How are all payments made to the smallholders/middle men? b. What is the mode of recording/documenting transactions between millers with middlemen and/or smallholders?
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FFB purchase records (January to July 2015)
A review to the current FFB purchase records (January to July 2015) shows that the price set was consistently used as recorded in the record of FFB receiving. The payment of FFB received were planned and executed in timely manner in line with term of payment agreed within the contract
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NO
6.11
CRITERION / INDICATOR CHECKLIST c. Have agreed payments been made in a timely manner?
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Growers and millers contribute to local sustainable development where appropriate. Contributions to local development that are based on the results of consultation with local communities shall be demonstrated.
6.11.1
Guidance: Contributions to local development should be based on the results of consultation with local 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. Positive discrimination should not be recognised as conflicting with Criterion 6.8. Efforts should be made to identify independent smallholders in the supply base. Where sourcing of fruit is from identified independent smallholders, efforts should be made to contribute to the improvement of their farming practices. For National Interpretation: National Interpretation will 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. a. Have the local development needs and Records of organization contribution to regional development were evident, YES List of contractor priorities been identified in consultation among either: agreement contract, and social assistance list. Work agreement with contractor with local communities? (refer also to C CSR program 2015 CSR program was provided by the organization and deployed in to CSR 6.2) Logbook of “Communication and program. Activity of CSR was identified by the estate/mills (Rekapitulasi Laporan Consultation” b. What are the contributions made to Kegiatan CSR), including: repairs the village road, low-cost market, mosques Record of organization local development? Are they in renovation in surrounding villages, checks and medical for free, etc. contribution to community around Implemented document was recorded within photo and minutes of aid delivery. accordance with the results of estate consultation? Another local business was supported for growers and mills, main supports were Group discussion with c. Are there efforts to improve or pertinent to procurement spare parts and vehicle maintenance. The local surrounding communities. maximise employment opportunities at business is assigned and controlled by central purchasing in Head Office. the company for local communities? Contribution has been made to local development, such as using local contractors for transportation and civil work (building repair, constructing bridge and harvesting bridge). Moreover, the company has established CSR Program
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NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR (includes plan and realisation). CSR program consists of internal and external activities. Internal activities consist of: providing scholarships to outstanding students, national independence day, fogging etc. External activities include: improvement of village roads around the plantation, maintenance of flood control, providing clean water for community activities, building renovation of Elementary School, renovations to the village mosque around the plantation. CSR Program 2015 made based on the results of consultation with local communities, several records were evident, such as: letter from the head surrounding villages, regarding request for borrowing heavy equipment (excavator, grader and compactor). During consultation with village head, community leader and young leader around estate, it was verified that the organization providing jobs for villagers around mill and estate. Preference has been given to member of local communities if candidates for employment are of equal merit. The role and commitment of the company as a social responsibility for community development is given in accordance with the existing proposals. Some social activities such as:
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Completeness Rumah Pintar SMART Ceria in the Village and Village Serongga Langadai.
Free treatment medical checkup (cataract, hernia and cleft lip) in the region Serongga, Tegalrejo Batu Ampar etc. February 26th, 2015.
The provision of early childhood teaching aid in the village Serongga.
Help appreciation elementary school students and junior high (243 people) excel in Sukamaju village in June 2015
Help scholarships outstanding students 20 students in Panci Island Village.
Etc.
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CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Where there are scheme smallholders, there shall be evidence that efforts and/or resources have been allocated to improve smallholder productivity. a. Is there a complete registry of independent smallholders in the supply base? b. Have efforts been made to improve the farming practices of independent smallholders? c. Where there are schemed smallholders, have efforts and/or resources been allocated to improve smallholder productivity?
Recapitulation Report of FFB Received Annual contract between PT. SMART Tbk – Batu Ampar Mill and “Gapoktan Karya Tani” (GKTX) and Farmer group “Gemar Tanam” (GMTX) Record of training of harvesting practice and PPE usage (attendance list and module)
The scheme smallholders Sungai Panci Plasma owned by KUD Gajah Mada was fully managed by PT. Sinar Kencana Inti Perkasa (subsidiary of SMART group). All employees are the company’s employees.
YES
Another third party supplier is independent smallholders “Gapoktan Karya Tani” (GKTX) and Farmer group “Gemar Tanam” (GMTX). To improve independent smallholder farming practice, organization has been taken training of harvesting technic and PPE usage on 10 June 2014. Training was conducted by the company. The trainers are Estate Manager and assisted by Askep and Division Assistant. Plasma plantation area is: 3259.29 ha (46.03%) and the nucleus plantation area 3822.17 ha.
No forms of forced or trafficked labour are used. 6.121
*1 New Criteria - No forms of forced or trafficked labour are used. (M) There shall be evidence that no forms of forced or trafficked labour are used. Specific Guidance: For 6.12.1: Workers should enter into employment voluntarily and freely, without the threat of a penalty, and should have the freedom to terminate employment without penalty given reasonable notice or as per agreement.
6.12.1
Guidance Migrant workers should be legalised, and a separate employment agreement should be drawn up to meet immigration requirements for foreign workers and international standards. Any deductions made should not jeopardise a decent living wage. Passports should only be voluntarily surrendered. There should be evidence of due diligence in applying this to all sub-contract workers and suppliers. National guidance should be used on contract substitution. For National Interpretation: National Interpretation will define the following: temporary workers; migrant workers; special labour policy; contract substitution; and decent living wage. International Labour Organisation
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NO
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE COMPLIANCE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE (YES/NO) (ILO) definitions (ILO Convention 29 and 105) and other international protocols, instruments and explanations should be used throughout. See Criterion 6.5 for further guidance.
a. What is the company’s policy on forced or trafficked labour? b. How does the company define forced or trafficked labour? c. What is the process of recruiting foreign/ migrant workers directly and/or through licenced outsourcing agencies/ labour suppliers? d. Who is the person responsible for selecting/ screening labour suppliers/ outsourcing agents?
PKB 2014 – 2016 Interview with worker representative Interview with chairman of worker union List of worker Personal file of worker
There was no forced labour in Mill and Estate. Each worker has agreement with the organization. Worker or unit management of mill and estate can terminate employment if there is own desire of worker. All labour/employment has the right conform to their contract. The contract contains no forcing to the labour. The contract was agreed between labour and the company. The form of labour contract such as: Perjanjian Kerja Bersama (PKB), PKWT contract and PHL contract. Interview with employee representative and chairman of worker union concluded that there was no complaint and any grievances regarding the contract and their right. Interview with worker representative also verified that no migrant workers in Batu Ampar Mill, Batu Ampar Estate and Sungai Panci Estate.
e. Do the foreign workers have to pay a fee to the employment recruitment agency or labour suppliers in the workers’ countries of origin? If yes, does it jeopardise decent living wage? f. Are there restrictions on workers from leaving the mill or estate or their housing facilities outside working hours? g. What is the process if a worker wants to terminate their employment before their contract expires? In this case, who pays for the return transportation? h. What are the penalties imposed if the workers were terminated or fired before their contract expires?
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YES
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NO i. j.
CRITERION / INDICATOR CHECKLIST Who keeps the workers passports or identity documents?
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
If workers do not keep their passports or identity documents, is this legally allowed?
k. What is the process for workers’ to hand over their passports or identity documents to the company? l.
6.12.2
Do workers have unrestricted access to their passports or identity documents? Describe how workers are able to access their documents?
Where applicable, it shall be demonstrated that no contract substitution has occurred. a. Is there evidence of contract substitution occurring? b. Are foreign workers asked to sign a contract upon arriving in the receiving country? If yes, is that contract identical to the one signed in the country of origin?
Interview with worker representative Interview with chairman of worker union List of worker
There was no substitution contract occurred. Workers get the job and contract conforms to agreement between company and its workers
c. Are workers given a copy of their employment contracts? If yes, is the contract identical to the one signed at the time of recruitment? (M) Where temporary or migrant workers are employed, a special labour policy and procedures shall be established and implemented. 6.12.3
Specific Guidance: For 6.12.3: The special labour policy should include: • Statement of the non-discriminatory practices;
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NO • • •
CRITERION / INDICATOR OBSERVATIONS & OBJECTIVE SUMMARY OF FINDINGS FOR EACH INDICATOR CHECKLIST EVIDENCE No contract substitution; Post-arrival orientation programme to focus especially on language, safety, labour laws, cultural practices etc.; Decent living conditions to be provided.
a. What is the company’s policy and procedures for temporary or foreign/migrant workers? Does the special labour policy include: Statement of the non-discriminatory practices? No contract substitution? Post-arrival orientation programme with emphasis on language, safety, labour laws, cultural practices etc.? The provision of decent living conditions?
Interview with worker representative Interview with chairman of worker union List of worker
COMPLIANCE (YES/NO)
Interview with representative worker and head of union worker was informed there are no migrant worker in Mill and Estate
NA
b. Have the policies and procedures been implemented? 6.132
Growers and millers respect human rights. *2 New Criteria - Growers and millers respect human rights. (M) A policy to respect human rights shall be documented and communicated to all levels of the workforce and operations (see Criteria 1.2 and 2.1). Guidance: See also Criterion 6.3. All levels of operations will include contracted third parties (e.g those involved in security).
6.13.1
Note: From the UN Guiding Principles on Business and Human Rights: “The responsibility of business enterprises to respect human rights refers to internationally recognised human rights – understood, at a minimum, as those expressed in the International Bill of Human Rights and the principles concerning fundamental rights set out in the International Labour Organization’s Declaration on Fundamental Principles and Rights at Work” (“The corporate responsibility to respect human rights” in Guiding Principles on Business and Human Rights). The RSPO WG on Human Rights will provide a mechanism to identify, prevent, mitigate and address human rights issues and impacts. The resulting Guidance will identify the relevant issues on human rights to all RSPO Members.
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NO
CRITERION / INDICATOR CHECKLIST a. Is there a company policy on human rights? b. How is this communicated to all employees, including outsourced workers, customers and suppliers? If by training, how often is the training conducted? c. Who has the task of communicating the policy internally and externally?
OBSERVATIONS & OBJECTIVE EVIDENCE Social policy and roles the community which was signed by the President Director on November 10th 2011. List of attendance and minute of dissemination to all employee and local community of BAMM, BAME and SPNE 2015
d. Does the company have any outstanding cases of human rights violations?
SUMMARY OF FINDINGS FOR EACH INDICATOR Company has a social policy and roles the community as a manifestation the respect of Companies to human rights, the rights of local communities and as a commitment to comply with the rules and regulations. This commitment is outlined in the policy, which was signed by the President Director on November 10th 2011. The policy contains such as : Respect for human rights Empowerment of local community development programs recognizes, respect and reinforce the rights of workers Compliance with all applicable laws and regulations FPIC to indigenous and local communities This policy has been disseminated to all employees and the community around the plantation. Evidence of dissemination, list of attendance of all employees and the community was sighted.
PRINCIPLES 7: RESPONSIBLE DEVELOPMENT OF NEW PLANTINGS Procedures regarding the responsible development of new plantings are in place, e.g. Manual of Land Preparation and Cultivation PT. SMART Tbk (dated 1 July 2010). The manual covers flow process for land preparation and cultivation which completed with “Matrix of New Land Clearing Requirements”, procedures and work instructions to each stage of land preparation and cultivation. Plantation in BAME, BMLE, SPNA and SPNE was performed in 1991, 1992, 1993, 1994, 1996, 1997, 1998, 1999, 2000, 2001, 2005, 2006 and 2007. Plantation in 2005 to 2007 was located in BAME and SPNA. These areas were conversion from the organisation’s Coconut into Oil Palm (within the same concession/license area). Conversion from Coconut to Oil Palm has been communicated to local government. The government stated that the conversion did not change the AMDAL. Based on HCV assessment report, there were no HCV areas or forests replaced here between November 2005 and November 2007.
PRINCIPLES 8: COMMITMENT TO CONTINUOUS IMPROVEMENT IN KEY AREAS OF ACTIVITY
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COMPLIANCE (YES/NO) YES
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NO 8.1
8.1.1
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR
Growers and millers regularly monitor and review their activities, and develop and implement action plans that allow demonstrable continual improvement in key operations. (M) The action plan for continual improvement shall be implemented, based on a consideration of the main social and environmental impacts and opportunities of the grower/mill, and shall include a range of Indicators covered by these Principles and Criteria. As a minimum, these shall include, but are not necessarily be limited to: • Reduction in use of pesticides(Criterion 4.6); • Environmental impacts (Criteria 4.3, 5.1 and 5.2); • Waste reduction (Criterion 5.3); • Pollution and greenhouse gas (GHG) emissions (Criteria 5.6 and 7.8); • Social impacts (Criterion 6.1); • Optimising the yield of the supply base. Guidance: Growers should have a system to improve practices in line with new information and techniques, and a mechanism for disseminating this information throughout the workforce. For smallholders, there should be systematic guidance and training for continual improvement. For National Interpretation: National Interpretation will include specific minimum performance thresholds for key indicators (Criteria 4.2, 4.3, 4.4, and 4.5). List Attendance of OHS Several audits were conducted which covered all operation areas including a. Is there an action plan for continual Management Review Meeting operation (Operation Internal Audit – OIA) Findings identified during those audits improvement? Notes OHS management have been followed up, verified and monitored by Region Controller, Production b. Describe the main components of the plan. Review Meeting Controller and Vice President Agronomy and Vice President Manufacturing. OHS internal audit report c. Has the action plan been implemented? Social Impact Assessment Continual improvement plans have been raised as corrective actions plan from d. Provide examples of continual (SIA) Report Juni – July 2010 internal audit of OHS and RSPO and Management Review Plan. improvements that have been Monitoring and Review of SIA The most recent OHS Internal Audit was performed on 13- 17 April 2015 for mill implemented. period June 2012 – December and all estates. All findings have been closed. 2014 OHS Management Review Meeting has also been performed during May – July e. Are history records available to develop the RSPO internal audit result 2015 for estates and mill. The records were sighted. Several action plans for action plan? OIA Report improvement have been raised such as: providing of safety signs, health f. Are records of implementation of the action Environmental management surveillance, fire prevention equipment, first aid equipment, safety plan available? program recommendation box etc. The Mill and Estate is certified to ISCC continually set management objective and g. Does the action plan include strategies for: target which were supported by environment program especially for carbon • Reduction in use of pesticides
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NO
• • • • •
CRITERION / INDICATOR CHECKLIST (Criterion 4.6)? Is IPM widely implemented? Environmental impacts (Criteria 4.3, 5.1 and 5.2)? Waste reduction (Criterion 5.3)? Pollution and greenhouse gas (GHG) emissions (Criteria 5.6 and 7.8)? Social impacts (Criterion 6.1)? Optimising the yield of the supply base?
h. Do growers have a system to improve practices in line with new information and techniques, and a mechanism for disseminating this information throughout the workforce?
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OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR reduction. Regular internal and external audit was held to evaluate the adequacy and effectiveness of the system. The Mill is certified to ISO 14001:2004 continually set management objective and target which were supported by environment management program. Regular internal and external audit (ISO 14001:2004, RSPO and ISPO) and management review meeting which covered all operation areas including operation was held to evaluate the adequacy and effectiveness of the management system. Findings identified during those audits have been followed up. Last external audit of ISO 14001:2004 was conducted on 10-11 March 2015. Records were sighted regarding RSPO & ISPO Internal Audit that conducted on 13-18 April 2015. Several improvement programmes for mill and estate was already established for year period 2015. Evidence of several improvements was shown, e.g. Environmental impacts: o Land application from the liquid wastes, o Handling of domestic waste water by construct and maintenance septic tank, o Application of empty bunch o Manual manuring at 50 m on riparian buffer zones o Recycle turbine cooling water and vacuum dryer o Reuse condensate steriliser for water dilution o Recycle soclet cooling water Waste reduction: o Efficiency of paper use o Reduce use oil and used oil filter Pollution and GHG emission o Use of fibre and shells for boiler fuel o Operate turbine during non processing hour o Reduce operational hour of genset by adding turbine operation non processing Social: Monitoring the social impact of last performed and also reviews by management in the period January 2012 - December 2014. Planing for next monitoring and evaluation of the social impact will performs on 14 to 18 September 2015.
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NO
CRITERION / INDICATOR CHECKLIST
OBSERVATIONS & OBJECTIVE EVIDENCE
COMPLIANCE (YES/NO)
SUMMARY OF FINDINGS FOR EACH INDICATOR Reduction or mitigation plan for negative impact is monitoring the social impact once a year. Lastly done is for the period January 2012 - December 2014 and recorded in the agenda of monitoring social impact BAME, BAMM, SPNE and SPNA date 14 to 17 April 2015, the method used is the verification of secondary data, observation and interviews with affected communities.
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3.3.2 RSPO SUPPLY CHAIN 3.3.2.1 Supply Chain Certification Standard – Module E Mass Balance
PART A COMPANY DETAIL Company Name (covered by certification): PT. SMART Tbk
RSPO member name: PT. SMART Tbk
RSPO member number: 1-0019-05-000-00
RSPO IT Platform Registration number: RSPO_PO1000001151 Site Address: Kecamatan Kelumpang Hilir, Kabupaten Kotabaru, South Kalimantan, Indonesia Management Representative: Ismu Zulfikar Site type: CPO Mill Site capacity: 60 MT FFB/hour Certified palm product sold: Null. There is no RSPO certified CPO and PK sold since the site certified. Certified palm product used: 150,525 MT FFB App/Cert No: RSPO20006 SAI Global Auditor/Team: Eko Purwanto
Audit Type: ASA3 Audit Date: 08/08/2015
Activity/Audit No: AS-408442
Audit objectives To verify the volume of certified and uncertified FFB entering the mill and sold volume of RSPO certified producers. Supply Chain Model: Module E - CPO Mills (MB) Mass Balance Pertinent record period:
August 2014 – July 2015
Estimated tonnage of certified palm product produced:
CPO: 50,466 MT and PK: 12,616 MT
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Estimated of tonnage of non certified palm product produced
CPO: 10,212 MT and PK: 2,553 MT
String description:
CPO Mill
Outsource activity(ies) (if any):
CPO and PK transport
Independent third party(ies) performing outsource activity(ies): name, address and Capability
1. Name: PT. Satrindo Jaya Agropalma Address: Desa Serongga, Kecamatan Kelumpang Hilir, Kabupaten Kotabaru, Provinsi Kalimantan Selatan Capacity: 5 trucks (@13 MT) 2. PT. Sarana Lintas Bersam Address: Jl. Caman Barat No.51 Kabupaten Kotawaringin Timur, Provinsi Kalimantan Tengah Capacity: 2 trucks (@13 MT) 3. CV. Rizky Palm Mandiri Address: Desa Sungai Kecil, Kecamatan Batu Licin, Kabupaten Tanah Bumbu, Provinsi Kalimantan Selatan Capacity: 5 trucks (@13 MT)
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Audit Findings / Objective Evidence
STATUS ( NC / AOC / C )
CPO MILLS (MB) MASS BALANCE SUPPLY CHAIN MODELS – MODULAR REQUIREMENTS
E.1 Definition
E.1.1. Certification for CPO mills is necessary to verify the volumes of certified and uncertified FFB entering the mill and volume sales of RSPO certified producers. A mill may be taking delivery of FFB from uncertified growers, in addition to those from its own certified land base. In that scenario, the mill can claim only the volume of oil palm products produced from processing of the certified FFB as MB.
E.2 Explanation
E.2.1. The estimated tonnage of CPO and PK products that could potentially be produced by the certified mill must be recorded by the CB in the public summary of the P&C certification report. This figure represents the total volume of certified palm oil product (CPO and PK) that the certified mill is allowed to deliver in a year. The actual tonnage produced should then be recorded in each subsequent annual surveillance report.
a. Has the estimated tonnage of CPO and PK products (that could potentially be produced by the certified mill) been recorded by the certification body (CB) in the public summary of the P&C certification report ?
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The estimated tonnage of CPO and PK products has been recorded by SAI Global, i.e.: Certification audit: Estimated CPO : 45,072 MT Estimated PK : 10,000 MT
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STATUS ( NC / AOC / C )
ASA1: Estimated CPO : 55,480 MT Estimated PK : 13,432 MT ASA2: Estimated CPO : 56,963 MT Estimated PK : 14,161 MT
b. Does the figure represent the total volume of certified palm oil product (CPO and PK) that the certified mill is allowed to deliver in a year ?
The figure represented the total volume of certified palm oil product (CPO and PK) that the certified mill is allowed to deliver in a year. The actual tonnage produced has been recorded in each subsequent annual surveillance report, i.e: ASA1: Actual CPO : 52,088 Actual PK : 12,756
c. Does the actual tonnage produced have to then be recorded in each subsequent annual surveillance report ?
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C
C
ASA2: Actual CPO : 53,976 Actual PK : 13,776
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STATUS ( NC / AOC / C ) E.2.2. The mill must also meet all registration and reporting requirements for the appropriate supply chain through the RSPO supply chain managing organization (RSPO IT platform or book and claim). Audit Findings / Objective Evidence
a. The mill must also meet all registration requirements for the appropriate supply chain through the RSPO supply chain managing organization (RSPO IT platform or book and claim)? b. The mill must also meet all reporting requirements for the appropriate supply chain through the RSPO supply chain managing organization (RSPO IT platform or book and claim)?
PT. SMART Tbk. - Batu Ampar Mill has meet all registration requirements for the appropriate supply chain through the RSPO supply chain managing organization (RSPO IT platform), with register number RSPO_PO1000001151.
C
C The mill also has meet all reporting requirements for the appropriate supply chain through the RSPO supply chain managing organization (RSPO IT platform).
E.3 Documented Procedure
E.3.1. The site shall have written procedures and/or work instructions to ensure the implementation of all the elements specified in these requirements. This shall include at minimum the following: a. Complete and up to date procedures covering the implementation of all the elements in these requirements; b. The name of the person having overall responsibility for and authority over the implementation of these requirements and compliance with all applicable requirements. This person shall be able to demonstrate awareness of the site procedures for the implementation of this standard. a. Does the site have written procedures and/or
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The mill have written procedure and work instruction in place to
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work instructions in place to ensure the implementation of all elements specified in these requirements ?
STATUS ( NC / AOC / C )
ensure the implementation of all elements specified in these requirement, i.e.: - SOP/BAMM/SC – RSPO Supply Chain, revision dated 02 February 2015, covers Receiving of Raw Material, Weighing (weighbridge ticket printing, quality checking, processing), Monitoring of Product (quality, quantity, validation of report), Mass Balance counting, Delivery of Product and Documentation. - SOP/SMART/CERS-EHSD/SADV/I/001 - Identification and Traceability of Certified Product - SOP/SMART/MCMD/I/TM-PKS - Palm Oil Mill Process, covers FFB receiving, Sterilisation, Threshing, Pressing, Clarification, Nut and Kernel, Boiler and Engine Room. - SOP/SMART/RCP - FFB Receiving - SOP/SMART/TH – Threshing Station - SOP/SMART/PE – Pressing Station - SOP/SMART/CL – Clarification Station - SOP/SMART/NK – Nut and Kernel Station - SOP/SMART/BO – Boiler Station - SOP/SMART/PS – Engine Room Station - SOP/SMART/LAB – Laboratory - SOP/SMART/DO – Despatch CPO - SOP/SMART/DK – Despatch Kernel IK -
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IK/BAMM/RCP/WB/01 – WI FFB Weighing IK/BAMM/RCP/GD/01 – WI Grading IK/BAMM/RCP/LR/01 – WI Loading Ramp
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Audit Findings / Objective Evidence -
b. Are procedures / work instructions completely covering the implementation of all the elements in these requirements? c. Have the site had the role of the person having overall responsibility for and authority over the implementation of these requirements and compliance with all applicable requirements ?
d. Is the person able to demonstrate awareness of the site’s procedures for the implementation of this standard?
STATUS ( NC / AOC / C )
IK/BAMM/STR/01 – WI Sterilizer Station IK/BAMM/DO/01 – WI Despatch CPO IK/BAMM/DK/01 – WI Despatch PK IK/BAMM/LAB/09 – WI General Laboratory
Procedure and work instruction completely covering the implementation of all element in these requirement as mention above. The person having overall responsibility for and authority over the implementation of these requirements and compliance with all applicable requirements is Mill KTU (Head of Administration) Mr. Adolf R. Tanihatu based on Batu Ampar Mill Manager decree Decree Letter #002/MR-BAMM/I/2014 dated January 3rd 2014. The person having awareness and knowledge for the procedure and implementation of RSPO SCC standard since he already have trained on November 25th, 2011.
C
C
C
E.3.2. The site shall have documented procedures for receiving and processing certified and non-certified FFBs.
a. Has the site had documented procedures for receiving certified FFBs ?
The site has documented procedure for receiving certified and non-certified FFB, i.e. SOP/BAMM/SC and SOP/SMART/RCP - FFB Receiving
C
b. Has the site had documented procedures for receiving non-certified FFBs?
The site has documented procedure for receiving certified and non-certified FFB, i.e. SOP/BAMM/SC and
C
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Audit Findings / Objective Evidence
STATUS ( NC / AOC / C )
SOP/SMART/RCP - FFB Receiving
c. Has the site had documented procedures for processing certified FFBs?
d. Has the site had documented procedures for processing non-certified FFBs?
The site has documented procedure for processing certified and non-certified FFB, i.e.: - SOP/BAMM/SC – RSPO Supply Chain - SOP/SMART/TH – Threshing Station - SOP/SMART/PE – Pressing Station - SOP/SMART/CL – Clarification Station - SOP/SMART/NK – Nut and Kernel Station - SOP/SMART/BO – Boiler Station
C
The site has documented procedure for processing certified and non-certified FFB, i.e.: - SOP/BAMM/SC – RSPO Supply Chain - SOP/SMART/TH – Threshing Station - SOP/SMART/PE – Pressing Station - SOP/SMART/CL – Clarification Station - SOP/SMART/NK – Nut and Kernel Station - SOP/SMART/BO – Boiler Station
C
E.4 Purchasing and Goods In
E.4.1. The site shall verify and document the volumes of certified and non-certified FFBs received. a. Does the site verify and document the volumes of certified FFBs received ?
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The site verified and documented the volume of certified FFB received. The activity conducted by weighing clerk and recorded in Recapitulation of FFB Receiving.
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b. Does the site shall verify and document the volumes of non-certified FFBs received ?
The site verified and documented the volume of non-certified FFB received. The activity conducted by weighing clerk and recorded in Recapitulation of FFB Receiving.
STATUS ( NC / AOC / C ) C
E.4.2. The site shall inform the CB immediately if there is a projected overproduction of certified tonnage. a. Does the site inform the CB immediately if there Yes, procedure SOP/BAMM/SC – RSPO Supply Chain is a projected overproduction of certified tonnage mentioned that the site will inform Certification Body ? immediately if there is a projected overproduction of certified tonnage. The communication will be assisted by Certification Section, EHS Department. Until this ASA3, there is no overproduction since the site certified.
C
E.5 Records Keeping
E.5.1. The site shall record and balance all receipts of RSPO certified FFB and deliveries of RSPO certified CPO and PK on a three-monthly basis. All volumes of palm oil and palm kernel oil that are delivered are deducted from the material accounting system according to conversion ratios stated by RSPO. The site can only deliver Mass Balance sales from a positive stock. Positive stock can include product ordered for delivery within three months. However, a site is allowed to sell short.(ie product can be sold before it is in stock.) For further details refer to Module C. a. Does the site record and balance all receipts of RSPO certified FFB on a three-monthly basis ?
The site recorded and balanced all receipts of RSPO certified FFB on monthly basis then recapitulated it in three-monthly basis in document Mass Balance Report for SCCS.
C
b. The site shall record and balance all deliveries of RSPO certified CPO and PK on a three-monthly
The site has clear system to record and balance all deliveries of RSPO certified CPO and PK on three-monthly basis, i.e.
C
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basis ?
STATUS ( NC / AOC / C )
document Mass Balance Report for SCCS, however there is no delivery of RSPO certified CPO and PK since the site certified.
c. Are all volumes of palm oil and palm kernel oil that are delivered being deducted from the material accounting system according to conversion ratios stated by RSPO ?
d. Is the site only able to deliver Mass Balance sales from a positive stock ? Positive stock can include product ordered for delivery within three months. However, a site is allowed to sell short.(ie product can be sold before it is in stock.)
The site has clear system to implement the requirement that all volumes of palm oil and palm kernel oil that are delivered to be deducted from the material accounting system according to conversion ratios stated by RSPO, i.e. document Mass Balance Report for SCCS, however there is no delivery of RSPO certified CPO and PK since the site certified.
C
C The site has clear system to implement the requirement that only able to deliver Mass Balance sales from a positive stock, i.e. document Mass Balance Report for SCCS, however there is no delivery of RSPO certified CPO and PK since the site certified.
E.5.2. In cases where a mill outsources activities to an independent (not owned by the same organization) palm kernel crush, the crush still falls under the responsibility of the mill and does not need to be separately certified. The mill has to ensure that the crush is covered through a signed and enforceable agreement. a. Does the mill outsource activities to an independent (not owned by the same organization) palm kernel crush, the crush still falls under the responsibility of the mill and does not need to be separately certified ?
The mill delivered palm kernel to palm kernel crusher which has been separately certified by SGS, which is PT. SMART Tbk – Tarjun Refinery, with certified ID: SGS-RSPO/SCMY14/01549 and SCC Model: Segregation and Mass Balance. The certificate valid from 18 September 2014 until 17 September 2019.
C
b. Does the mill have to ensure that the crush is covered through a signed and enforceable
The Mill does not have to ensure that the crush is covered through a signed and enforceable agreement, the crush has
C
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STATUS ( NC / AOC / C )
been separately certified.
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3.3.2.2 Supply Chain Certification System
Supply Chain Certification System
5.3.1
Has the client been made aware with necessary information concerning the RSPO Supply Chain Certification and the RSPO Rules on Communication and Claims Has the client been made aware with necessary information concerning the RSPO Supply Chain Certification and the RSPO Rules on Communication and Claims? If potential clients have any further questions concerning the RSPO these shall be directed to the RSPO secretariat.
Status ( Yes / No )
Yes
5.3.2
Has the client been made aware of the contractual agreement for certification services against the RSPO Supply Chain Standard and maintain a record of any agreement?
5.3.6
Has the organization been informed about the following items?
a.
Certification process
Yes
b.
Agree logistics for the assessment and time of exit (closing) meeting.
Yes
c.
Confirm acess to all relevant documents, field sites and personnel
Yes
d.
Explain confidentiality and conflict of interest
5.3.7
Have the management documentation of the organization fully met to the requirements of the RSPO Supply Chain Certification Standard?
Yes
5.3.7
Have any issues or areas of concern been clarified to the organization?
N/A
5.3.7
Have the internal audits against RSPO supply chain standard been fully planned and underway before certification is awarded ?
Yes
5.3.8
Have the organization sufficiently and adequately implemented the organizational systems, the management systems and the operational systems, including any documented policies and procedures, to meet the intent and requirements of
Yes
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Status ( Yes / No )
the RSPO Supply Chain Certification Standard? 5.3.8
Have the client made aware that when there is outsourcing process to the third party after certification is granted therefor SAI Global shall be informed and SAI Global decides whether an interim visit is required for the next audit ?
Yes
5.3.9
Has certification audit reviewed pertinent RSPO Supply Chain records relating to the receipt, processing and supply of certified oil palm products?
Yes
5.3.10
Have all activities conducted by subcontractors complied with the intent and requirements of the RSPO Supply Chain Certification Standard
Yes
5.3.11
Have the client made aware that until they receive written confirmation of their RSPO Supply Chain certification registration and its expiry date that they are not certified and can not make any claims concerning registration?
Yes
5.3.11
Have a detail records have been compiled of the entry (opening) meeting including a list of the participants in the meeting?
Yes
5.3.11
Have the client made aware of the findings of the audit team including any deficiencies which may result in a negative certification decisions or which may require further actions to be completed before a certification decision can be taken?
Yes
5.3.11
Have the client made aware that the findings of the audit team are tentative pending review and decision making by the duly designated representatives of the certification body?
Yes
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3.4
Recommendation
The audit indicated that PT. SMART Tbk – Batu Ampar Mill and it’s supply bases has complied with Generic RSPO Principle and Criteria 2013 and RSPO Supply Chain Certification Standard Module E – Mass Balance. Therefore the recommendation from this audit is PT. SMART Tbk – Batu Ampar Mill continue as a producer of RSPO Certified Sustainable Palm Oil and Palm Kernel – Mass Balance Model. Audit recommendations are always subject to ratification by RSPO. This report was prepared by: Ria Gloria, Eko Purwanto, Daniel Sitompul, Edy Widodo and Mujinius Jalaraya. 3.5 3.6
Environmental and social risk for this scope of certification for planning of the surveillance audit Environmental risk: compliance with regulations, hazardous waste management, RKL RPL reporting Social risk: compliance with regulations OHS: prevention of hazard and risk Acknowledgement of Internal Responsibility and Formal Sign-off of Assessment Findings
Please sign below to acknowledge receipt of the assessment visit described in this report and confirm the acceptance of the assessment report contents including assessment findings. Signed for and on behalf of PT. SMART Tbk – Batu Ampar Mill
Ismu Zulfikar Head of Environment Health and Safety Department Date 20 January 2016 Signed for and on behalf of PT. SAI Global Indonesia
Inge Triwulandari Technical Manager Date 20 January 2016
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Appendices A – Audit Plan Date
Auditor
03/08/2015
Audit meetings plus functions/ processes/ areas/ *shifts audited:
# Shifts*
Times* From - To
Day 1 Ria, Daniel, Edy, Muji
04/08/2015
Travelling Jakarta to Batu Ampar Mill
Am-pm
Day 2 Ria, Daniel, Edy, Muji
Opening meeting
08.00
Batu Ampar Estate
Ria
Edy
Muji
Daniel
Ria, Daniel, Edy, Muji
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Document review and site visit: Criteria: 2.1 all indicators for environmental aspects Criteria: 2.2.1 and 2.2.2 Criterion: 4.4.1 Criteria: 4.6.6, 4.6.10 Criteria: 5.1, 5.2, 5.3, 5.4, 5.6 all indicators Criterion: 8.1 Document review and site visit: Criteria: 1.1; 1.2; 1.3 all indicators Criteria: 2.1.1 for social aspect Criteria: 2.2.3; 2.2.4; 2.2.5; 2.2.6; 2.3 all indicator Criteria: 4.6.12 Criteria: 6.1, 6.2, 6.3, 6.4, 6.5, 6.6, 6.7, 6.8, 6.9, 6.11, 6.12, 6.13 Criterion: 8.1 Interview with employees, labour union and committee gender Document review and site visit: Criteria: 4.1.1, 4.1.2, 4.1.3 Criteria: 4.2. 4.3, 4.5 all indicators Criterion: 4.4.2 Criteria: 4.6.1, 4.6.2, 4.6.3, 4.6.4, 4.6.5, 4.6.7, 4.6.8, 4.6.9 Criterion: 5.2 all indicators Criteria: 6.10 Criterion: 7.3 if applicable Criterion: 8.1 Document review and site visit: Criteria: 2.1 all indicators for OHS aspects Criterion: 4.6.11 Criteria: 4.7 all indicators Criterion: 4.8 all indicators Criterion: 5.5 all indicators Criterion: 8.1 Break
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09.00-17.00
09.00-17.00
09.00-17.00
09.00-17.00
12.30 – 14.00
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05/08/2015
Day 3 Sungai Panci Estate
Ria
Edy
Muji
Daniel
Ria, Daniel, Edy, Muji 06/08/2015
Document review and site visit: Criteria: 2.1 all indicators for environmental aspects Criteria: 2.2.1 and 2.2.2 Criterion: 4.4.1 Criteria: 4.6.6, 4.6.10 Criteria: 5.1, 5.2, 5.3, 5.4, 5.6 all indicators Criterion: 8.1 Document review and site visit: Criteria: 1.1; 1.2; 1.3 all indicators Criteria: 2.1.1 for social aspect Criteria: 2.2.3; 2.2.4; 2.2.5; 2.2.6; 2.3 all indicator Criteria: 4.6.12 Criteria: 6.1, 6.2, 6.3, 6.4, 6.5, 6.6, 6.7, 6.8, 6.9, 6.11, 6.12, 6.13 Criterion: 8.1 Interview with employees, labour union and committee gender Document review and site visit: Criteria: 4.1.1, 4.1.2, 4.1.3 Criteria: 4.2. 4.3, 4.5 all indicators Criterion: 4.4.2 Criteria: 4.6.1, 4.6.2, 4.6.3, 4.6.4, 4.6.5, 4.6.7, 4.6.8, 4.6.9 Criterion: 5.2 all indicators Criteria: 6.10 Criterion: 7.3 if applicable Criterion: 8.1 Document review and site visit: Criteria: 2.1 all indicators for OHS aspects Criterion: 4.6.11 Criteria: 4.7 all indicators Criterion: 4.8 all indicators Criterion: 5.5 all indicators Criterion: 8.1 Break
08.00 – 17.00
08.00 – 17.00
08.00 – 17.00
08.00 – 17.00
12.30 – 14.00
Day 4 Sungai Panci Plasma
Ria
Doc ID: 3843 / Issue Date May, 2014
Document review and site visit: Criteria: 2.1 all indicators for environmental aspects Criteria: 2.2.1 and 2.2.2 Criterion: 4.4.1 Criteria: 4.6.6, 4.6.10 Criteria: 5.1, 5.2, 5.3, 5.4, 5.6 all indicators Criterion: 8.1
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Edy
Edy Edy
Muji
Daniel
Ria, Daniel, Edy, Muji 07/08/2015
Document review and site visit: Criteria: 1.1; 1.2; 1.3 all indicators Criteria: 2.1.1 for social aspect Criteria: 2.2.3; 2.2.4; 2.2.5; 2.2.6; 2.3 all indicator Criteria: 4.6.12 Criteria: 6.1, 6.2, 6.3, 6.4, 6.5, 6.6, 6.7, 6.8, 6.9, 6.11, 6.12, 6.13 Criterion: 8.1 Interview with employees, labour union and committee gender Interview with Kepala Desa, Tokoh Masyarakat Interview with KUD Document review and site visit: Criteria: 4.1.1, 4.1.2, 4.1.3 Criteria: 4.2. 4.3, 4.5 all indicators Criterion: 4.4.2 Criteria: 4.6.1, 4.6.2, 4.6.3, 4.6.4, 4.6.5, 4.6.7, 4.6.8, 4.6.9 Criterion: 5.2 all indicators Criteria: 6.10 Criterion: 7.3 if applicable Criterion: 8.1 Document review and site visit: Criteria: 2.1 all indicators for OHS aspects Criterion: 4.6.11 Criteria: 4.7 all indicators Criterion: 4.8 all indicators Criterion: 5.5 all indicators Criterion: 8.1 Break
08.00 – 12.30
14.00 15.30
08.00 – 17.00
08.00 – 17.00
12.30 – 14.00
Day 5 Batu Ampar Mill
Ria
Site visit and document review: Criterion: 2.2.1 Criteria: 4.4.1, 4.4.3, 4.4.4 Criteria: 5.1, 5.3, 5.4, 5.6 all indicators Criterion: 8.1
Ria
Criterion: 3.1
15.00
Ria
Time bound plan and partial certification requirements
16.00
Edy
Document review and site visit: Criteria: 1.1; 1.2; 1.3 all indicators Criteria: 2.1.1 for social aspect Criteria: 2.2.3; 2.2.4; 2.2.5; 2.2.6; 2.3 all indicator Criteria: 6.1, 6.2, 6.5, 6.6, 6.7, 6.8, 6.9, 6.11, 6.12, 6.13
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08.00 – 17.00
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Criterion: 8.1 Edy
Interview with Kepala Desa, Tokoh Masyarakat
09.00
Edy
Interview with FFB supplier
10.30
Edy Edy Muji
Daniel Ria, Daniel, Edy, Muji Eko 08/08/2015
Interview with employees, labour union and committee gender Clarification regarding issues found during public consultation Criteria: 4.1.1, 4.1.2, 4.1.3, 4.1.4 Criterion: 4.8 all indicators Criterion: 6.10 all indicators Site visit and document review: Criterion: 4.7 all indicators Criterion: 8.1 Break Travelling Jakarta – Batu Ampar
14.30 16.00 08.00 – 17.00 08.00 – 17.00 12.30 – 14.00 Am-pm
Day 5 Batu Ampar Mill Eko
Supply chain
08.00 – 15.00
Batu Mulia Estate
Ria
Edy
Muji
Doc ID: 3843 / Issue Date May, 2014
Document review and site visit: Criteria: 2.1 all indicators for environmental aspects Criteria: 2.2.1 and 2.2.2 Criterion: 4.4.1 Criteria: 4.6.6, 4.6.10 Criteria: 5.1, 5.2, 5.3, 5.4, 5.6 all indicators Criterion: 8.1 Document review and site visit: Criteria: 1.1; 1.2; 1.3 all indicators Criteria: 2.1.1 for social aspect Criteria: 2.2.3; 2.2.4; 2.2.5; 2.2.6; 2.3 all indicator Criteria: 4.6.12 Criteria: 6.1, 6.2, 6.3, 6.4, 6.5, 6.6, 6.7, 6.8, 6.9, 6.11, 6.12, 6.13 Criterion: 8.1 Interview with employees, labour union and committee gender Document review and site visit: Criteria: 4.1.1, 4.1.2, 4.1.3 Criteria: 4.2. 4.3, 4.5 all indicators Criterion: 4.4.2 Criteria: 4.6.1, 4.6.2, 4.6.3, 4.6.4, 4.6.5, 4.6.7, 4.6.8, 4.6.9 Criterion: 5.2 all indicators Criteria: 6.10 WORK ITEM: WI-700160 © SAI Global Limited Copyright 2008 - ABN 67 050 611 642
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Criterion: 8.1 Document review and site visit: Criteria: 2.1 all indicators for OHS aspects Criterion: 4.6.11 Criteria: 4.7 all indicators Criterion: 4.8 all indicators Criterion: 5.5 all indicators Criterion: 8.1
08.00 – 15.00
Ria, Daniel, Edy, Muji, Eko
Break
12.30 – 14.00
Ria, Daniel, Edy, Muji, Eko
Discussion
15.00
Ria, Daniel, Edy, Muji, Eko
Closing meeting
16.00
Daniel
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Appendices B – Previous Nonconformities and Opportunity for Improvement Summary RSPO Principle and Criteria, Indonesian National Interpretation Nonconformities No 1.
RSPO Criterion 2.1 indicator major 1
Details
Corrective Action
BAME, SPNE Several containers of hazardous material or waste were not completed with label and or hazard symbol, e.g. container of pesticide solution stored in Division Warehouse (BAME), container of diesel fuel in diesel generator set room in Division Office and workshop (SPNE and BAME), container of medical waste in Clinic (SPNE).
2.
2.2 indicator major 2
SPNA consists of 4 villages i.e. Telaga Sari, Mandala, Sukamaju and Plajau Baru. Legal boundaries for 3 villages i.e. "Telaga Sari, Mandala dan Sukamaju" could not been seen during the audit as stated/required by land own title certificates.
3.
4.1 indicator minor 2
BAMM It was found that thermometer on screw press #2A and kernel silo #4 was not function. Calibration of laboratory balance (Sartorius & Ohaus) was not done using calibrated weight scale.
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PIC
Completion Date 18 Jan 2012
Status Closed
Label and hazard symbol has been completed in each hazardous material and waste containers. Label and hazard symbol is monitored monthly using checklist.
Environment Officer BAME & SPNE, UH BAME & SPNE
The maintenance programme to legal boundaries was sighted. During this surveillance audit, it was verified that maintenance program for 2013 has been established. Maintenance activity was conducted in six month intervals. Field observation was taken to pegs TGS 6, TLGS 4 of Telaga Sari village and MDL 15 and MDL 32 of Mandala village, it was verified that all pegs were maintained.
SPNA
15 March 2012
Closed
Thermometer on screw press #2A and kernel silo #4 has been changed with new one. Internal calibration has been conducted Laboratory balance was calibrated on 6 May 2013. Certificate of calibration is being process.
Assistant of M&R, BAMM, UH BAMM, Assistant of Laboratory Assistant of
16 Jan 2012 15 Jan 2012 15 Jan
Closed
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No
RSPO Criterion
Details
4.
4.4
Corrective Action
Oven (Memmert) used for moisture analysis has not been calibrated. It was indicated that Clarification daily report at the day audit was not made properly.
Training was conducted to employee to fill the log sheet consistently on 16 January 2012
BMLE Program of cleaning of main drain, collection drain and making of field drain has been established. However program and realization of cleaning of main drain, collection drain and making of field drain was not clear as to which block area was cleaned. One of water management is using piezometer. Water level of piezometer is monitored daily. However action to be taken was not clear when the water level exceeded the standard.
Condition of water gate and dike (flush or intake) was according to water level result. Action taken (flushing) has been clearly recorded if the water level exceeds the standard. Program of cleaning of main drain, collection drain and making of field drain has been established and realization records of cleaning of main drain, collection drain and making of field drain was clear to which block area was cleaned.
Several key parameters have been conducted on April 20th 2012. Medical check up for employees exposed to chemical hazards. 38 persons have blood checks, 15 persons for Thorax Rontgen, 24 person for power house and heavy equipment operators
Several substandard condition e.g. opened electrical connection, belt not covered, fuel tank not
5.
4.6 indicator minor 2
All Estates In general, medical checkup has been performed. However, several key parameters were not performed during medical checkup e.g. Rontgen and spyrometry test for employees exposed to chemical hazards (e.g. sprayer, chemical mixer and warehouse operator, fertilizer warehouse operator) and evaluation of musculoskeletal disorders (MSDs) to the employees with ergonomic exposed to ergonomic hazard (e.g. fertilizer warehouse operator). Noted: a program to cover these parameters has been established and the results will be verified during next SAI Global audit.
6.
4.7 indicator
BAMM and all estates Found several substandard condition e.g. opened
Doc ID: 3843 / Issue Date May, 2014
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Completion Date 2012
PIC Process, Head of Assistant of BAMM
18 January 2012 31 January 2012
Closed
18 Jan 2012
Closed
18 Jan 2012
Closed
Environment Officer BMLE, UH BMLE Environment Officer BMLE, UH BMLE
Doctor of South Kalimantan Region 1, Safety Officer All Estate
Safety Officer, UH All Unit Mill &
Status
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No
RSPO Criterion major 1
Details
Corrective Action
electrical connection, belt not covered, fuel tank not provided with grounding and venting system, safety valve of compressor vessel not working etc (BAMM, SPNE, SPNA, BMME, BAME). Immediate actions have been taken to rectify the issue and generally the finding can be closed. However, during surveillance audit, the issues will be checked again to verify the effectiveness of actions taken.
Completion Date
PIC
provided with grounding and venting system, safety valve of compressor vessel not working etc. (BAMM, SPNE, SPNA, BMME, BAME) have been taken to rectify the issue and generally the finding can be closed. The effectiveness of actions taken can be shown with the preventive maintenance action for grounding and safety valve maintenance monthly.
Status
Estate
7.
4.7 indicator major 1
All Estates Even though the pressurized vessel (compressor vessel) having the permit for operation for local authority, however, the justification for safe operation could not been fully given based on the following facts. o Inspection conducted by local authority limited to visual inspection. No wall thickness measurement has been reported and compared to the minimum thickness as designed (all estates). o There was no evidence that safety valve regularly tested (all estates).
Inspection already taken for thickness measurement not only visual inspection and have been compared to thickness as designed (all estates). Inspection has been performed by Disnakertrans Kota Baru (Sungai Panci and BAME) at 7 June 2013.
Safety Officer, UH All Unit Mill & Estate
15 April 2012
Closed
8.
4.7 indicator major 1
BAMM The measurement of chemical factors at BAMM has been performed however the location of measurement was outside of the factory, not at workplace. While for all estates, the measurement of chemical factors at workplace has not been performed, e.g. fertilizer warehouse, chemical warehouse. The result of lighting level at BAMM indicating a non
The measurement of chemical factors at BAMM already performed inside of the factory, and all estates at fertilizer warehouse, chemical warehouse. All measurement has been conducted on 18 April 2012. Semester one 2013 on 22 – 23 April 2013 (Sungai panci) and Semester two on 3 November 2013. Result of lighting level at BAMM has been increase to normal result. With program to add more lighting.
Staff LH BAME, Environment Officer & Uh All Unit Mill & state Safety Officer, UH BAMM Doctor of South Kalimantan Region 1, Safety Officer &
15 March 2012 15 March 2012 20 Feb 2012
Closed
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No
RSPO Criterion
Details
Corrective Action
realistic result and has not been reviewed and compared to the minimum lighting level. The structure of follow up to the results of medical check up has not been established, e.g. statistical analysis, health promotion, preventive action and curative action to the employees having suspected health problem, e.g. some audiometric tests of employees of BAMM were classified not good.
Completion Date
PIC
Follow up for employees that having suspected health problem e.g. audiometric have been follow up with rotation action for employees that suspected. The statistical analysis have been performed also health promotion at 15 March 2013
UH All Unit Mill & Estate
Status
Progress Noted: A programme to monitor and measure the chemical factors at workplace has been established by LH Section. Results to be verified during next SAI Global surveillance audit. 9.
4.8 indicator major 2
Mill and all estates Even though the evidences of training of employees were evidence but the updating of personal training records still not consistent, e.g. many training has been performed in 2011 but the personal training records has not been updated.
The updating personal file training was evident.
Safety Officer All Unit Mill & Estate
18 Jan 2012
Closed
10.
5.2 indicator major 2
All Estates HCV management plan has been established however the plan has not address the issues (threats) present and not considered sufficient to conserve the HCV within the concession area.
Organization has been review and carrying out HCV management program, effective date on 01 January 2012. HCV management programs were described objective and target of each HCV management, and its implementation indicators. HCV management program including: Setting of boundaries and the tagging of river buffer zone. Planting areas of prone erosion to river bank and planting native species.
Environment Dept. JKTO Section HCV, SPO Officer PSM 3
28 Feb 2012
Closed
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No
RSPO Criterion
Details
Corrective Action
Completion Date
PIC
Status
Setting of protection signboards, including: prohibition to fish poison, prohibition to illegal logging on protected area and boundaries of pesticide application,
Organization was also developed and established monitoring program to ensure condition and the existence of HCVA, including: Routine patrol to protect HCV area from destruction activities, example: illegal logging and hunting wildlife, if any. Existences monitoring of HCV 1.2 and HCV 1.3 using list species method. Circular form SMD Operation #002/SE-SMD Ops/IX/2010 on September 20, 2010 was developed with regards to protected species. Monitoring condition and the existence of HCV boundaries. Consistence of HCV management implementation would be checked for next surveillance audit. 11.
5.3 indicator major 2
BAMM pH of water from neutralizing pond is checked daily. Result mentioned that it was inline with Ministry of Environment Degree #51/10/1995. Last measurement of quality of water from neutralizing pond with complete parameter was performed on 9 April 2007. Measurement result exceeded Ministry of Environment Degree #51/10/1995 for parameter BOD and COD. Complete measurement has not been performed any longer.
Doc ID: 3843 / Issue Date May, 2014
Complete parameter was measured on 4 January 2013 from water from neutralising pond. Result was inline with Kep-51/MENLH/10/1995 attachment IVB
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2 April 2012
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Closed
Audit Report
No 12.
RSPO Criterion 5.3 indicator minor 1
Details
Corrective Action
SPNE Based on official report of pesticides containers land-filling, pesticides containers was land-filled once in 2011, on 2 December 2011. Permit of temporary storage of hazardous waste mentioned that hazardous wastes are required to be kept within 180 days. Record of contaminated rags was not provided. Contaminated water from pit at area of diesel fuel loading pipe was overflowed due to pit was filled with rain water. Contaminated water from emergency shower or eyes wash was connected directly to open drainage.
Packaging of Erkafuron, Roll up and Rolixon was returned to supplier PT. Rolimex Kimia Nusantara on 15 October 2012 and 8 April 2013. Receipt note was evident. Packaging of starane and garlon was transported by PT. Maju Asri Jaya Utama on 18 October 2012 and 24 May 2013. Then the packaging was processed in PT. Wastec International. Agreement contract was provided. Record of contaminated rags has been provided and monitored monthly. Diesel fuel loading area has been repaired by adding the roof. Drainage and pit control in emergency shower area has been completed with cover.
Completion Date
PIC
Environment Officer SPNE, UH SPNE Environment Officer SPNE, UH SPNE UH SPNE Environment Officer SPNE, UH SPNE
Status
18 January 2012 2 March 2012 15 March 2012 31 January 2012
Closed
13.
6.6 indicator minor 1
BAMM Record of the results of the meeting SPM cannot be shown, but this meeting is held periodically every month.
Based on the results of meeting between unions and organizations, it was decided that meeting would be made conditional in accordance with the growing issue. Several minutes of meeting was checked during audit, example: - Union meeting on 08 April 2012, discussion of changes in PKB. - Union meeting on 4 April 2013, socialization of bonus - Union meeting on 13 April 2013, discussion about employee discipline problems
UH BAMM
18 January 2012
Closed
14.
6.10 indicator minor 1
BAMM The contractual agreement between mill and local business (smallholder) was expired in December
The latest contractual agreement between mill and local business (smallholder) for FFB purchase was available describing FFB specification required, contract period,
KTU BAMM, UH BAMM
15 March 2012
Closed
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No
RSPO Criterion
Details
Corrective Action
2011; the new contract was only “Statement Letter” that was not clearly described the payment term. 15.
2.1 indicator minor 2
BAME, SPNA and BAMM Mechanism for conducting evaluation of compliance with law and regulation has not been clearly described in the SOP/SPO/SMART/LH-03.
16.
4.4 indicator minor 1
BAMM SK Bupati Kota Baru #547/05.R/SIPA/DPE regarding permit of surface water abstraction mentioned that organization shall report quantity of surface water abstraction however the report could not be shown.
17.
4.6 indicator minor 3
18.
5.3 indicator minor 1
PIC
Completion Date
Status
determination of FFB pricing, and term of payment. Contract period was from 1 January to 31 December 2013. EHSD Staff
July 2013
Closed
Send regular report on the water usage quantity per month to the Department of Mines and Energy Kota Baru regency, a copy to the Department Revenue Kota Baru regency and Kalimantan selatan province
D&L
On going
Closed
BMLE and SPNA Worker data on January-Mei 2013, It was observed that overall sprayer is female. Based on Circulation letterSurat Edaran #001/SE-ADH3/BNJO/01/2010 (Pekerja wanita hamil dan menyusui serta pemeriksaan tenaga kerja), pregnancy tests should be carried out for every 4 months. However, it was not done. Currently, pregnancy analyses based on monthly menstruation leave records was conducted by organization to ensure that there are no pregnancy sprayers. However, it was observed that menstruation leave was only taken by several sprayers. Analyses method was not covered female sprayer which does no taken menstruation leave. So, they was no known whether pregnancy or not.
Check of pregnancy once in 4 months using direct inspection methods to women workers
Region doctor
On going
Closed
SPNA Copy #7 of hazardous waste manifest has not been provided for used battery.
Coordinate with the hazardous waste collector about copy #7of manifest for used batteries that has not been returned
EHSD Staff
July 2013
Closed
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No
19
RSPO Criterion
4.4 indicator minor 1
Details
Corrective Action
Status
Write manifest separately for each type of hazardous waste start next shipping
Staff EHSD and Environment Officer
July 2013
Closed
BAMM Used packaging of chemical laboratory from supplier Kastraco was returned to Kastraco without cleaning. It was noted that Kastraco has not permit as hazardous waste transporter.
Clean packaging of chemical laboratory, check rinse water, and then returned to Kastraco Engineering supplier
Staff EHSD and Environment Officer
September 2013
Closed
BAMM Disposal of Used packaging of chemical laboratory except from supplier Kastraco was not clear.
Clean packaging of chemical laboratory, check rinse water, and then packaging is landfilled
Staff EHSD and Environment Officer
September 2013
Closed
SPNE and BAME Water management data and evident of use efficiency cannot be shown complete and comprehensive.
Conducted efficiency analysis of water uses and establishing programme of water uses efficiency, comprising:
2. 3. 4.
6.3 indicator minor 5
Completion Date
SPNA Contaminated rags were processed in PT. Non Ferindo Utama as mentioned in the copy #7 of hazardous waste manifest. However PT. Non Ferindo Utama did not permit to process contaminated rags.
1.
20
PIC
Not enough evidence that laboratory analysis/testing of water quality has been performed periodically in Emplacement #1 (Division 1 and 2) Sungai Panci Estate. Ministry of Health regulation (Permenkes) #416/1990, in regard testing of clean water quality.
Doc ID: 3843 / Issue Date May, 2014
Mill and Estate
17/11/2014
Closed
Estate
17/11/2014
Closed
Performed calculation of domestic water necessity as the basic of water needs. Conducted monitoring in regard hour meter (HM) of water pump and duration of water distribution. Conducted calculation of water debit on the basis of hour meter times water pump capacity. Conducted monitoring of water installation to ensure that there is no leakage.
Conducted laboratory test/ analysis of water quality in Emplacement #1 (Division 1 and 2).
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No
RSPO Criterion
Details
Corrective Action
PIC
Completion Date
Status
Water analysis/testing has been conducted in clean water source at Emplacement #2 on October 21st 2013, meanwhile it was founded clean water source in Division 1 for domestic purpose in Emplacement #1 that has not been analysed/tested yet by the authority.
Mill Supply Chain Certification System No
SCCS Requirements
Details
Corrective Action
PIC
Completion Date
NONE Opportunities for improvement – RSPO No 1
RSPO Criterion Criterion 2.1
Locations Mill and Estates
Details
2
Criterion 4.1
Mill and Estates
3
Criterion 4.6
Mill and Estates
Doc ID: 3843 / Issue Date May, 2014
RSPO Principles and Criteria It could be considered to review evaluation result of compliance with regulation by not mentioning irrelevant regulation to avoid the writing mistake evaluation result of compliance. It could suggested to conducting and describe worker appointment mechanism available with related law and regulations since starting work as a BHL/PKWT to be SKU (permanent employee). It could be considered if all spraying worker and supervisor at BMLE and SPNA to be retrained about the best technique of spraying circle and path, e.g. at flat area the sprayer must walk around counter clockwise for the tree at the left of the path and walk around clockwise for the tree at the right of the path. It could be considered to make clear explanation to harvesters, so when interviewed the harvesters can explain what is harvesting vault. Consider making comprehensive training so that all employees implemented procedures of good agriculture practice, e.g.: FFB structure in TPH, EFB application, manual and chemical weeding and also compliance to upkeep rotation (time schedule). It could be considered to review quantity of used water cleaning of agrochemical. The quantity was bias, e.g. cleaning of 6 jerrycans 20 liter and 30 bottle 250 ml produced 4 liter of used water, cleaning of 6 jerrycans 20 liter and 40 bottle 250 ml produced 6 liter of used water. The organization has measured quality of used water from cleaning of Rolixone and Roll up packaging. It could be considered to measure quality of used water from cleaning of several packaging, e.g. Erkafuron. WORK ITEM:WI-700160 © SAI Global Limited Copyright 2008 - ABN 67 050 611 642
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No 4 5
RSPO Criterion Criterion 5.1 Criterion 5.2
Locations BAMM BAME
Details
6
Criterion 5.4
Mill and All Estates Mill and All Estates
7
Criterion 6.2
8
Criterion 6.3
Mill and All Estates
9
Criterion 6.5
BMLE
BAMM
BAMM
1
Doc ID: 3843 / Issue Date May, 2014
It could be considered to improve procedure of environmental aspect identification and evaluation by including mill in the scope of procedure. It highly recommended to: o Review of wildlife monitoring method in HCV management. There was potential that the method and time of monitoring was not accommodated migrant species (Bangau tontong) and species which its movement was affected of flowering and fruiting season. Wildlife monitoring methods was using list species where the officer does daily record protected wildlife. o Carrying out wildlife population monitoring on protected area, ( especial for HCV 1.3) and analyses of wildlife encountered intensity as part of HCV management effectiveness analyses that has been done. o Clarify program objectives and implementation status of HCV management as part of analyses of HCV management effectiveness, Especial for HCV 1.1 Buffer zone of Cagar alam. For example: Number and fixing procedure of HCV boundaries and also tagging procedure of buffer zone. It could be to review of the training program plan on 2013. Especially, related to awareness training of management and monitoring HCV on September 2013. Currently, organization has been appointed HCV Officer (SK #006/RSPO/BMLE/05/13, 1 Mei 2013), however HCV officer has not been obtained management and monitoring HCV training. Even so, during audit HCV Officer was sight that it has understood about HCV management and monitoring implementation. It could be considered to analyse efficiency of fossil fuel use by comparing with budget not only year by year. It was suggested to review stakeholders list and information list. Revenue Department of Kota Baru District and report of Constructor committee of Occupational Health and Safety-Panitia Pembina Kesehatan dan Keselamatan Kerja (P2K3) to local Manpower Department was not recorded on list of information. It could be to make an approach with local communities, especially regarding CSR program information and legal identities of area. Based on group discussion with stakeholders, there is complaint from Village Head of Serongga and Langadai related to damage of village roads that was used of organization. Besides also, there is complaint from Village Head of Serongga regarding legal identities on Gunung Kariwaya which is among SPNA and SPNE Strongly recommended for establish minimum standard of child care- Balai Penitipan Bayi (BAP), including: number of child on BPA, minimum age, coaching and development program of child. During audit, it was observed that number of child in BPA does ± 70 children. The age of child does between 8 months to 5 years. It was recommended to conducting review of PKWT contracts was signed before the establishment of Minimum Pay of Province- Upah Minimum Propinsi (UMP) 2013. Because, determination of wage in the contract was still refers to the UMP 2012. Even so, it was observed payment has been available with UMP 2013. RSPO Supply Chain There has been no trading claim of RSPO certified palm oil (CSPO) or palm kernel from BAMM, it is recommended the Mill to be registered at WORK ITEM:WI-700160 © SAI Global Limited Copyright 2008 - ABN 67 050 611 642
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No
RSPO Criterion
Locations
Details RSPO e-Trace to make claim of RSPO certified CPO or Kernel.
Doc ID: 3843 / Issue Date May, 2014
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Audit Report
Appendices C – Nonconformities and Opportunity for Improvement Summary Generic RSPO Principle and Criteria Organisation Name:
PT. SMART Tbk. – Batu Ampar Mill and its Supply Bases
Location:
Kabupaten Kotabaru, Kalimantan Selatan
Date:
Audit team leader:
Ria Gloria
Activity/Report ID:
License/Certificate No.:
RSPO40026
Employee Name:
Tono Sumartono
Date NCR Accepted:
08 August 2015
8 August 2015
Organisation’s acknowledgement of receipt of NCR
Classification
201501
Standard(s) & clause(s)
NCR Nr.
Section 1
RSPO Criterion 2.2 indicator minor 2
Minor
Details of non-conforming situation:
SAI Verification (how and when)
Section 2
Section 3
Section 4
Section 5
Organisation’s Response/Action Taken:
SAI Global Response Review:
SAI Global Verification of Corrective Action for Effectiveness:
SAI Global NCR Closure:
Non-conforming situation:
Due Date:
Root cause :
Several implementation of legal boundary has not been according to legal map.
Next surveillance
(how / why did it happen)
Requirement:
SAI Follow up Method: Evidence submitted
RSPO Criterion 2.2 indicator minor 2 Objective evidence: Identity of legal boundary was not according to legal map, e.g. legal boundary #16, #17, #18, #45 and #46 (BAME) Location of legal boundary was not according to legal map, e.g. #14 in Block F.09 Division II SPNE.
Identity was only for internal operation needs but the legal identity was not mentioned in the legal boundary. (BAME) Mistake of legal boundary location has been identified on 8 July 2015 during checking by PNMP. However until audit conduct the legal boundary has not been moved to determined location. (SPNE)
Response Acceptable (please see section 4 for details)
Reviewer:
Legal boundary has been reidentified according to legal map. Legal boundary #14 has been moved to coordinate with approved by BPN.
Ria Gloria NCR 2015 – 01 closed Date: 8 August 2015
Correction : (immediate fix)
Doc ID: 3843 / Issue Date May, 2014
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Name
Date
Ria Gloria
08.08. 2015
Audit Report
Classification
Standard(s) & clause(s)
NCR Nr.
Section 1 Details of non-conforming situation:
SAI Verification (how and when)
Section 2
Section 3
Section 4
Section 5
Organisation’s Response/Action Taken:
SAI Global Response Review:
SAI Global Verification of Corrective Action for Effectiveness:
SAI Global NCR Closure: Name
Date
Ria Gloria
08.08. 2015
Add legal identity without deleting internal identity. (BAME) Move legal boundary #14 to coordinate which approved by BPN. (SPNE) Corrective Action : (action to prevent recurrence)
Re-identify to all legal boundary according to legal map. (BAME) Conduct coordination with PMNP if during regular maintenance, position of the legal boundary was not according to legal map. 201502
RSPO Criterion 4.6 indicator major 6
Major
Non-conforming situation:
Due Date:
Root cause :
Several inconsistencies were found in pesticide containers handling.
07 November 2015
(how / why did it happen)
Requirement:
SAI Follow up Method: Evident submitted
RSPO Criterion 4.6 indicator major 6 Objective evidence: There was no evident that BAME received pesticide containers waste from the other Estate where logbook of the other Estate
Doc ID: 3843 / Issue Date May, 2014
Logbook of pesticide containers in BAME did not include quantity of pesticide containers waste from the other Estate. Pesticide was not contained in the original jerrycan.
Response Acceptable (please see section 4 for details)
Reviewer: Ria Gloria Date:
Correction :
WORK ITEM:WI-700160 © SAI Global Limited Copyright 2008 - ABN 67 050 611 642
Logbook has been completed with sources, all pesticide type containers and quantity from other Estate, e.g. SPNE and SPNA Pesticide container has been completed with hazard symbol. NCR 2015 – 02 closed
08 August 2015
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Audit Report
Classification
Standard(s) & clause(s)
NCR Nr.
Section 1 Details of non-conforming situation:
SAI Verification (how and when)
Section 2
Section 3
Section 4
Section 5
Organisation’s Response/Action Taken:
SAI Global Response Review:
SAI Global Verification of Corrective Action for Effectiveness:
SAI Global NCR Closure: Name
Date
Mujinius Jalaraya
7 Agust us 2015
(immediate fix)
mentioned that pesticide containers waste were sent to BAME. Pesticide container in SPNA Division II warehouse was not completed with label and hazard symbol,
Provide logbook by including sources, all pesticide type containers waste and quantity. Provide label and hazard symbol in the pesticide container Corrective Action : (action to prevent recurrence)
Record sources, all pesticide type containers and quantity in the logbook. .Disseminate hazardous waste handling to PIC
201503
RSPO Criterion 4.6 indicator minor 7
Minor
Non-conforming situation:
Due Date:
Root cause :
During field audit it was found that herbicide mixing for circle and path spraying performed were not conform with WI of Mixing spray solution
7 November 2015
(how / why did it happen)
Requirement: RSPO Criterion 4.6 indicator minor 7
SAI Follow up Method: (on site or evidence submitted)
- Lack of understanding from supervisors against herbicide work instruction - Lack of control and supervision from Asistant Correction : (immediate fix)
Response Acceptable (please see section 4 for details)
Reviewer: Mujinius Jalaraya
Corrective action has been performed by organization, herbicide mixing training and awareness related to herbicide and pesticide handling also delivered to workers and supervisor by Asisstan division directly in 7 August 2015. NCR 2015-03 closed
On site audit
Doc ID: 3843 / Issue Date May, 2014
WORK ITEM:WI-700160 © SAI Global Limited Copyright 2008 - ABN 67 050 611 642
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Classification
Standard(s) & clause(s)
NCR Nr.
Section 1 Details of non-conforming situation:
SAI Verification (how and when)
Objective evidence:
Major
Section 4
Section 5
Organisation’s Response/Action Taken:
SAI Global Response Review:
SAI Global Verification of Corrective Action for Effectiveness:
SAI Global NCR Closure:
Due Date:
Root cause :
07 November 2015
(how / why did it happen)
Requirement:
SAI Follow up Method: Evident submitted
Hazardous waste manifest #7 as evident that hazardous waste was processed in the authorised processor was not provided.
Hazardous waste manifest has #7 not been got from transforter before 120 days from transportation date
Response Acceptable (please see section 4 for details)
Hazardous waste manifest #7 completed with licensed processor has been provided. NCR 2015-04 closed
Reviewer: Correction :
Ria Gloria
(immediate fix)
Complete hazardous waste manifest #7
Date: 8 August 2015
Corrective Action : (action to prevent recurrence)
. Ask hazardous waste manifest
Doc ID: 3843 / Issue Date May, 2014
Ria Gloria
08.08. 2015
Date: 7.08.2015
- Ensure the workers and supervisor performed spraying job in accordance with Work instruction and enhance control and supervision from Asisstant
Processor of hazardous wastes was not clear
Objective evidence:
Date
(action to prevent recurrence)
Non-conforming situation:
RSPO Criterion 5.3 indicator major 2
Name
Corrective Action :
- There is no place/container for controlling spills of herbicides in the field and supervisors who conduct mixing didn’t use PPE faceshield
RSPO Criterion 5.3 indicator major 2
Section 3
- Conducting training and awareness and dissemination of WI herbicide mixing to improve understanding
- Field observation for spraying activity in Block E10 SPNA found herbicide mixing between Roll up and fresh water performed in field
201504
Section 2
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Details of non-conforming situation:
Classification
Standard(s) & clause(s)
NCR Nr.
Section 1 SAI Verification (how and when)
Section 2
Section 3
Section 4
Section 5
Organisation’s Response/Action Taken:
SAI Global Response Review:
SAI Global Verification of Corrective Action for Effectiveness:
SAI Global NCR Closure: Name
Date
to transporter by SPO Officer quarterly.
Mill Supply Chain Certification System No
SCCS Requirements
Details
Corrective Action
PIC
Completion Date
None
Opportunities for improvement – RSPO No
RSPO Criterion
Locations
Details RSPO Principles and Criteria
None RSPO Supply Chain None
Doc ID: 3843 / Issue Date May, 2014
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Appendices D – Stakeholder’s issues and comment
Date
Stakeholder
Observation
7/08/2 015
Union Leader SPSI-SPM of Estate and Mill
7/08/2 015
Gender committee
Doc ID: 3843 / Issue Date May, 2014
PT SMART Tbk. has implemented a national minimum wage standard in 2015, based in South Kalimantan Governor Regulations in 2014 No. 188.44 / 0632 / KUM / 2014; regarding the determination of Sectoral Minimum Wage South Kalimantan Province 2014 and management decision letter issued by the CEO3-PSM 3, that is: - Decree no. 106 / 24 / CEO3 / HR.PSM3 / 03/15; About wages SKUB, - Decree no. 105 / 23 / CEO3 / HR.PSM3 / 03/15; about wages SKUH, - Decree no. 104 / 22 / CEO3 / HR.PSM3 / 03/15; about wages BHL / PKWT Period meeting is held at least once a year to review the issue of labour/employee, the next is meeting with management will be held if there are problems related to the employee (will be made circular for a meeting). Meeting to discuss the PKB (Collective Labour Agreement) has always done every 2 years. Batu Ampar Estate and Mill facilitate rooms for a meeting (meeting room or office Estate Mill), while meeting the SPSI-SPM internal held in the room (working room belongs to the organization SPSI-SPM) which is also a facility provided by the company. There are complaints of the employees associated with the explanation / socialization BPJS those who have carried out by the company.
Feedback / Comment
- Based on an interview with Estate manager, that the dissemination of the plan BPJS will be held on July 3, 2015, but because of something that had to be rescheduled in September 2015 and will be held simultaneously on each Estate.
Organisation structure of gender committee has been revised on July 2014. Gender committee was routinely conducted dissemination to worker regarding sexual harassment handling, protection reproduction right, occupational health and safety, etc. The latest dissemination was held in September 2014. WORK ITEM: WI-700160 © SAI Global Limited Copyright 2008 - ABN 67 050 611 642
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Audit Report
Date
Stakeholder
Observation
Inventories drug in Batu Ampar Mill P3K space is lacking, since the program BPJS - feared when emergency drugs are not available.
Villagers around ethnically, Batak, Javanese, Sundanese and Banjar. There was no land conflict with surrounding community. Routinely companies provide assistance through CSR programs in the form of borrowing heavy equipment (excavators, graders and compactors), scholarships, assistance to the poor, religious facilities, etc. Access roads surrounding villages are always maintained by the company. Serongga village: Land acquisition has not been completed, the issue has been brought to DPRD. The location of the land is unclear between pondok 1 or pondok 2. The claim has since still PT Inti Gerak Maju, but reappeared in 2013.
7/08/2 015
Society/commu nity leaders and and village heads (Serongga, Langadai, Pantai, and Batu Ampar Village)
There was no sexual harassment occurred. No breastfeeding mother conducted work with chemical Menstruation leave is allowed on condition should take a rest in the clinic. Based on interviews with the head of the gender, that: once a month socialization on violence against women and children, as well as sexual harassment on employee, socialization carried out in the Central Employees Pondok II Batu Ampar Estate. There are cases associated with employees (status housewife), which is affected by breast cancer (employee Div. I) in July 2015.
Feedback / Comment
- The employee has been medical treatment in accordance with their rights and covered by the company. - The company plans to hold dissemination related to the control and prevention of breast cancer in the virgin employee in October 2015. - Drug stocks despite minimal but still available, if there is an emergency will be immediately referred to the Central Clinic BAME.
-
-
Doc ID: 3843 / Issue Date May, 2014
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The information submitted by the Village Head Serongga was unclear, so this is just an issue, however, will still be identified source of information and the truth. Companies in carrying out operations have been based on the existing
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Audit Report
Date
Stakeholder
Observation
Feedback / Comment
-
Serongga village: There is a proposal of a community that has not been responded by management.
-
All proposals submitted by the villagers and has been entered into the unit, confirmed to have been responded in accordance with the applicable procedures.
Ketua BPD Serongga: Health Assistance mass that had just implemented not yet programmed routine.
-
All program was created at the beginning of the year according to the budget approved by management and conducted in accordance with the set schedule.
Batu Ampar Village: There is a land claim in 2011 covering 41,7Ha, (location unspecified) and has up to court.
-
The information submitted by the Village Head Batu Ampar was unclear, so this is just an issue, however, will still be identified source of information and the truth. Companies in carrying out operations have been based on the existing legality, namely: HGU certificate issued by the competent authority. In the case a claim, should that be done in writing by submitting evidence of ownership is clear in law.
-
-
Doc ID: 3843 / Issue Date May, 2014
legality, namely: HGU certificate issued by the competent authority. In the case a claim, should that be done in writing by submitting evidence of ownership is clear in law.
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Audit Report
Date
Stakeholder
Observation -
-
-
7/08/2 015
Workers (fertilizing, spraying, mill processing, workshop)
-
-
-
-
7/08/2 015
Head of Independent Employee Cooperative (Koperasi Palma Indah)
-
-
Feedback / Comment
Organisation provided training for Occupational Health and Safety, personnel protective equipment were provided by organisation. Clean water was supplied from mill and several workers using wells water. Calculation of wage was determined by management in accordance with national regulation. No discrimination. Other than salary, employees get a ration of rice. The proportion of rice among others: 15 kg/month for workers, 11 kg/month for worker's wife and 7 kg/month for child of workers. There was several worker housing condition has been damaged including: roof leak and damage floor, however renovation was observed during field observation, renovation program was also available and the progress is monitored by Division assistant. Over all medical expense is covered by the company. There was no sexual harassment cause Pregnant test for women sprayer was conducted for ensuring that there was no pregnant worker. There were no sprayers that they are breastfeeding. The Company has given personal protective equipment to do the job, such as: helmets, gloves, masks and safety shoes. Organization was given building facilities for the cooperative operation. Monthly transaction report was monitored by cooperative manager with head administration. The annual meeting of members (RAT) has always done every year as chairman of the cooperative responsibility, conducted last month of December 2013. Profit sharing was done before the feast of Eid al-Fitr
There has been no feedback from letters sent.
Doc ID: 3843 / Issue Date May, 2014
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Appendices E – Definition of, and action required with respect to audit findings: RSPO Principle and Criteria: Major Nonconformities occur when system is failing to meet a relevant compulsory indicator. Action required: This category of findings requires SAI Global to issue a formal NCR; to receive and approve client’s proposed correction and corrective action plans; and formally verify the effective implementation of planned corrections and corrective action. Correction and corrective action plan must be submitted to SAI Global for approval within 14 days of the audit. Follow-up action by SAI Global must ‘close out’ the NCR or reduce it to a lesser category within 90 days or less where specified. Certificate of conformance to the RSPO Criteria cannot be issued while any major nonconformity is outstanding. Major nonconformities raised during surveillance audit shall be addressed within 60 days, or the certificate will be suspended. Major nonconformities not addressed within a further 60 days will result in the certificate being withdrawn. Minor Nonconformities occur when system is failing to meet other indicators. Action required: This category of findings requires SAI Global to issue a formal NCR; to receive and approve client’s proposed correction and corrective action plans; and formally verify the effective implementation of planned corrections and corrective action. In this instance, a certificate may still be awarded providing the root cause of the problem is identified and an acceptable plan is put in place to achieve the outstanding requirements in an agreed time frame. Verification will be made at subsequent surveillance audits. Minor nonconformities will be raised to major if they are not addressed by the following surveillance audit. Opportunity for Improvement is a documented statement, which may identify areas for improvement, but shall not make specific recommendation(s). Client may develop and implement solutions in order to add value to operations and management systems. SAI Global is not required to follow-up on this category of audit finding. RSPO Supply Chain Certification System: Major Nonconformities occur when system is failing to implement and/or maintain requirements of Supply Chain Certification System. Action required: This category of findings requires SAI Global to issue a formal NCR; to receive and approve client’s proposed correction and corrective action plans; and formally verify the effective implementation of planned corrections and corrective action. When non-conformances rose after the certification, RSPO shall be informed of these non-conformances within 7 days since nonconformance rose. A maximum of one month is given to the certified client to satisfactorily address the non-conformances. The effectiveness of the action taken for the non-conformances shall be assessed before closing out the non-conformances. Should the non-conformances not be addressed within the one month maximum time frame, a suspension or withdrawal of the certificate and a full re-audit may be necessary. Where objective evidence indicates that there has been a demonstrable breakdown in the supply chain caused by the certified client’s action or inactions, and that palm oil product that has been or is about to be shipped is falsely identified as RSPO certified product, immediate action needs to be taken by SAI Global, and the RSPO Supply Chain certification shall be suspended until such time that it has been addressed. The RSPO shall be notified within 24 hours of this occurrence and further impacts on relevant supply chain certifications. Area of concern issued when there is an area of the system for which the client is required to investigate potential non-conformity. Action required: SAI Global may require client to formulate preventive action plan for approval prior to next planned audit/certification decision or alternatively may follow up client’s preventive action at the next planned audit. Lack of client attention to such issues implies that a preventive action system is not working effectively. Opportunity for Improvement is a documented statement, which may identify areas for improvement, but shall not make specific recommendation(s). Client may develop and implement solutions in order to add value to operations and management systems. SAI Global is not required to follow-up on this category of audit finding.
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