© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

Type of document: RSB International Standard Status: Approved for certification Date: 1 March 2011 Version: 2.0

RSB Standard for risk management

RSB reference code: RSB-STD-60-001 Published by the Roundtable on Sustainable Biofuels, an initiative of the Energy Center of École polytechnique fédérale de Lausanne (EPFL). This publication or any part thereof may only be reproduced with the written permission of EPFL, the publisher. Any reproduction in full or in part of this publication must mention the title and reference code and credit the above-mentioned publisher as the copyright owner. Contact details: RSB - Roundtable on Sustainable Biofuels EPFL - Ecole Polytechnique Federale De Lausanne Energy Center Château de Bassenges, Station 5 CH - 1015 Lausanne Switzerland web: http://rsb.epfl.ch email: [email protected]

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Introduction In all kinds of economic activity, there is the potential for events and consequences that constitute opportunities for benefit or threats to success. Risk management is increasingly recognized as being concerned with both positive and negative aspects of risk. The RSB certification systems are based on a comprehensive risk management approach. The risk management approach is the overall strategic and operational course of action taken to minimize the risk to comprehensive, consistent, and transparent implementation of the RSB standards as well as to the stability and integrity of the RSB certification systems. The risk management approach is designed to identify and address the respective risks each constituent adds to the overall stability and integrity of the RSB certification systems. The approach identifies, evaluates and addresses at the level of each constituent the relevant risk factors which could compromise comprehensive, consistent and transparent implementation of the RSB standards. Through the risk management approach participating operators, certification bodies and the RSB certification system as a whole are able to focus especially on those areas of implementation of the RSB standards (and those constituents) which add risk to the RSB certification systems. In a system as complex as the RSB certification systems it is critical that each constituent and constituent group involved accepts responsibility and accountability for comprehensive, consistent and transparent implementation the RSB standards and systems. Moreover, in order to enable broadest possible flexibility in implementation of the RSB standards and RSB certification systems, it is critical that all constituents and constituent groups take responsibility for implementing their respective roles to the best of their ability. The risk management approach outlined below serves as a strong incentive to install accountability among all constituents in the RSB certification systems. A comprehensive risk management approach is introduced to ensure that all constituents and constituent groups are held accountable and assume responsibility for, and are evaluated according to the risk they add to the comprehensive, consistent and transparent implementation of the RSB standards and to the performance, integrity and stability of the RSB certification systems. The risk management approach is laid out in this RSB Standard for risk management In the context of the RSB certification systems risk is defined as the probability of social, environmental and/or economic damage to any organization, entity or person and/or the environment and/or the community at large resulting from deficient implementation of the RSB standards and/or RSB certification systems. Risk is expressed as the sum of: Ø the potential extent of damage resulting from deficient implementation of the RSB standards due to a risk factor PLUS Ø the probability of uncovering deficient implementation of the RSB standards due to a risk factor. The overall risk to the operation of a constituent is the sum of the risks associated with each risk factor in the operation. Risk factors are aspects of an operation which could result in damages if not implemented comprehensively, consistently and/or to the fullest extent possible. The risk management approach detailed in this standard is structured in 4 different stages – the risk identification, the risk evaluation, the risk management and risk monitoring. The risk identification is the stage where all risk factors which could compromise comprehensive, consistent, and transparent implementation of the RSB standards and the RSB certification systems are identified and documented.

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The risk evaluation is the stage where each risk factor which could compromise comprehensive, consistent, and transparent implementation of the RSB standards and the RSB certification systems is evaluated and where the overall risk to the operation is determined and documented. The risk management is the stage where management strategies and activities are developed, implemented and documented to address and minimize the risk associated with each risk factor and to ensure comprehensive, consistent, and transparent implementation of the RSB standards and the RSB certification systems. The risk monitoring is the stage where all risk factors and the risk management are monitored and assessed continuously to ensure minimum overall risk to the operation with respect to comprehensive, consistent, and transparent implementation of the RSB standards and the RSB certification systems. Participating operators in the RSB certification systems shall use the risk management approach to steer their respective operations to minimize associated risks and achieve full, comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems. RSB recognized certification bodies in the RSB certification systems shall use the risk management approach to steer their respective operations to minimize associated risks and ensure that auditing participating operators for compliance with the RSB standards is conducted with substantially equivalent effort and stability and that the assurance provided is substantially equivalent for all participating operators.

Important note: The risk factors focus on the general conditions under which the operation(s) of the participating operator are implementing the RSB Principles & Criteria, the RSB standards and the RSB certification systems, rather than the effort these operation(s) invest into implementing and complying with the RSB Principles & Criteria. Thus many of the risk factors especially those related to the RSB Principles & Criteria are beyond the control of the participating operator. While a high risk class does not give any indication on the level of compliance with the RSB Principles & Criteria by the participating operator, it may provide an indication that the participating operator is operating under most challenging conditions, and that the participating operator due to these challenging conditions likely has to expend significant effort to achieve compliance with the RSB Principles & Criteria. Only the independent evaluation of a participating operator is able to establish reliably the degree on compliance with the RSB Principles & Criteria, the RSB standards and the RSB certification systems. Thus a participating operator with a high risk class (i.e. risk class 5 or 6) can achieve or fail compliance with the RSB Principles & Criteria, the RSB standards and the RSB certification systems, just like a participating operator with a low risk class (i.e. risk class 1 or 2). While some of the RSB Principles & Criteria apply only to some participating operators (i.e. feedstock producers and/or feedstock processors and/or biofuels producers, etc.), the general risk factors and the risk factors related to the RSB Principles & Criteria apply to all participating operators.

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Table of contents A. Intent of this standard B. Scope of this standard C. Status and effective date D. Note on use of this standard E. References F. Terms and definitions G. Requirements of this standard 1. General requirements for risk assessment in the RSB certification systems 2. Risk identification 3. Risk evaluation 4. Risk assessment 5. Risk management 6. Risk monitoring 7. Exception to risk assessment Annex 1 – Risk factors Annex 2 – Minimum weighting assigned to risk factors Annex 3 – Risk evaluation Annex 4 – Risk classes according to the overall risk Annex 5 – Maximum intervals for periodic risk assessment Annex 6 – Minimum requirements for periodic evaluation

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  A. Intent of this standard The intent of this standard is to ensure that risks to the comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems are identified and minimized. Participating operators of the RSB certification systems shall implement the applicable requirements of this standard and achieve the intent of this standard and ensure the best performance, integrity and the stability of the RSB certification systems. More specifically the intent of this standard is to ensure that participating operators involved in the RSB certification systems: Ø identify the risks to comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems associated with their particular operations; Ø evaluate the risks to comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems associated with their particular operations; Ø develop, adopt and implement management strategies and activities to minimize such risks, Ø monitor continuously the risks to comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems associated with their particular operations, and thereby Ø ensure that each participating operator is fully aware of the risks it adds to the comprehensive, consistent and transparent implementation of the RSB standards and the stability and integrity of the RSB certification systems, and Ø ensure that each participating operator takes responsibility and is held accountable for the risks it adds to the comprehensive, consistent and transparent implementation of the RSB standards and the stability and integrity of the RSB certification systems. A comprehensive risk management approach at the level of each participating operator engaged in the RSB certification systems is an important decision-making tool that shall be used to identify and minimize existing problems, deficiencies, and potential risks. It is useful both for prioritizing management efforts and for evaluating the effectiveness of management efforts that are implemented. Participating operators in the RSB certification systems shall use the risk management approach to steer their respective operations to minimize associated risks and achieve comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems.

B. Scope of this standard This standard is an international standard and valid worldwide, and specifies the requirements for the risk management approach for participating operators engaged in the RSB certification systems. The standard defines and addresses the basic elements of a risk management approach, which shall be met by all participating operators in the RSB certification systems.

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C. Status and effective date The version 2.0 of the RSB Standard for risk management shall be effective on 1 March 2011.

D. Note on use of this standard All aspects of this standard are considered to be normative, including the intent, scope, standard effective date, note on the use of this standard, references, terms and definitions, and requirements, unless otherwise stated. Users implementing this standard shall ensure that the intent of this standard is met. To ensure that the intent of this standard is met users shall implement all of the requirements specified in this standard, and any and all additional measures necessary to achieve the intent of this standard.

E.

References RSB-STD-20-001

RSB Generic Chain of Custody Standard

RSB-STD-30-001

RSB Standard for participating operators

RSB-STD-50-001

RSB Standard on communication and claims

RSB-STD-70-001 RSB General requirements for certification bodies: The application of ISO/IEC Guide 65:1996 (E) RSB-STD-70-002

RSB Requirements for auditor qualification

RSB-STD-70-003 operators

RSB Requirements for evaluation of and reporting on participating

RSB-STD-70-004

RSB Requirements for certification bodies’ risk management

RSB-DOC-00-002

RSB Glossary of terms

ISO/IEC Guide 73

ISO/IEC Guide 73 Risk management – Vocabulary

ISO/DIS 31000

ISO 31000 Risk management – Principles and Guidelines on Implementation

F. Terms and definitions For the purposes of this International Standard, the terms and definitions given in RSBDOC-10-002 RSB Glossary of Terms shall apply.

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  G. Requirements of this standard 1. General requirements for risk assessment in the RSB certification systems 1. 1. The risk management approach shall be in compliance with ISO 31000 and the applicable requirements of the RSB standards. 1. 2. Participating operators shall develop, document and implement a risk management approach which includes the following 4 main stages: 1. 2. 1. risk identification – Risk identification is the stage in the risk management approach where all risk factors which could compromise comprehensive, consistent, and transparent implementation of the RSB standards and the RSB certification systems are identified and documented. 1. 2. 2. risk evaluation - Risk evaluation is the stage in the risk management approach where each risk factor which could compromise comprehensive, consistent, and transparent implementation of the RSB standards and the RSB certification systems is evaluated and where the overall risk to the operation is determined and documented. 1. 2. 3. risk management – Risk management is the stage in the risk management approach where management strategies and activities are developed, implemented and documented to address and minimize the risk associated with each risk factor and to ensure comprehensive, consistent, and transparent implementation of the RSB standards and the RSB certification systems. 1. 2. 4. risk monitoring – Risk monitoring is the stage in the risk management approach where all risk factors and risk management are monitored and assessed continuously to ensure minimum overall risk to the operation with respect to comprehensive, consistent, and transparent implementation of the RSB standards.

1. 3. The risk management approach shall specify the link to the operations objectives and to the comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems.

1. 4. Participating operators shall appoint a representative of the management holding overall responsible for the risk management approach.

1. 5. Participating operators shall provide the person holding overall responsibility for the risk management approach with sufficient resources to implement a comprehensive and consistent risk management approach.

1. 6. Staff responsible for implementing the risk management approach shall be properly trained and qualified.

1. 7. Staff responsible for risk management approach shall be knowledgeable of all aspects of the operation(s).

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1. 8. Staff responsible for risk management approach shall have access to any and all details of the operation.

1. 9. Participating operators shall maintain complete and up-to-date records covering all aspects of the risk management approach and all applicable requirements of this standard.

1. 10. Participating operators shall inform without delay the RSB SOE and the RSB recognized certification body of any changes in the risk management approach, the risk factors and associated risks, the overall risk to the comprehensive, consistent and transparent implementation of the RSB standards and the risk management plan associated with their respective operation.

1. 11. Participating operators shall retain all records and reports, including risk assessments, reports of stakeholder suggestions and training records for at least five (5) years.

1. 12. Participating operators shall inform all entities, sites, facilities, employees in its operation about the risk management approach, the risk factors and associated risks, the overall risk to the comprehensive, consistent and transparent implementation of the RSB standards and the risk management plan.

1. 13. Participating operators shall inform all sub-contractors and other independent third parties engaged in or possibly affecting the comprehensive, consistent and transparent implementation of the RSB standards about the risk management approach, the risk factors and associated risks, the overall risk and the risk management plan associated with the operation.

1. 14. Participating operators exceeding risk class 3 in the overall risk associated to their respective operation(s) shall implement a precautionary approach to the comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems.

1. 15. Participating operators exceeding risk class 3 in the overall risk associated to their respective operation(s) shall disclose upon request to other participating operators, to suppliers and to customers the risk factors and associated risks, as well as the overall risk to the comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems.

1. 16. Participating operators exceeding risk class 4 in the overall risk associated to their respective operation(s) shall inform suppliers and customers about the overall risk to

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the comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems.

1. 17. Participating operators exceeding risk class 5 in the overall risk associated to their respective operation(s) shall be listed by the RSB SOE as “very high risk operations”. The listing by the RSB SOE of “very high risk operations” shall be publicly available.

2.

Risk identification

2. 1. The participating operator shall identify relevant risk factors associated with the particular operation. This shall include the identification potential sources of risk to their respective operation as a whole and to any part thereof, and to the comprehensive, consistent and transparent implementation of the RSB standards, as well as the associated areas of impact, events and their causes and their potential consequences.

2. 2. The participating operator shall at minimum include in the risk identification the risk factors listed in Annex 1.

2. 3. The participating operator shall weight each risk factor. The weighting of each risk factor shall reflect the importance of the risk factor to the comprehensive, consistent and transparent implementation of the RSB standards in the operation. The weighting of each risk factor shall be the weighting listed for each risk factor in Annex 2. 2. 3.

1. The participating operator may apply on a case by case basis to change the weighting of a risk factor in exceptional circumstances, through its RSB recognized certification body. The certification body shall verify the validity of and rationale for such request to change the weighting of a risk factor.

2. 3.

2. If the request to change the weighting of a risk factor is found to be valid by the RSB recognized certification body, the certification body may recommend changing the weighting of the risk factor for the particular case to RSB SOE.

2. 3.

3. The RSB SOE shall consider and decide the recommendation to change the weighting of the risk factor for the particular case. The decision of the RSB SOE shall be final and binding.

2. 4. In addition to the risk factors listed in Annex 1 the participating operator shall identify any and all new risk factors which have the potential to compromise the comprehensive, consistent and transparent implementation of the RSB standards. The participating operator shall recommend such new risk factors to its RSB recognized certification body. The certification body shall verify the validity of and rationale for the new risk factor(s).

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2. 4.

1. If the recommendation for new risk factor(s) is found to be valid by the RSB recognized certification body, the certification body may recommend to the RSB SOE the new risk factor(s) together with the suggested weighting and the risk indicators for each of the risk classes of the new risk factor(s).

2. 4.

2. The RSB SOE shall consider and decide the recommendation for new risk factor(s). The decision of the RSB SOR shall be final and binding.

3.

Risk evaluation

3. 1. The participating operator shall evaluate for each risk factor identified the potential extent of damage resulting from deficient implementation of the RSB standards and/or RSB certification systems due to the risk factor. The potential extent of damage resulting from deficient implementation of the RSB standards and/or RSB certification systems due to the risk factor, shall include all possible social, environmental and/or economic damage to any organization, entity or person, and the environment and the community at large.

3. 2. The participating operator shall evaluate for each risk factor identified the probability of uncovering deficient implementation of the RSB standards due to the risk factor.  

3. 3. The participating operator shall evaluate for each risk factor identified the associated risk as the sum of: Ø the potential extent of damage resulting from deficient implementation of the RSB standards due to a risk factor PLUS Ø the probability of uncovering deficient implementation of the RSB standards due to a risk factor. using the risk indicators listed for each risk factor in Annex 3. or defined for new risk factors in accordance with section 2.4. The participating operator shall multiply the risk associated with each risk factor in the operation with the weighting identified in sections 2.3 and 2.4 respectively.

3. 4. The participating operator shall evaluate the overall risk to the operation as (the sum of the risks associated with each risk factor in the operation) divided by the total sum of the weightings assigned to risk factors (see annex 2).

3. 5. The participating operator shall identify its risk class according to the overall risk to the operation evaluated. The risk classes according to the overall risk are listed in Annex 4.

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  4.

Risk assessment

4. 1. The participating operator shall compile the risk identification (section 2.) and the risk eval uation (section 3.) as the risk assessment and submit the risk assessment to the RSB SOE and the RSB recognized certification body engaged by the participating operator.

4. 2. The participating operator shall conduct a risk assessment [risk identification (section2.) and the risk evaluation (section 3.)] in periodic intervals. The intervals shall correspond to the overall risk to comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems in the operation. The maximum intervals for risk assessment according to risk class are listed in Annex 5.

4. 3. The participating operator shall, in addition, conduct a risk assessment [risk identification (section2.) and the risk evaluation (section 3.)] when changes in the operation occur which affect one or more of the stages of the risk management approach.

4. 4. The participating operator shall submit the periodic risk assessment to the RSB SOE and the RSB recognized certification body engaged by the participating operator.

5.

Risk management

5. 1. The participating operator shall develop, for each risk factor identified and evaluated, strategic and operational management activities to minimize the associated risk to comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems.

5. 2. The participating operator shall prioritize the strategic and operational management activities and develop a comprehensive risk management plan including timelines and management indicators to minimize the risks to comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems.

5. 3. The participating operator shall implement the risk management plan to minimize the risks to comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems.

5. 4. The participating operator shall review and update the risk management plan for each risk assessment.

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6.

Risk monitoring

6. 1. The participating operator shall monitor implementation of the risk management plan for effectiveness in minimizing the risks to comprehensive, consistent and transparent implementation of the RSB standards and the RSB certification systems.

6. 2. The participating operator shall update and optimize the risk management plan according to the results of the risk monitoring.

7. Exception to risk assessment 7. 1. In case the risk management approach detailed in this standard does not result in a risk assessment which correctly reflects the overall risk associated with the operation(s) of the participating operator, the participating operator shall provide to the RSB recognized certification body engaged an updated risk assessment, and substantiating evidence that this risk assessment does not reflect correctly the overall risk associated with the operation(s) of the participating operator, and an application for exception to risk assessment together with a proposal for adjustment of the risk assessment.

7. 2. The participating operator shall include for each risk factor and risk indicator substantiating evidence whether it applies correctly to the operation(s) of the participating operator and if necessary a proposal for adjustment of the respective risk factor and risk indicator.

7. 3. The RSB recognized certification body engaged by the participating operator shall evaluate in a field audit in detail the proposal for adjustment of the risk assessment including all substantiating evidence and documentation and evaluate in particular any and all social, environmental and/or economic impacts which the risk assessment and the proposal for adjustment of the risk assessment could potentially have on the RSB, the RSB certification systems and other third parties.

7. 4. The RSB recognized certification body engaged by the participating operator shall document its observations and evidence collected in a certification report, and submit the certification report to peer review.

7. 5. The RSB recognized certification body shall submit the certification report together with the peer review to the certification decision entity.

7. 6. The RSB recognized certification body shall submit the certification report together

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with the peer review and the decision by certification decision entity to the RSB SOE for approval.

7. 7. The RSB SOE shall review the application for exception to risk assessment together with a proposal for adjustment of the risk assessment, the certification report the peer review and the decision by certification decision entity and decide on the application for exception to risk assessment. The RSB SOE may at its discretion approve, approve with amendments and/or conditions, or decline the application for exception to risk assessment. The RSB SOE may provide a rationale substantiating its decision but shall not be required to do so.

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  Annex 1 – Risk factors

General risk factors 1.

The risk factors listed in the following evaluate the general characteristic of the operation(s) of the participating operator and their respective operating environment, and apply to all participating operators.

1.

1.

total size of participating operator

This risk factor shall identify the risks associated with the total size of the participating operator.

1.

2.

legal entities

This risk factor shall identify the risks associated with the number and complexity of corporate legal structures involved in the operation(s) of the participating operator.

3.

geographic spread of the operation

This risk factor shall in particular analyze the risks associated with the complexity and extent of geographic spread the operation(s) controlled by the participating operator (e.g. accessibility of operations, the communication links within the organization, the physical time it takes to travel between operations, whether operations are in different countries/continents).

1.

4.

operational sites

This risk factor shall identify the risks associated with the number and complexity of operational sites involved in the operation(s) controlled by the participating operator.

1.

5.

operational facilities

This risk factor shall identify the risks associated with the number and complexity of operational facilities involved in the operation(s) controlled by the participating operator.

1.

6.

internal processing steps

This risk factor shall identify the risks associated with the number and complexity of internal processing steps undertaken and controlled by the operation(s) controlled by the participating operator.

1.

7.

sub-contractors

This risk factor shall identify the risks associated with the number and complexity of sub-contractors involved in and engaged by the operation(s) controlled by the participating operator.

1.

8.

This risk factor shall identify the risks associated with only part of the partial compliance with operation(s) of the participating operator being compliant with the RSB standards RSB standards and participating in the RSB certification systems.

9.

parallel acquiring, handling and forwarding RSB compliant and noncompliant biomass/biofuels

1.

1.

1.

10. supplier relations

This risk factor shall identify the risks associated with acquiring, handling and forwarding in parallel RSB compliant biomass/biofuels and biomass/biofuels not compliant or not evaluated for compliance with the RSB standards, the risks associated with mixing of compliant and non-compliant biomass/biofuels, and the risks associated with correct declaration of RSB compliant biomass/biofuels. This risk factor shall identify the risks associated with the number and complexity suppliers to the operation, supplier relations and supplier management by the operation(s) controlled by the participating operator.

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1.

11. customer relations

This risk factor shall identify the risks associated with the number and complexity customers to the operation, customer relations and customer management by the operation(s) controlled by the participating operator.

1.

12. scope of products

This risk factor shall identify the risks associated with the diversity and complexity of products acquired, handled and forwarded by the operation(s) controlled by the participating operator.

13. employee structures

This risk factor shall identify the risks associated with number of employees, complexity of employee structures, employee relations and employee management by the operation(s) controlled by the participating operator. It shall in particular analyze employee qualification, turnover, employment security, position management, and other aspects which influence employee performance.

1.

14. internal controls

This risk factor shall identify the risks associated with existence or lack of internal control structures as well as their respective management and effectiveness in the operation(s) controlled by the participating operator.

1.

organizational and 15. decision making structures

This risk factor shall identify the risks associated with complexity and clarity of organizational structures, decision making structures, management structures, definition of responsibilities and access to decision makers in the operation(s) controlled by the participating operator.

1.

16. quality management

This risk factor shall identify the risks associated with existence or lack of quality management structures as well as their respective management and effectiveness in the operation(s) controlled by the participating operator.

1.

calculation and 17. maintenance of conversion factors

This risk factor shall identify the risks associated with accurately determining conversion factors, including the methodology for establishing them and for ensuring that they are kept updated in the operation(s) controlled by the participating operator.

1.

length and complexity This risk factor shall identify the risks associated with the length and 18. of the chain of custody complexity of the chain of custody in the operation(s) controlled by the participating operator.

1.

This risk factor shall identify the risks associated with experience of the participating operator with implementation of and conformity assessment against independent standards. It shall in particular analyze the experience of the participating operator, whether the participating operator is implementing other biomass certification schemes, other social, environmental, economic, and/or management 19. history of certification standards and independent conformity assessment, whether the participating operator has already identified and addressed major problems (and/or associated risks) when implementing other standards systems, and/or excluded from participation in any other social, environmental, economic, and/or management standards scheme for lack of compliance (performance).

1.

This risk factor shall identify the risks associated with conflict of interest and corruption related to the operations of the participating operator. It shall in particular analyze the existence, implementation and effectiveness of systems to avoid and manage conflict of interest, and corruption in the operation(s) controlled by the participating operator.

1.

management of 20. conflicts of interest and risk of corruption

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1.

legal issues and 21. judiciary actions pending

This risk factor shall identify the risks associated with legal issues and judiciary actions pending in the operation(s) of the participating operator. It shall in particular analyze whether judiciary action, legal disputes and/or prosecution for criminal wrongdoing are pending against the participating operator and/or any part of the operation(s) controlled by the participating operator.

1.

22.

stakeholder involvement

This risk factor shall identify the risks associated with mechanisms for receiving, seeking and/or encouraging stakeholder input with respect to the operation(s) controlled by the participating operator.

1.

non-compliances issued during the last 23. independent evaluation

This risk factor shall identify the risks associated with number and complexity of non-compliances issued at the most recent independent evaluation by a RSB recognized certification body to the operation(s) controlled by the participating operator.

1.

major noncompliances issued 24. during the last independent evaluation

This risk factor shall identify the risks associated with number and complexity of major non-compliances issued at the most recent independent evaluation by a RSB recognized certification body to the operation(s) controlled by the participating operator.

1.

1.

25.

26.

non-compliances pending

This risk factor shall identify the risks associated with number and complexity of non-compliances which are still pending (i.e. not brought into compliance with the RSB standards and RSB certification systems) at the time of risk assessment of the operation(s) controlled by the participating operator.

major noncompliances pending

This risk factor shall identify the risks associated with number and complexity of major non-compliances which are still pending (i.e. not brought into compliance with the RSB standards and RSB certification systems) at the time of risk assessment of the operation(s) controlled by the participating operator.

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  Risk factors related to the RSB Principles & Criteria The risk factors listed in the following are specifically designed to evaluate the risk to comprehensive and consistent implementation of and compliance with the RSB Principles & Criteria.

2.

These risk factor focus on the general conditions under which the operation(s) of the participating operator are implementing the RSB Principles & Criteria, rather than the effort these operation(s) invest to implement and comply with the RSB Principles & Criteria. Thus most of the risk factors related to the RSB Principles & Criteria are beyond the control of the participating operator. While a high risk does not give any indication as to the implementation of and compliance with the RSB Principles & Criteria by the participating operator, it may provide an indication that the participating operator is operating under most challenging conditions and likely has to expend significant additional effort to achieve compliance with the RSB Principles & Criteria. While some of the RSB Principles & Criteria apply only to some participating operators (i.e. feedstock producers and/or feedstock processors and/or biofuels producers, etc.), the risk factors related to the RSB Principles & Criteria apply to all participating operators.

2.

1.

Principle 1: Biofuel operations shall follow all applicable laws and regulations.

2.

2.

Principle 2: Sustainable biofuel operations shall be planned, implemented, and continuously improved through an open, transparent, and consultative Environmental and Social Impact Assessment (ESIA) and an economic viability analysis.

2.

3.

Principle 3. Biofuels shall contribute to climate change mitigation by significantly reducing lifecycle GHG emissions as compared to fossil fuels.

2.

4.

Principle 4. Biofuel operations shall not violate human rights or labor rights, and shall promote decent work and the well-being of workers.

2.

5.

Principle 5. In regions of poverty, biofuel operations shall contribute to the social and economic development of local, rural and indigenous people and communities.

2.

6.

Principle 6. Biofuel operations shall ensure the human right to adequate food and improve food security in food insecure regions.

2.

7.

Principle 7. Biofuel operations shall avoid negative impacts on biodiversity, ecosystems, and other conservation values.

2.

8.

Principle 8: Biofuel operations shall implement practices that seek to reverse soil degradation and/or maintain soil health.

2.

9.

Principle 9. Biofuel operations shall maintain or enhance the quality and quantity of surface and ground water resources, and respect prior formal or customary water rights.

2.

10.

Principle 10. Air pollution from biofuel operations shall be minimized along the supply chain.

2.

Principle 11. The use of technologies in biofuel operations shall seek to maximize 11. production efficiency and social and environmental performance, and minimize the risk of damages to the environment and people.

2.

12. Principle 12. Biofuel operations shall respect land rights and land use rights.

RSB-STD-60-002-vers.2.0-RSB Standard for risk management

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© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

  Annex 2 – Minimum weighting assigned to risk factors

Risk factors

minimum weighting

1. General risk factors 1.

1. total size of participating operator

3

1.

2. legal entities

3

1.

3. geographic spread of the operation

3

1.

4. operational sites

2

1.

5. operational facilities

2

1.

6. internal processing steps

1

1.

7. sub-contractors

3

1.

8. partial compliance with RSB standards

4

1.

9.

parallel acquiring, handling and forwarding RSB compliant and non-compliant biomass/biofuels

4

1. 10. supplier relations

3

1. 11. costumer relations

2

1. 12. scope of products

3

1. 13. employee structures

2

1. 14. internal controls

2

1. 15. organizational and decision making structures

4

1. 16. quality management

4

1. 17. calculation and maintenance of conversion factors

3

1. 18. length and complexity of the chain of custody

3

1. 19. history of certification

3

1. 20. management of conflicts of interest and risk of corruption

4

1. 21. legal issues and judiciary actions pending

2

1. 22. stakeholder involvement

1

1. 23. non-compliances issued

1

1. 24. major non-compliances issued

3

1. 25. non-compliances pending

1

1. 26. major non-compliances pending

3

SUM OF THE WEIGHTINGS ASSIGNED TO GENERAL RISK FACTORS

69

 

RSB-STD-60-002-vers.2.0-RSB Standard for risk management

18

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

  2. Risk factors related to the RSB Principles & Criteria 2.

1. Principle 1: Legality

1

2.

2. Principle 2: Planning, monitoring and continuous improvement  

1

2.

3. Principle 3: Greenhouse gas emissions  

1

2.

4. Principle 4: Human and labor rights  

1

2.

5. Principle 5: Rural and social development  

1

2.

6. Principle 6: Local food security  

1

2.

7. Principle 7: Conservation  

1

2.

8. Principle 8: Soil  

1

2.

9. Principle 9: Water  

1

2. 10. Principle 10: Air  

1

2. 11. Principle 11: Use of technology, inputs, and management of waste  

1

2. 12. Principle 12: Land rights  

1

SUM OF THE WEIGHTINGS ASSIGNED TO RISK FACTORS RELATED TO THE RSB PRINCIPLES & CRITERIA

12

TOTAL SUM OF THE WEIGHTINGS ASSIGNED TO RISK FACTORS

81

     

RSB-STD-60-002-vers.2.0-RSB Standard for risk management

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© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

  Annex 3 – Risk evaluation

potential extent of damage resulting from deficient implementation of a risk factor the probability of uncovering deficient implementation of a risk factor

6

5

4

3

2

1

(extremely high)

(very high)

(high)

(medium)

(low)

(very low)

6

5

4

3

2

1

(extremely low)

(very low)

(low)

(medium)

(high)

(very high)

1

small entities:

< 0.01 % of the total size of the sector across the region1/regions of the participating operator

2

medium entities:

> 0.01 % of the total size of the sector across the region/regions of the participating operator

3

large entities:

> 0.1 % of the total size of the sector across the region/regions of the participating operator

Where for a risk factor only a single set of indicators is given the participating operator shall apply this set of indicators to determine the respective risk class. This applies to risk indicators 1.1; 1.3; 1.4; 1.5; 1.6; 1.8; 1.12; 1.15; 1.16; 1.17; 1.21; 1.22; 1.23; 1.24; 1.25; 1.26. Where for a risk factor separate alternative indicator sets are given for small entities and/or medium entities and/or large entities, the participating operator shall evaluate for this risk factor the indicator set appropriate to the operation(s) under his control. This applies to risk indicators 1.2; 1.7; 1.10; 1.11; 1.13. Where two or more complementary sets of indicators are provided for a risk factor, the participating operator shall evaluate each complementary set of indicators separately and average the resulting risk classes to determine the risk class for the respective risk factor. This applies to risk indicators 1.7; 1.9; 1.10; 1.11; 1.13; 1.14; 1.18; 1.19; 1.20.

                                                                                                                1

region is defined here as the sub-national legislative division (also referred to as sub-national state, etc.)

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

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© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

4.5 1.1.

total size of participating operator

1.2.1. legal entities are small1 entities

1.2.

1.2.2. legal entities legal entities are medium2 entities 1.2.3.

no indicator

1.5

total size of the participating operator is > 0.1 % total size of the participating operator is > total size of the participating operator is < 0.01 of the total size of the sector across the 0.01 % of the total size of the sector % of the total size of the sector across the region/regions where the participating operator is across the region/regions of the region/regions where the participating operator located participating operator is located is located

6 participating operator controls a high number of legal entities (more than 2500)

3

5

4

3

2

1

participating operator controls less than 2500 legal entities

participating operator controls less than 1000 legal entities

participating operator controls less than 500 legal entities

participating operator controls less than 100 legal entities

participating operator controls only one legal entity

4

3

2

1

6

5 participating operator participating operator controls a high number of controls less than 500 legal legal entities (more than entities 500) 6

5

participating operator controls less than 250 legal entities 4

participating operator participating operator controls less than 100 legal controls less than 25 legal entities entities 3

legal entities participating operator participating operator participating operator participating operator are large3 controls a high number of controls less than 25 legal controls less than 15 legal controls less than 10 legal entities legal entities ( 25 or more) entities entities entities

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

participating operator controls only one legal entity

2

1

participating operator controls less than 5 legal entities

participating operator controls only one legal entity

21

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

 

6 1.3.

1.4.

1.5.

geographic spread of the operation

operational sites

operational facilities

5

4

3

2

1 participating operator participating operator participating operator participating operator participating operator controls operations in more controls operations in less controls operations in less participating operator controls operations in less controls operations in less than 10 different countries than 10 different countries than 3 different neighboring controls operations in one than 10 different countries than 6 different countries on more than two different on more than two different countries on one continent country only on two continents only on one continent only continents continents only

6

5

4

3

2

1

participating operator controls more than 25 operational sites per legal entity

participating operator controls less than 25 operational sites per legal entity

participating operator controls less than 10 operational sites per legal entity

participating operator controls less than 6 operational sites per legal entity

participating operator controls less than 3 operational sites per legal entity

participating operator controls only one operational site per legal entity

6

5

4

3

2

1 participating operator participating operator participating operator participating operator participating operator participating operator controls an average of controls an average of less controls an average of less controls an average of less controls an average of less controls an average of 1 more than 25 facilities per than 25 facilities per than 10 facilities per than 6 facilities per than 3 facilities per facility per operational site operational site operational site operational site operational site operational site

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

22

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

 

1.6.

internal processing steps

6

5

participating operator controls a high number of internal processing steps (more than 25) per operational site

participating operator controls a low number of internal processing steps (less than 25) per operational site

4

3

participating operator participating operator participating operator controls a low number of controls a medium number controls a low number of internal processing steps of internal processing steps internal processing steps (less than 15) per (less than 10) per (less than 6) per operational site operational site operational site

3 1.7.1.1. legal entities are small1 entities

1.7.

no indicator

no indicator

no indicator

5

4

subcontractors 1.7.1.2. legal entities are medium2 or large3 entities

no indicator

sub-contractors engaged in more than 80% of the legal entities, operational sites, operational facilities and internal processing steps controlled by the participating operator

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

2

2

1 participating operator controls a low number of internal processing steps (less than 3) per operational site

1

sub-contractors engaged in sub-contractors engaged in sub-contractors engaged 50% or more of the legal less than 50% of the legal in less than 10% of the entities, operational sites, entities, operational sites, legal entities, operational operational facilities and operational facilities and sites, operational facilities internal processing steps internal processing steps and internal processing controlled by the controlled by the steps controlled by the participating operator participating operator participating operator 3

2

1

sub-contractors engaged sub-contractors engaged sub-contractors engaged in sub-contractors engaged in in less than 10% of the in more than 50% of the less than 50% of the legal less than 25% of the legal legal entities, operational legal entities, operational entities, operational sites, entities, operational sites, sites, operational facilities sites, operational facilities operational facilities and operational facilities and and internal processing and internal processing internal processing steps internal processing steps steps controlled by the steps controlled by the controlled by the controlled by the participating operator participating operator participating operator participating operator

23

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

4 1.7.2.1. legal entities are small1 entities

no indicator

no indicator

6

5

total number of personnel total number of personnel engaged by subengaged by sub-contractors contractors in the legal in the operation(s) of the operation(s) of the entities are participating operator is participating operator is medium2 or 50% or more of the total more than 75% of the large3 number of personnel number of personnel entities employed in the employed in the operation(s) controlled by operation(s) controlled by the participating operator the participating operator 1.7.2.2.

6 1.7.3. all legal entities

sub-contractors engaged primarily on an activity basis – no continuity

5

total number of personnel engaged by subcontractors in the operation(s) of the participating operator is 75% or more of the total number of personnel employed in the operation(s) controlled by the participating operator 4 total number of personnel engaged by subcontractors in the operation(s) of the participating operator is less than 50% the total number of personnel employed in the operation(s) controlled by the participating operator

4

3 total number of personnel engaged by sub-contractors in the operation(s) of the participating operator is less than 75% of the total number of personnel employed in the operation(s) controlled by the participating operator.

3 total number of personnel engaged by sub-contractors in the operation(s) of the participating operator is less than 35% of the total number of personnel employed in the operation(s) controlled by the participating operator.

3

2

1

total number of personnel total number of personnel engaged by subengaged by sub-contractors contractors in the in the operation(s) of the operation(s) of the participating operator is less participating operator is than 35% of the total less than 10% of the total number of personnel number of personnel employed in the employed in the operation(s) controlled by operation(s) controlled by the participating operator. the participating operator 2

1

total number of personnel total number of personnel engaged by subengaged by sub-contractors contractors in the in the operation(s) of the operation(s) of the participating operator is less participating operator is than 20% of the total less than 10% of the total number of personnel number of personnel employed in the employed in the operation(s) controlled by operation(s) controlled by the participating operator. the participating operator

2

1

sub-contractors engaged sub-contractors engaged sub-contractors engaged for sub-contractors engaged in sub-contractors engaged in the long term for more primarily on a project by more than 3 consecutive the long term for more than for more than 1 year on than 10 consecutive years project basis – little years on average – decent 5 consecutive years on average – some continuity on average – excellent continuity continuity average – good continuity continuity

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

24

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

 

6

1.8.

partial compliance with RSB standards

1.9.

4

3

2

1 less than 10 % of the less than 25 % of the less than 50 % of the more than 75 % of the more than 90 % of the all operations controlled by operations controlled by operations controlled by the operations controlled by operations controlled by the operations controlled by the the participating operator the participating operator participating operator the participating operator participating operator participating operator comply with the RSB comply with the RSB comply with the RSB comply with the RSB comply with the RSB comply with the RSB standards standards standards standards standards standards

6

parallel acquiring, handling, and forwarding of RSB compliant and noncompliant biomass/biofuels

5

5

4 3 2 1 participating operator participating operator participating operator participating operator participating operator acquires, handles, and acquires, handles, and acquires, handles, and acquires, handles, and acquires, handles, and participating operator forwards on a regular basis forwards RSB compliant forwards < 50% RSB forwards > 50% RSB forwards > 90% RSB acquires, handles, and < 10% RSB compliant biomass/biofuels at compliant biomass/biofuels compliant biomass/biofuels compliant biomass/biofuels forwards only RSB biomass/biofuels and > irregular intervals on a case and > 50% non-compliant and < 50% non-compliant and < 10% non-compliant compliant biomass/biofuels 90% non-compliant by case basis biomass/biofuels biomass/biofuels biomass/biofuels biomass/biofuels 6

5

4 3 2 1 repeated incidents of isolated incident of no discarding of RSB no discarding of RSB no discarding of RSB no discarding of RSB discarding of RSB discarding of RSB compliant biomass/biofuels compliant biomass/biofuels compliant biomass/biofuels compliant biomass/biofuels compliant biomass/biofuels compliant biomass/biofuels material within the past 12 material within the past 24 material within the past 36 material within the past 12 material within the past 12 material within the past 12 months because of months because of months because of months because of months because of months because of deficient tracking; deficient tracking; deficient tracking; deficient tracking; deficient tracking; deficient tracking;

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

25

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

 

1.10.1.1. suppliers are small1 entities

6

5

4

3

2

1

more than 2500 suppliers

less than 2500 suppliers

less than 1000 suppliers

less than 500 suppliers

less than 250 suppliers

less than 100 suppliers

6

5

4

3

2

1

more than 250 suppliers

less than 250 suppliers

less than 100 suppliers

less than 50 suppliers

less than 25 suppliers

less than 10 suppliers

6

5

4

3

2

1

more than 50 suppliers

less than 50 suppliers

less than 25 suppliers

less than 10 suppliers

less than 5 suppliers

1 supplier

5

4

3

2

1.10.1.2. supplier relations

suppliers are medium2 entities 1.10.1.3.

1.10.

suppliers are large3 entities

6

1.10.2. all legal entities

1

suppliers engaged in the suppliers engaged primarily suppliers engaged for more suppliers engaged in the suppliers engaged primarily suppliers engaged for more long term for more than 10 on case by case basis than 3 consecutive years long term for more than 5 on a project by project than 1 year on average – consecutive years on (spot market) – no on average – decent consecutive years on basis – little continuity some continuity average – excellent continuity continuity average – good continuity continuity 5 no controlling of suppliers - no relations

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

4 irregular occasional controlling of suppliers – unstable relations

2 systematic controlling of suppliers on a regular basis – stable relations

26

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

 

1.11.1.1. 6 5 customers 1 are small more than 2500 customers less than 2500 customers entities

4

3

2

1

less than 1000 customers

less than 500 customers

less than 250 customers

less than 100 customers

1.11.1.2. customer customers relations are medium2 entities

6

5

4

3

2

1

more than 250 customers

less than 250 customers

less than 100 customers

less than 50 customers

less than 25 customers

less than 10 customers

6

5

4

3

2

1

more than 50 customers

less than 50 customers

less than 25 customers

less than 10 customers

less than 5 customers

1 customer

6

5

customers engaged primarily on case by case basis (spot market) – no continuity

customers engaged primarily on a project by project basis – little continuity

1.11.1.3. 1.11.

customers are large3 entities

1.11.2. all legal entities

1.11.3.

5

all legal entities

no controlling by customers - no relations

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

1 customers engaged in the customers engaged for customers engaged in the long term for more than 10 customers engaged for more than 3 consecutive long term for more than 5 consecutive years on more than 1 year on years on average – decent consecutive years on average – excellent average – some continuity continuity average – good continuity continuity 4

4 irregular occasional controlling by customers – unstable relations

3

2

2 systematic controlling by customers on a regular basis – stable relations

27

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

 

5 1.12. scope of products

no indicator

4

1.13.1.2. legal 1.13. employee entities structures are medium2 or large3 entities

no indicator

all legal entities

1

no indicator

participating operator acquires handles, and forwards only 1 type of RSB compliant biomass/biofuels product

4

3

2

1

employee turnover is 50% or more per year

employee turnover is less than 50% / year

employee turnover is less than 25% / year

employee turnover is less than 10% / year

(not including seasonal (not including seasonal (not including seasonal (not including seasonal labor in primary production) labor in primary production) labor in primary production) labor in primary production) 6 employee turnover is higher than 50% per year

5

4

employee turnover is 30% employee turnover is 15% or more per year or more per year

3

2

1

employee turnover is less than 15% / year

employee turnover is less than 10% / year

employee turnover is less than 5% / year

(not including seasonal (not including seasonal (not including seasonal (not including seasonal (not including seasonal (not including seasonal labor in primary production) labor in primary production) labor in primary production) labor in primary production) labor in primary production) labor in primary production)

3 1.13.2.

2

participating operator participating operator participating operator participating operator acquires handles, and acquires handles, and acquires handles, and acquires handles, and forwards 50 or more types forwards less than 50 types forwards less than 10 types forwards less than 5 types of RSB compliant of RSB compliant of RSB compliant of RSB compliant biomass/biofuels product biomass/biofuels product biomass/biofuels product biomass/biofuels product

1.13.1.1. legal entities are small1 entities

3

no indicator

4.5 employees are instructed for the position occupied

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

employees are specifically trained for the position occupied

1.5 employees are specifically trained, and regularly retrained and examined for the position occupied

28

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

 

no indicator

1 controls exist for all aspects related to implementation of the RSB standards; incentives exist for improvement of internal controls, internal controls backed-up by external controls

no indicator

1 controls exist for all aspects related to implementation of the RSB standards; incentives exist for improvement of internal controls, internal controls backed-up by external controls

no indicator

1 controls exist for all aspects related to implementation of the RSB standards; incentives exist for improvement of internal controls, internal controls backed-up by external controls

3 1.14.1.1. at the level of the legal entities

6

5

no internal control

sporadic internal controls in response to problems, complaints and/or disputes

no indicator

controls exist for most important aspects related to implementation of the RSB standards, controls are documented; improvement is possible

3 1.14.1.2.

1.14.

internal controls at the level of the site

6

5

no internal control

sporadic internal controls in response to problems, complaints and/or disputes

no indicator

3

1.14.1.3. at the level of the internal processing step

controls exist for most important aspects related to implementation of the RSB standards, controls are documented; improvement is possible

6

5

no internal control

sporadic internal controls in response to problems, complaints and/or disputes

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

no indicator

controls exist for most important aspects related to implementation of the RSB standards, controls are documented; improvement is possible

29

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

 

6

organizational and 1.15. decision making structures

3

no clear organizational 4.5 structures and decision making structures defined; organizational structures and decision-making decision making not mechanisms not communicated and implemented delegated but very clearly and consistently; decision makers not available centralized; decision and accessible continuously; makers not available and/or accessible;

no internal quality management system/monitoring/ auditing

1.5 organizational structures and decision-making mechanisms communicated clearly and implemented consistently; decision makers available and accessible continuously; efficiency and effectiveness of structures continuously monitored and improvements implemented; decision-makers specifically trained for employee management;

1

6 1.16. quality management

organizational structures and decision-making mechanisms communicated and implemented clearly and consistently; decision makers available and accessible continuously;

4.5

2.5

basic internal quality management system, sporadic internal monitoring/auditing

internal quality management system fully developed, internal monitoring/auditing conducted regularly

4

internal quality management system fully implemented and third party certified

3

1.5 participating operator uses participating operator consistently in all participating operator uses consistently in all operations participating operator uses establishes systematically operations conversion conservative industry standard conversion factors which its own conversion factors and uses its own factors established are established independently and used widely in the not consistently in all conversion factors independently; conversion industry; conversion factors regularly monitored and operations consistently in all factors regularly monitored independently audited operations and independently audited 5

calculation and 1.17. maintenance of conversion factors

no indicator

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

30

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

 

3

length and complexity 1.18. of the chain of custody

6

4.5

supply chain length unknown

participating operator works in and links into supply chains more than 10 steps on average

6

4.5

supply chain length unknown

2

1

participating operator works participating operator works participating operator works in and links into short in and links into short in and links into supply supply chains of more no supply chains of more no chains more than 5 steps more than 5 steps on more than 3 steps on on average average average 3

1.5 supply chain length varies supply chain length varies no more than ± 8 steps from supply chain length varies no more than ± 2 steps from no more than ± 4 steps average average from average

6

5

more than 50% of the participating operator works suppliers and customers in and links into spot change per year- very market unstable supply chains

4

3

2

1

less than 50% of the suppliers and customers change per year- unstable supply chains

less than 20% of the suppliers and customers change per year- stable supply chains

less than 10% of the suppliers and customers change per year – very stable supply chains

less than 5% of the suppliers and customers change per year- very stable supply chains

 

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

31

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

 

1.19. history of certification

6

5

certification previously terminated or declined in RSB certification systems

certification currently suspended in RSB certification systems

6

5

certification previously terminated or declined in other natural resources certification system(s)

certification currently suspended in other natural resources certification system(s)

successfully certified in other natural resources certification system(s)

5

4

6

certification previously certification currently terminated or declined in suspended in management management systems systems certification certification

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

4 successfully certified in RSB certification systems

4

successfully certified in management systems certification

3

2

1

experienced and successfully certified for more than 3 consecutive years in RSB certification systems

experienced and successfully certified for more than 5 consecutive years in RSB certification systems

experienced and successfully certified for more than 10 consecutive years in RSB certification systems

3

2

1

experienced and successfully certified for more than 3 consecutive years in other natural resources certification system(s)

experienced and successfully certified for more than 5 consecutive years in other natural resources certification system(s)

experienced and successfully certified for more than 7 consecutive years in other natural resources certification system(s)

3

2

1

experienced and successfully certified for more than 3 consecutive years in management systems certification

experienced and successfully certified for more than 5 consecutive years in management systems certification

experienced and successfully certified for more than 7 consecutive years in management systems certification

32

© 2011 Roundtable on Sustainable Biofuels. All rights reserved.

 

2 5 6 cases of corruption are apparent management of 1.20. conflicts of interest and risk of corruption

no anti-corruption policy; no action taken to prevent corruption; cases of corruption probable

anti-corruption policies exist but no consistent implementation, documentation and/or consequences

5

4

6

no disclosure and cases of conflicts of interest documentation of conflict of are apparent interests; cases of conflicts of interest probable

6 legal issues and 1.21. judiciary actions pending

legal and/or judiciary actions pending and prosecution for criminal actions pending against members of the executive management of the participating operator

4

conflicts of interests are declared but no documentation and/or consequences

3

clear and transparent anticorruption processes anti-corruption policies are including internal implemented; specific monitoring; every employee actions taken to prevent committed; risk of and minimize corruption corruption managed, risk documented and communicated publicly

1 clear anti-corruption systems including internal (TI self assessment) and external monitoring; every employee committed; risk of corruption managed, documented and communicated publicly

3

1.5 conflicts of interests clear conflict of interest policy implemented consistently; declared and documented; every employee declares conflicts of interest specific actions taken to periodically; conflicts of interests managed and prevent and minimize documented conflict of interest

5

4 3 2 1 legal and/or judiciary legal and/or judiciary no legal and/or judiciary no legal and/or judiciary no legal and/or judiciary actions pending and/or actions pending and/or actions pending and/or actions pending and/or actions pending and/or raised over the past 12 raised over the past 12 raised over the past 12 raised over the past 24 raised over the past 48 months and legal entity months against any legal months against any legal months against any legal months against any legal under the certification entity under the certification entity under the certification entity under the certification entity under the certification scope of the participating scope of the participating scope of the participating scope of the participating scope of the participating operator involved in operator operator operator operator bankruptcy proceedings

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

33

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1 3 6

1.22.

stakeholder involvement

stakeholder consultation as externally required; no stakeholder no transparent stakeholder consultation, communication stakeholders identified and consultation, no reporting, only upon request and focused on standard prioritized, communication aggressive against communication; no disclosure of details; aggressive limited to extent required by stakeholder input and against stakeholder input and criticism law; criticism is accepted criticism but no feedback given to stakeholders 4.5

6 non-compliances were identified at 25% or more of the subsidiaries, branch offices, affiliated entities, external third parties non-compliances contracted or otherwise 1.23. issued during the last engaged, operational independent evaluation structures, sites, facilities, processing and production units, and supply chain structures included in the sample evaluated during the last audit

5

4

non-compliances were identified at 15% or more of the subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, sites, facilities, processing and production units, and supply chain structures included in the sample evaluated during the last audit

non-compliances were identified at 10% or more of the subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, sites, facilities, processing and production units, and supply chain structures included in the sample evaluated during the last audit

RSB-STD-60-001-vers.2.0-RSB Standard for risk management

2 comprehensive stakeholder mapping; highly transparent and continuous stakeholder consultation; communication beyond mandatory extent; criticism is accepted and detailed feedback is given

comprehensive stakeholder mapping; highly transparent and continuous stakeholder consultation; communication beyond mandatory extent; criticism is accepted and detailed feedback is given; external stakeholders involved in management on a continuous basis

3 non-compliances were identified at less than 10% 1.5 of the subsidiaries, branch offices, affiliated entities, non-compliances were identified at less than 5% of the external third parties subsidiaries, branch offices, affiliated entities, external contracted or otherwise third parties contracted or otherwise engaged, engaged, operational operational structures, sites, facilities, processing and structures, sites, facilities, production units, and supply chain structures included in processing and production the sample evaluated during the last audit units, and supply chain structures included in the sample evaluated during the last audit

34

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6 5 4 major noncompliances issued more than 10 major nonless than 10 major nonless than 5 major non1.24. during the last compliances were identified compliances were identified compliances were identified independent evaluation during the last audit during the last audit during the last audit

4 non-compliances 1.25. pending

1.26.

major noncompliances pending

5

2 no major non-compliances were identified during the last audit

3

2

more than 25% of the non- less than 25% of the nonmore than 50% of the non-compliances identified during compliances identified compliances identified the last audit still pending during the last audit still during the last audit still pending pending

less than 10% of the noncompliances identified during the last audit still pending

1 no non-compliances still pending

5

2

major non-compliances still pending

no major non-compliances still pending

 

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35

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  Risk evaluation related to the RSB Principles & Criteria potential extent of damage resulting from deficient implementation of a risk factor the probability of uncovering deficient implementation of a risk factor

6

5

4

3

2

1

(extremely high)

(very high)

(high)

(medium)

(low)

(very low)

6

5

4

3

2

1

(extremely low)

(very low)

(low)

(medium)

(high)

(very high)

Where for a risk factor only a single set of indicators is given the participating operator shall apply this set of indicators to determine the respective risk class. Where for a risk factor separate alternative indicator sets are given for small entities and/or medium entities and/or large entities, the participating operator shall evaluate for this risk factor the indicator set appropriate to the operation(s) under his control. Where two or more complementary sets of indicators are provided for a risk factor, the participating operator shall evaluate each complementary set of indicators separately and average the resulting risk classes to determine the risk class for the respective risk factor. This applies to risk indicators 2.1; 2.2; 2.3; 2.4; 2.5; 2.6; 2.7; 2.8; 2.9; 2.10; 2.11; 2.12.

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  operations controlled by the participating operator2 are located in areas where:

no indicator

2.1.

Principle 1: Biofuel operations shall follow all applicable laws and regulations.

no indicator

no indicator

4 the rule of law is guaranteed by law but not consistently enforced by public authorities

3 the rule of law is comprehensively guaranteed by law and consistently enforced by public authorities

no indicator

no indicator

4.5 breach of law is reluctantly followed and acted against by public authorities

3 breach of law is comprehensively and consistently followed and acted against by public authorities

no indicator

no indicator

no indicator

no indicator

5 the rule of law is not comprehensively guaranteed by law

4 3 5 corruption3 is corruption3 is corruption3 is not comprehensively prohibited comprehensively prohibited comprehensively prohibited by law but not consistently by law and consistently by law followed and acted against followed and acted against by public authorities by public authorities

                                                                                                                2 operations controlled by the participating operator shall include all subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, sites, facilities, processing and production units, and supply chain structures identified in the certification scope of the participating operator; 3 corruption shall be understood as the granting of favors for personal gains;

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operations controlled by the participating operator use crops and/or production processes for which:

no indicator

2.2.

Principle 2: Sustainable biofuel operations shall be planned, implemented, and continuously improved through an open, transparent, and consultative Environmental and Social Impact Assessment (ESIA) and an economic viability analysis.

no indicator

6 comprehensive stakeholder consultation based on free prior informed consent on social & environmental impacts is restricted/prohibited by law

2 4 3 comprehensive comprehensive comprehensive environmental impact environmental impact environmental impact assessments and assessments are required assessments are required continuous monitoring are by law but not by law systematically required by law, and systematically enforced by enforced by public systematically and public authorities authorities periodically verified independently4

no indicator

2 4 3 comprehensive social comprehensive social comprehensive social impact assessments and 5 impact assessments are impact assessments are continuous monitoring are social impact assessments required by law but not required by law and required by law, and are not required by law systematically enforced by systematically enforced by systematically and public authorities public authorities periodically verified independently4

no indicator

4 comprehensive stakeholder consultation based on free 2.5 prior informed consent on comprehensive stakeholder consultation based on free social & environmental prior informed consent on social & environmental impacts is required by law impacts is required by law and consistently enforced by but not consistently public authorities enforced by public authorities

no indicator

5 environmental impact assessments are not required by law

5 comprehensive stakeholder consultation based on free prior informed consent on social & environmental impacts is not required by law

                                                                                                                4

consistently and periodically verified independently shall be understood as a comprehensive assessment of impacts by independent private and/or public authorities;

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operations controlled by the participating operator use crops and/or production processes which: 2

2.3.

Principle 3. Biofuels shall contribute to climate change mitigation by significantly reducing lifecycle GHG emissions as compared to fossil fuels.

6

5

3,5

no indicator

no indicator

GHG reduction requirements are required by law

4.5 no indicator

Does not minimize GHG emissions of the operation by implementing reduction measures such as energy efficiency measures and making the best use of coproducts, residues and waste.

GHG reduction requirements and continuous monitoring are required by law, and systematically and periodically verified independently5

no indicator

2.5 Minimizes GHG emissions of the operation by implementing reduction measures such as energy efficiency measures and making the best use of coproducts, residues and waste.

no indicator

                                                                                                                5

consistently and periodically verified independently shall be understood as a comprehensive assessment of impacts by independent private and/or public authorities;

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operations controlled by the participating operator are located in areas where: 4 6

3

5

freedom of association and freedom of association and freedom of association and freedom of association and the right to organize are the right to organize are the right to organize are the right to organize are not guaranteed by law but not guaranteed by law and restricted/prohibited by law guaranteed by law consistently enforced by consistently enforced by public authorities public authorities

no indicator

no indicator

no indicator

no indicator

3 slave and forced labor is slave and forced labor is prohibited by law but law is not prohibited by law and law is consistently enforced by consistently enforced by public authorities public authorities

no indicator

no indicator

3 child labor7 is prohibited by law and law is consistently enforced by public authorities

no indicator

no indicator

4 6

2.4.

5

Principle 4. Biofuel the right to collectively operations shall not the right to collectively the right to collectively bargain5 is guaranteed by violate human rights or bargain5 is bargain5 is not guaranteed law but not consistently labor rights, and shall restricted/prohibited by law by law enforced by public promote decent work authorities and the well-being of workers. 6 slave and forced labor is not prohibited by law

3 the right to collectively bargain6 is guaranteed by law and consistently enforced by public authorities

4.5

6

4.5

child labor6 is not prohibited by law

child labor6 is prohibited by law but law is not consistently enforced by public authorities

                                                                                                                6 7

the right to collectively bargain shall be understood as the free and unrestricted right to collectively bargain outside officially prescribed institutions (i.e. central state unions); prohibition of child labor except on family farms and then only when work does not interfere with the child’s schooling and does not put his or her health at risk;

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4 5 no indicator

no indicator

discrimination7 is not prohibited by law

discrimination7 is prohibited by law but law is not consistently enforced by public authorities

2 discrimination8 is prohibited by law and law is consistently enforced by public authorities

4.5

2.5

migrant labor is preferred over local resident labor

local resident labor is preferred over migrant labor

4

no indicator

3

5

no indicator

1.5 comprehensive health & comprehensive health & health & safety provisions safety provisions for safety provisions for comprehensive health & safety provisions for workers for workers to international workers are required by law workers are required by law exceeding international standards are required by law standards are not required but are not consistently and are consistently and consistently enforced by public authorities by law enforced by public enforced by public authorities authorities 4.5

no indicator

2.5

operations controlled by the participating operator use operations controlled by the participating operator use crops and/or production processes which require special crops and/or production processes which do not require management provisions to mitigate health & safety risks special management provisions to mitigate health & for workers8 safety risks for workers9

no indicator

                                                                                                                8 discrimination includes disadvantaging people because of sex, race, religion, sexual orientation, physical and/or mental handicap, and/or other characteristics which are not directly related to qualifications required for a specific work; 9 special management provisions to mitigate health & safety risks for workers include all provisions which exceed locally available and locally used practices to ensure workers health & safety;

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operations controlled by the participating operator are located in areas where:

2.5.

Principle 5. In regions of poverty, biofuel operations shall contribute to the social and economic development of local, rural and indigenous people and communities.

4 signs of poverty are clearly 6 5 poverty is dominant (i.e. poverty is widespread (i.e. identifiable (i.e. have been affecting over 50% of the affecting over 30% of the reported) for some groups of people including peoples) in the local peoples) in the local marginalized people and administrative sub-division administrative sub-division migrant labor in the local (i.e. region/district/county) (i.e. region/district/county) administrative sub-division (i.e. region/district/county)

no indicator

no indicator

5 lack of access to basic medical services10 is widespread

5 lack of access to basic education is widespread

3 signs of poverty are clearly 2 identifiable (i.e. have been no signs of poverty are reported) for some groups identifiable (i.e. have been of people including reported) throughout the marginalized people and country migrant labor in the country

no indicator

4 3 1.5 some groups of people people including people including marginalized people and migrant labor including marginalized marginalized people and have free and unrestricted access to comprehensive people and migrant labor migrant labor have free and medical services including advanced medical facilities lack access to unrestricted access to and treatment12 comprehensive medical comprehensive medical services10 services11 2 4 3 people including some groups of people people including marginalized people and including marginalized marginalized people and migrant labor have free and people and migrant labor migrant labor have free and unrestricted access to lack access to basic unrestricted access to comprehensive education education basic education including advanced education

no indicator

                                                                                                                basic medical services shall be understood as access to the medical services of a general physician; comprehensive medical services shall be understood as access to medical services of specialized physicians in case of need; 12 advanced medical facilities and treatment shall be understood as access to preventive medical services; 10 11

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4.5

no indicator

2.5 operations controlled by the participating operator use operations controlled by the participating operator use crops and/or production processes which require special crops and/or production processes which do not add to management provisions to mitigate risks of negative the risks of poverty in the local administrative subimpacts on poverty in the local administrative subdivision (i.e. region/district/county) division (i.e. region/district/county)

no indicator

operations controlled by the participating operator are located in areas where: no indicator

2.6.

Principle 6. Biofuel operations shall ensure the human right to adequate food and improve food security in food insecure regions.

4.5

2.5

people including poor and/or marginalized people, and/or migrant labor show signs of malnutrition

people including poor and marginalized people, and migrant labor show no identifiable signs of malnutrition

4

5 no indicator

food donations through international programs to people suffering from food insecurity are necessary and/or happening

4.5

no indicator

no indicator

access to food is not secure for all people including poor and marginalized people, and migrant labor throughout the country at all times

2 access to food is secure for all people including poor and marginalized people, and migrant labor throughout the country at all times

3

1.5 operations controlled by the operations controlled by the participating operator use participating operator use operations controlled by the participating operator use crops and/or production processes which require special crops and/or production crops and/or production processes which do not management provisions to avoid negative impact on processes which compete compete with the production of food production of food with the production of food

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operations controlled by the participating operator are located in areas where:

2.7.

6 5 4 3 2 conservation values exist in conservation values exist in conservation values exist in conservation values exist in conservation values do not more than 75% of the less than 75% of the areas less than 25% of the areas less than 10% of the areas exist in the areas used for areas used for production used for production of used for production of used for production of production of of biomass/biofuels biomass/biofuels biomass/biofuels biomass/biofuels biomass/biofuels

no indicator

no indicator

5 4 areas used for production areas used for production 3 2 of biomass/biofuels overlap of biomass/biofuels overlap areas used for production areas used for production with protected areas in with protected areas in of biomass/biofuels border of biomass/biofuels are not many places (i.e. more some places (i.e. less than on protected areas near protected areas than 25% of the areas) 25% of the areas)

no indicator

no indicator

5 4 areas used for production areas used for production 3 2 of biomass/biofuels overlap of biomass/biofuels overlap areas used for production areas used for production with environmentally with environmentally of biomass/biofuels border of biomass/biofuels are not sensitive areas in many sensitive areas in some on environmentally near environmentally places (i.e. more than 25% places (i.e. less than 25% sensitive areas sensitive areas of the areas) of the areas)

no indicator

no indicator

4.5 operations controlled by the participating operator use 2.5 crops (e.g. invasive species) and/or production operations controlled by the participating operator use processes (e.g. generating effluents) which need special crops and/or production processes which are adapted to management provisions to avoid negative impact on environmentally sensitive areas with environmentally sensitive areas

no indicator

Principle 7. Biofuel operations shall avoid negative impacts on biodiversity, ecosystems, and other conservation values.

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operations controlled by the participating operator are located in areas where:

2.8.

Principle 8: Biofuel operations shall implement practices that seek to reverse soil degradation and/or maintain soil health.

6 5 soils show clearly soils show clearly identifiable signs of identifiable signs of degradation12 in most degradation12 in many places (i.e. more than 75% places (i.e. less than 75% of the areas) of the areas)

4 soils show clearly identifiable signs of degradation12 in some places (i.e. less than 25% of the areas)

6 5 soils show clearly soils show clearly identifiable signs of identifiable signs of degradation12 in most degradation12 in many places (i.e. more than 75% places (i.e. less than 75% of the areas) of the areas)

4 soils show clearly identifiable signs of degradation12 in some places (i.e. less than 25% of the areas)

3 soils show no identifiable signs of degradation13

2 soil conditions are natural (i.e. not significantly impacted by human activity)

no indicator

3 soils are not degraded12

2 soil conditions are natural (i.e. not significantly impacted by human activity)

no indicator

no indicator

5 4 soils are fragile in many soils are fragile in some places (i.e. more than 25% places (i.e. less than 25% of the areas) of the areas)

3 soils are not fragile

2 soil conditions are very deep and have been used for agriculture for several decades without signs of depletion

no indicator

no indicator

4.5 2.5 operations controlled by the participating operator use operations controlled by the participating operator use crops and/or production processes which need special crops and/or production processes which are adapted to management provisions to avoid negative impact on soil soil conditions conditions

no indicator

                                                                                                                13 degradation shall be interpreted as negative physical (e.g. erosion, compaction, leaching, etc.), chemical (e.g. altered ph, fertilizer residues, pesticide residues, etc.), biological (e.g. soil flora reduced, soil fauna reduced, etc.) alteration of the soil;

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operations controlled by the participating operator are located in areas where: 5 no indicator

surface water resources are stressed during all seasons of the year

5

2.9.

Principle 9. Biofuel operations shall maintain or enhance the quality and quantity of surface and ground water resources, and respect prior formal or customary water rights.

no indicator

4

surface water resources surface water resources are stressed for part of the are stressed for part of the year but during the year but not during the production season production season 4

2 surface water resources are not stressed

no indicator

water rights including for traditional and/or customary rights are frequently disputed

no indicator

3

2 ground water resources are ground water resources are ground water resources are stressed for part of the year stressed for part of the year ground water resources are stressed during all seasons but during the production but not during the not stressed of the year season production season 4

no indicator

3

3

no indicator

2

water rights including for water rights including for traditional and/or traditional and/or customary rights are rarely customary rights are never disputed disputed

no indicator

4 5 no indicator

water rights including for traditional and/or customary rights are not consistently formally recognized, documented

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water rights including for 2.5 traditional and/or customary rights are water rights including for traditional and/or customary consistently formally rights are consistently formally recognized, documented recognized, documented and enforced by governmental authorities but not enforced by governmental authorities

no indicator

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4.5

no indicator

2.5 operations controlled by the participating operator use operations controlled by the participating operator use crops and/or production processes which need special crops and/or production processes which are adapted to management provisions to avoid negative impact on biological and chemical water conditions biological and chemical water conditions

no indicator

4.5

no indicator

2.5 operations controlled by the participating operator use operations controlled by the participating operator use crops and/or production processes which need special crops and/or production processes which are adapted to management provisions to avoid negative impact on water supply water supply

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no indicator

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4 5

no indicator Principle 10. Air pollution from biofuel 2.10. operations shall be minimized along the supply chain.

operations controlled by the participating operator are located in areas where air pollution is not comprehensively regulated by law

operations controlled by the participating operator are located in areas where air pollution is comprehensively regulated by law but not consistently enforced by public authorities

2.5 operations controlled by the participating operator are located in areas where air pollution is comprehensively regulated by law and consistently enforced by public authorities

3 4.5

no indicator

1.5 operations controlled by the participating operator use operations controlled by the participating operator use operations controlled by the participating operator use production processes production processes which result in substantial production processes which do not result in emission of which occasionally result in emission of air pollutants air pollutants minor emission of air pollutants

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operations controlled by the participating operator are located in areas where:

Principle 11. The use of technologies in biofuel operations shall seek to maximize production efficiency 2.11. and social and environmental performance, and minimize the risk of damages to the environment and people.

4 disclosure and public availability of information on the use of potentially hazardous technologies, esp. micro-organisms, GMOs, chemicals, is required by law but not consistently enforced by public authorities

3 disclosure and public availability of information 1.5 on the use of potentially disclosure and public availability of comprehensive and hazardous technologies, detailed technical information on the technical, biological esp. micro-organisms, and/or chemical properties of technologies, esp. microGMOs, chemicals, is organisms, GMOs, chemicals, is required by law and required by law and consistently enforced by public authorities consistently enforced by public authorities

no indicator

5 disclosure and public availability of information on the use of potentially hazardous technologies, esp. micro-organisms, GMOs, chemicals, is not consistently required by law

no indicator

4 5 the use of potentially the use of potentially hazardous technologies, 2 hazardous technologies, esp. micro-organisms, the use of potentially hazardous technologies, esp. micro-organisms, GMOs, esp. micro-organisms, GMOs, chemicals, is chemicals, is comprehensively regulated by law and consistently enforced by public GMOs, chemicals, is not comprehensively regulated authorities comprehensively regulated by law but not consistently by law enforced by public authorities

no indicator

5 the use of chemicals listed on the WHO’s 1a and 1b lists is not prohibited by law in production, processing, conversion and handling of biomass/biofuels

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4 the use of chemicals listed on the WHO’s 1a and 1b lists is prohibited by law in production, processing, conversion and handling of biomass/biofuels but compliance is not consistently enforced by public authorities

3 the use of chemicals listed on the WHO’s 1a and 1b lists is prohibited by law in production, processing, conversion and handling of biomass/biofuels and compliance is enforced by public authorities

no indicator

no indicator

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no indicator

4 the use of chemicals listed 5 in Annex III of the the use of chemicals listed Rotterdam Convention is in Annex III of the prohibited by law in Rotterdam Convention is production, processing, not prohibited by law in conversion and handling of production, processing, biomass/biofuels but conversion and handling of compliance is not biomass/biofuels consistently enforced by public authorities 4 the use of chemicals listed in the Stockholm Convention on Persistent Organic Pollutants (POPs) is prohibited by law in production, processing, conversion and handling of biomass/biofuels but compliance is not consistently enforced by public authorities

3 the use of chemicals listed in Annex III of the Rotterdam Convention is prohibited by law in production, processing, conversion and handling of biomass/biofuels and compliance is enforced by public authorities

no indicator

no indicator

3 the use of chemicals listed in the Stockholm Convention on Persistent Organic Pollutants (POPs) is prohibited by law in production, processing, conversion and handling of biomass/biofuels and compliance is enforced by public authorities

no indicator

no indicator

no indicator

5 the use of chemicals listed in the Stockholm Convention on Persistent Organic Pollutants (POPs) is not prohibited by law in production, processing, conversion and handling of biomass/biofuels

no indicator

4 5 the management (i.e. the management (i.e. handling, disposal, 2 handling, disposal, recycling) of by-products, the management (i.e. handling, disposal, recycling) of by-products, residues and recycling) of by-products, residues and wastes is wastes is comprehensively regulated by law and consistently enforced by public residues and wastes is not comprehensively regulated authorities comprehensively regulated by law but not consistently by law enforced by public authorities

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3

no indicator

operations controlled by the 1.5 participating operator use 4.5 potentially hazardous operations controlled by the participating operator do operations controlled by the participating operator use technologies, esp. micro- not use potentially hazardous technologies, esp. micropotentially hazardous technologies, esp. microorganisms, GMOs, organisms, GMOs, chemicals organisms, GMOs, chemicals only regularly chemicals only in exceptional circumstances

 

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  operations controlled by the participating operator located are in areas where: 3 6 formal land rights including 1.5 4.5 traditional and/or traditional and/or formal land rights including traditional and/or customary formal land rights including traditional and/or customary customary land rights are customary land rights rights have been settled satisfactorily, are formally land rights disputes exist and are settled reluctantly by not recognized by disputes exist and are recognized by government and courts, and are not courts government and/or courts settled satisfactorily by disputed independent courts

Principle 12. Biofuel operations shall 2.12. respect land rights and land use rights.

no indicator

3 4.5 1.5 formal land rights are rarely formal land rights are frequently disputed for traditional formal land rights are not disputed for traditional and/or disputed for traditional and/or customary rights customary rights and/or customary rights

no indicator

3 4.5 land rights are consistently land rights are not formally recognized and documented formally recognized and by governmental authorities documented by governmental authorities

1.5 formal land rights cadastres have been existing for at minimum 1 century

4.5 some stakeholders have 5.5 only restricted or no access some stakeholders are actively prevented from access to independent legal advice 2 to independent legal advice on land rights including on land rights including all stakeholders have unrestricted access to independent legal advice on land rights traditional and customary rights and on traditional and customary including traditional and customary rights and on transfer/relinquishment of land transfer/relinquishment of land rights including rights and on transfer/ rights including traditional and customary rights traditional and customary relinquishment of land rights including traditional and customary rights

 

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  Annex 4 – Risk classes according to the overall risk

Risk class

Overall risk evaluated

Risk

Qualification

1

0.500 – 1.749

very low risk

outstanding operation

2

1.750 - 2.499

low risk

good operation

3

2.500 – 3.499

average risk

typical operation

4

3.500 – 4.249

high risk

poor operation

5

4.250 – 5.000

very high risk

no on-product claims

6

5.001 – 8.000

exception risk

operation on probation, no claims

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  Annex 5 – Maximum intervals for periodic risk assessment

Risk class

Maximum interval for periodic risk assessment

1

24 months

2

18 months

3

12 months

4

6 months

5

3 months

6

1 months

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  Annex 6 – Minimum requirements for periodic evaluation by RSB recognized certification bodies

Risk class 1 interval

audit type

audit team composition

12 months

document audit

1 international lead auditor

24 months

office & field audit

1 international lead auditor 1 local auditor

Risk class 2 interval

audit type

audit team composition

9 months

document audit

1 international lead auditor

18 months

office & field audit

1 international lead auditor 1 local auditor

Risk class 3 interval

audit type

12 months

office & field audit

audit team composition 1 international lead auditor 1 local auditor

Risk class 4 interval

audit type

audit team composition 1 international lead auditor

9 months

office & field audit

1 local auditor technical, social, environmental experts as necessary

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Risk class 5 interval

audit type

audit team composition 1 international lead auditor

6 months

office & field audit

1 local auditor technical, social, environmental experts as necessary

Risk class 6 interval

audit type

audit team composition 1 international lead auditor

3 months

office & field audit

1 local auditor technical, social, environmental experts as necessary

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