[Alexia Stumpf]

Management system audit techniques

These are the two topics that we would like you to work on:

1. Please explain what type of documents, information and evidence you, as auditor, would look for when conducting a ProTerra MRV audit and verifying item 3 (Management system requirements for economic operators) of the Standard?

2. What would be your approach (what would you expect to see as evidence) when dealing with suppliers with no traceability information in relation to the previous question?

• This topic was modified 3 months, 1 week ago by Alexia Stumpf.
• This topic was modified 2 months, 3 weeks ago by Alexia Stumpf.
• This topic was modified 2 months, 3 weeks ago by Alexia Stumpf.
• This topic was modified 2 months, 3 weeks ago by Alexia Stumpf.

[Han Zhan]

Answer 1.
Define and record the scope of its supply chain management system, and implement and continuously improve a management system associated with its purchase of agricultural commodities or related products plan, and must be Included set a deforestation and a supply chain policy.
The economic operator shall implement procedure(s) to ensure that relevant regulations and legal requirements are duly met throughout the economic operator´s operations. implement procedure(s) as below: a)Map the supply chain; b) assess the risks of deforestation associated with the agricultural commodities or related products, services, suppliers as applicable, and geographical sourcing areas;c) Assess the risks of human rights breaches associated with the products, goods, services, suppliers as applicable, and geographic sourcing areas; d)Determine those risks that have or may have a significant impact on the environment, and on social aspects including the livelihoods of local communities; e) Minimise and/or mitigate the negative impacts of the relevant risks the economic operator can control; f) Define and adopt a risk management plan to strive to minimise and/or mitigate the negative impacts of the relevant risks the economic operator can influence; h) Implement risk prevention measures;i) regularly monitor and measure; j) establish and maintain records; k) warning systems for the risks of deforestation, human rights issues and complaints systems; l) implement and maintain a traceability and chain of custody system; and more.

Answer 2.
Document review and on-site evaluation.
Document review at least including legality documentation, Quality management manual, procedural documents, training plan, employee Contract, ESIA, organizational chart, supply chain flowchart, supplier list, all records and others support documentation.
On-site evaluation for Worker conditions, suppliers, surrounding communities, segregation conditions, quantity accounting system, detailed import and export information, and personnel interviews, and according to on-site requirements.

[Isabel Nepstad]

Question 1. Please explain what type of documents, information and evidence you, as auditor, would look for when conducting a ProTerra MRV audit and verifying item 3 (Management system requirements for economic operators) of the Standard?
It will be important to see the economic operator’s documents in regards to the sustainability-related policies, including deforestation and conversion-free, but also how they manage their suppliers in terms of a supplier code of conduct policy and information about suppliers and the origins with geographic indicators of the raw materials for traceability and chain of custody. The economic operator will need to provide evidence in terms of compliance to all local laws and regulations, monitoring and measurement for risk mitigation, and records.

Question 2. What would be your approach (what would you expect to see as evidence) when dealing with suppliers with no traceability information in relation to the previous question?
I would ask to see all available records and documents, including the list of suppliers, purchase orders, and any information available. I would also ask for more information on their supply chain management process to better understand their supply chain. In addition, to understand and manage risk, understand how they ensure compliance to local laws and regulations.

[Gustavo Leite]

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I would also examine how the deforestation policy was developed, whether senior management is committed to promoting it, and if the policy is suitable for the company’s scale of operations. Additionally, I would assess what methodologies were used in these evaluations, how the policy is communicated within the organization, and how external stakeholders can access this material.

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I would expect to see a well-structured action plan, with clear deadlines and assigned responsibilities, aimed at improving the supplier’s performance and ensuring that, in the medium term, they can meet the standard with excellence.

[Gustavo Fernandes]

Please explain what type of documents, information and evidence you, as auditor, would look for when conducting a ProTerra MRV audit and verifying item 3 (Management system requirements for economic operators) of the Standard?

As an auditor, I would look for documents that demonstrate the contractor’s sustainability policies, such as those showing measures against deforestation and conversion. I would check the supplier contracts for clauses that ensure compliance with local laws and regulations, review records related to monitoring and risk mitigation, and verify the existence of procedures for traceability of raw materials. Additionally, I would assess the effectiveness of management practices and the documentation related to the management system.

What would be your approach (what would you expect to see as evidence) when dealing with suppliers with no traceability information in relation to the previous question?

I would follow the guidelines and check if the action plan for establishing traceability is underway and effective. I would expect to see documentation on the planned steps to implement traceability, such as schedules and responsibilities. I would also verify the existence of temporary measures being adopted and whether they are sufficient to manage the risk until full traceability is achieved.

[Alice]

Thanks for all those that have participated in the forum discussions.
I will try to summarize the key points and take aways ProTerra Foundation with like to leave.

The first part of the question basically relates to evidence is associated to all the itens under topic 3 of the MRV Standard (that covers the management system) such as: deforestation and a supply chain policy all the procures and registers related to the mapping of the supply chain and risks assessment; Procedure(s) to identify and have access to applicable legal requirements; roles and responsibility, procedure(s) to address non-conformities ( and follow the train of eventual non-conformances opened in the system); lot numbers and double counting procedures, operational g procedures and practices to ensure full segregation among others.

As for the second part, many important elements have been highlighted but the key aspect is that it is necessary to confirm the existence of an action plan for all suppliers for which the economic operator does not have traceability information (is it plausible?). It should be an action coming not only from the supplier side, organization under MRV have to proactively seek to implement action to improve in this regard. In the subsequent MRV verification, confirm that the plan is being implemented and that traceability information is increasing within the organization. Without this plan, the requirements of the management system are not fulfilled, and a verification statement cannot be issued.

[Carlos Arcos]

1) I would look at the following documents:
– Deforestation and a supply chain policy
– Procedures that:
— Map the supply chain,
— Assess the risks of deforestation, including accessing satellite imagery with adequate resolution.
— Assess the risks of human rights breaches associated with the products, goods, services, suppliers,
— Identify the risks of deforestation and of human rights breaches, as well as the relevant risks –
— Define the risk management plan to strive to minimise and/or mitigate the negative impacts.
— Identify and have access to applicable legal requirements and other requirements that ensure that relevant regulations and legal requirements are duly met
— Address non-conformities in its supply chain management system and that of its suppliers in relation to their compliance with the requirements of item 4.0 of this Standard
And evidence that a traceability and chain of custody system exists and provides veracity of its chain of custody information.
2) I will expect to see written or digital documents that ensure the due diligence was properly executed, and there is a plan to work with those suppliers to bring them to a traceable level in the medium term.

[Caroline Dittgen]

1.
Verificaria a implementação de sistema de gestão de compra, incluindo a definição e documentação de seu escopo na cadeia de suprimento, políticas de desmatamento e cadeia de suprimento definida pela alta gestão, apropriada ao seu escopo, comunicada aos trabalhadores e disponível ao público. Verificaria procedimentos implementados para: mapeamento da cadeia de suprimentos; avaliação de riscos de desmatamento associado aos fornecedores e área de fornecimento; avaliação de desmatamento por imagens de satélite; avaliação de riscos de violação de direitos humanos associados aos fornecedores; identificação de riscos de desmatamento e de violação de direitos humanos que o operador pode controlar ou influenciar; determinação de riscos que possam impactar aspectos ambientais e sociais; minimização dos impactos negativos dos riscos que possam ser controlados, incluindo um plano de minimização e mitigação; definição e adoção de um plano de gestão de riscos dos impactos negativos que possam ser influenciados, incluindo um plano PCDA; implementação de medidas de prevenção de riscos reforçando a rastreabilidade e os sistemas de cadeia de custódia; promoção de resultados positivos para florestas; atendimento dos requisitos legais; para tratativas de não conformidades próprias e dos seus fornecedores (incluindo identificação, correção, determinação de causa e de ação corretiva); manutenção da segregação total dos lotes dos produtos e insumos em sua posse.
Além disso, verificaria a disponibilidade de recursos essenciais para estabelecimento manutenção e melhoria do sistema de gestão, monitoramento do sistema de gestão, a manutenção de registros por, no mínimo, cinco anos e existência e implementação de um mecanismo de queixas (riscos de desmatamento, relacionado a direitos humanos e sistema de reclamações).
Também, verificaria o sistema de rastreabilidade e cadeia de custódia que permita rastreabilidade de insumos, manutenção de registros por 5 anos (ou conforme definido pela legislação aplicável), que possua números de lote (de matéria prima ou produto recebido/expedido, de processamento e produto final), que garanta que não ocorra duplicidade de contagem dos produtos. Caso não possua informações de rastreabilidade, deve ser definido um plano de ação para trabalhar com os fornecedores e que, a médio prazo, sejam rastreáveis. Em caso de operação ou exportação na e para Europa, manter registros dos requisitos de informação do Regulamento da UE para Produtos Livres de Desmatamento.
E verificaria como é realizada a identificação de lotes e/ou produtos não conformes (ProTerra MRV) e como tal informação é repassada aos potenciais compradores, ao longo de toda cadeia.

2.
– Verificaria o Plano de ação para implementação da rastreabilidade a longo prazo, como a organização apoia estes fornecedores para melhoria do seu sistema e como melhorias tem sido implementadas.

[Caroline Dittgen]

Corrigindo: 2.
– Verificar o Plano de Ação para implementar a rastreabilidade a médio prazo, como a organização apoia estes fornecedores para melhoria do seu sistema e como melhorias têm sido inovadoras.

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