[Thirach Rungruangkanokkul]

As an auditor verifying compliance with ProTerra Principle 4 (Biodiversity Conservation, Effective Environmental Management, and Environmental Services), I would conduct a multi-layered assessment across all indicators, using the ProTerra Standard. Below is a structured approach, including evidence requirements for each indicator:

1. Biodiversity Conservation
Key Requirements: Zero deforestation, protection of HCV/HCS areas, no conversion of natural ecosystems, invasive species management, and biodiversity restoration.
– Evidence: Satellite imagery (e.g., Global Forest Watch) + land-use maps from 2008 onward.
– Field Check: GPS coordinates of farm boundaries vs. historical images.
– Documents: Land titles, zoning permits, FSC certifications.
– Evidence: HCV/HCS assessment reports by accredited bodies (e.g., Rainforest Alliance).
– Field Verification: Physical inspection of buffer zones around protected areas.
– Records: Maps with demarcated conservation zones.
– Evidence: Soil/land cover studies showing no peatland/grassland conversion after 2008.
– Documents: Environmental Impact Assessments (EIAs).
– Evidence: Pest management plans, records of non-chemical control methods (e.g., biological agents).
– Training Records: Staff certifications on invasive species management.
– Evidence: Reforestation/restoration plans, monitoring reports (e.g., tree survival rates).
– Photos: Time-stamped images of restored areas.
– Partnerships: Agreements with conservation NGOs.

2. Effective Environmental Management

– Evidence: Wastewater test reports (BOD, COD, heavy metals) against local limits.
– Air Emissions: Stack testing records (if applicable).
– Incident Logs: Spill response records.
– Evidence: Waste inventory logs (hazardous/non-hazardous).
– Disposal Records: Signed manifests from licensed waste handlers.
– Circularity: Recycling/composting contracts.
– Evidence: Soil health tests (organic matter, erosion rates).
– Field Check: Contour farming/cover cropping.
– Erosion Control: Sediment basin maintenance records.

3. Environmental Services

– Evidence: GHG emissions inventory (Scope 1–3)
– Reduction Plans: Targets for methane/nitrous oxide reduction.
– Renewables: Solar/wind installation invoices.
– Evidence: Pollinator habitat maps (e.g., beehive placements).
– Water Retention: Wetland/riparian zone conservation plans.
– Community Projects: Payments for ecosystem services (PES) contracts.

Audit Methodology
Document Review:

Policies (e.g., Biodiversity Action Plan, EMS manuals).
Permits (water, waste, emissions).
Monitoring data (environmental testing, satellite imagery).

Site Inspection:
Verify conservation areas, waste storage, and pollution controls.
Cross-check field practices against documented procedures.

Interviews:
Staff (e.g., “Show me how you calibrate sprayers to minimize chemical drift”).
Community representatives (for ecosystem service impacts).
Data Corroboration:
Compare procurement records (e.g., fertilizer purchases) with application logs.
Validate satellite data with on-ground markers.

[Thirach Rungruangkanokkul]

1. How would the sampling of core suppliers be calculated when planning an audit as a CB?

Amazon (148 farms): Sample = Square root of 148 ≈ 13
Caatinga (12 farms): Sample = 20% of 12 ≈ 3
Cerrado (731 farms): Sample = Square root of 731 ≈ 28

Port facilities: there are 3 port facilities (lesser than 50), so the sample size is 20% of the total number of ports. Sample of 1 port (rounded up).
To audit third port with more than 60% capacity

2. Considering the certification cycle, how would the audits related to this economic operator be planned (sequence of audits) and when would the certification decision be made?
– Day 1 Onsite audit at supply chain actor searching cert (60 days)
2..1 NC both EO and Core suppliers exceed cert limit => resolve non-compliance (require additional visit)
2.2 Non core non compliance within cert limit => agree on action plan for the next audit cycle
– Cert decision (7 days)
2..1 NC both EO and Core suppliers exceed cert limit => resolve non-compliance (require additional visit) => failed => end cycle
2..1 NC both EO and Core suppliers exceed cert limit => resolve non-compliance (require additional visit) => approved => cert issue with date of cert decision
2.2 Non core non compliance within cert limit => agree on action plan for the next audit cycle => failed = > end cycle
2.2 Non core non compliance within cert limit => agree on action plan for the next audit cycle => approved => cert issue

3. What considerations would be made for the next certification cycle?

Sampling plan and implementation to the main suppliers in different groups.

4. How many ProTerra certificates will be issued as a result of a positive certification audit?
One cert is issued as a result of a positive certification audit.

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