RSPO - ISH - Standard - April2019 - Final - For Public Consultation PDF

Public Consultation RSPO Independent Smallholder Standard
10 April 2019
RSPO Independent Smallholder Standard

Document for Public Consultation
10 April 2019
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Table of Contents
Introduction ............................................................................................................................................... 3
1. Scope: Understanding the who, what and how of the RSPO Independent Smallholder Standard .. 5
Who can use the RSPO Independent Smallholder Standard ................................................................. 5
1.2. To what does the ISH Standard apply ............................................................................................. 5
1.3 How to get certified under the ISH Standard .................................................................................. 6
The Unit of Certification for the ISH Standard is comprised of a group of smallholders, the group
manager and all individual members. The certificate holder is the group. ......................................... 6
1.4 Which Standard to use if the ISH does not apply ............................................................................ 6
2. RSPO Phased Approach for Independent Smallholders Certification ............................................... 7
2.1 Verification, Claims and Credits ..................................................................................................... 8
2.1.1 Eligibility - entry level................................................................................................................ 8
2.1.2 Milestone A – continual improvement and progress ............................................................... 9
2.1.3 Milestone B – continual improvement and full compliance .................................................... 9
3. Normative Requirements of the RSPO Independent Smallholder Standard .................................. 11
3.1 Principles, Criteria, Indicators....................................................................................................... 11
3.1.1. Further guidance to interpret the PCIs .................................................................................. 11
3.1.2 Support for smallholders to achieve compliance ................................................................... 11
3.1.3 Skipping indicators that are not applicable ............................................................................ 12
3.1.4 Smallholder Declaration ......................................................................................................... 12
3.1.5 Additional considerations ....................................................................................................... 12
3.2 The System Requirements for Group Formation ......................................................................... 24
3.2.1 Support for group managers to form a group ........................................................................ 24
4.Guidance for Group Managers ............................................................................................................. 28
Annex 1 – Definitions ............................................................................................................................... 52
Annex 2 .................................................................................................................................................... 54
Summary of RSPO’s Simplified HCV Approach & Tool for Independent Smallholders ........................... 54
Annex 3 .................................................................................................................................................... 56
Assurance Frameworks for the RSPO Independent Smallholder Standard ............................................ 56
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The RSPO Independent Smallholder Standard

Introduction
RSPO recognises the importance of smallholders and the need for improving smallholder inclusion into
the RSPO system. The RSPO Smallholder Strategy, endorsed by the RSPO Board of Governors on 14th
of June 2017 mandates the simplification of the RSPO certification system and standard (principles,
criteria and indicators) in order to better meet the needs of smallholders. In 2018, The RSPO Theory of
Change (ToC) identified the goal of inclusion of more smallholders in the system to produce sustainably
while earning a sustainable livelihood from palm oil.
The newly developed RSPO Independent Smallholder Standard (RSPO ISH Standard) responds to the
needs and challenges of independent smallholders for inclusion in the RSPO system: simple and
straightforward requirements and cost-effective tools which consider diversity, capacity and incentives.
This standard complements the RSPO Principles & Criteria (P&C) 2018.
The RSPO ISH Standard is organised into three impact areas using the RSPO ToC as a framework.
Impact Area ToC ISH Standard

Prosperity Principle 1: Optimise productivity,
Impact Goal: efficiency, positive impacts and
Competitive, resilient, and resilience
sustainable sector
People Principle 2 - Legality, Respect for Land

Impact Goal: Rights and Community Wellbeing
Sustainable livelihoods &
poverty reduction. Human Principle 3 – Respect human rights,
rights protected, respected & including workers’ rights and
remedied conditions
Planet Principle 4 – Protect, conserve and

Impact Goal: enhance ecosystems and the
Conserved, protected and environment
enhanced ecosystems that
provide for the next
generation
This RSPO ISH Standard is part of wider RSPO system. In addition to the RSPO ISH Standard, the RSPO
provides information on its website specifically relevant for smallholders, including its overall strategy.
To support independent smallholders to move towards sustainability and livelihood improvements, the
RSPO also has tools and training materials specifically targeted to smallholders, including the RSPO
Smallholder Academy. Finally, there are specific certification requirements for the RSPO ISH Standard
(see Annex 3).
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The figure below presents an overview of all documents that are relevant for smallholder certification
under the RSPO ISH Standard.
Figure 1: Documents relevant for the RSPO Independent Smallholder Standard
This document encompasses the RSPO ISH Standard itself, the Principles, Criteria and Indicators of the
standard and group certification, as well as guidance for managing and implementing the criteria and
indicators. The document is organised as follows:
Section Content Key User

Section 1 Scope: Understanding the who, what and how of the All users of the Standard: Group
ISH Standard managers, independent smallholders,
NGOs, technical assistance providers,
buyers of smallholder credits,
certification bodies, traders, buyers
and large oil palm growers, etc.
Section 2 RSPO phased approach for independent smallholders All users of the Standard: Group
(ISH) certification and claims managers, independent smallholders,
NGOs, technical assistance providers,
buyers of smallholder credits,
certification bodies, traders, buyers
and large oil palm growers, etc.
Section 3 The Normative Documents: a. Group managers and independent
a. Principles, Criteria and Indicators of the smallholders; technical assistance
Independent Smallholder Standard providers
b. System Requirements for Group Formation and b. Group managers
Management
Section 4 Guidance for Group Managers on how to Implement Group Manager
the Independent Smallholder Standard
Section 5 Guidance for individual members of a group on how to Group managers, independent
implement the Independent Smallholder Standard smallholders, group managers,
(Tbd – not in this document) technical assistance providers
Annex 1 Definitions All users
Annex 2 Summary of RSPO’s Simplified HCV Approach & Tool All users
for Independent Smallholders
Annex 3 Assurance Framework Independent Smallholder All users, in particular Certification
Standard Bodies
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1. Scope: Understanding the who, what and how of the RSPO Independent
Smallholder Standard
This section on scope defines to whom this standard and system applies (and subsequently all others
that cannot use this standard), to what it applies as well as how is applies.
NOTE: Text highlighted in green indicates that this term is defined in the list of definitions in Annex 1.
1.1 Who can use the RSPO Independent Smallholder Standard
This RSPO Independent Smallholder Standard is exclusively applicable to and can only be used by those
smallholders that qualify as Independent Smallholders.
I am an independent smallholder if:
I am NOT a scheme smallholder (see definition Annex 1).

The total size1 of my oil palm production areas is
o ≤ smaller or equal to 50 ha if no threshold is defined in National Interpretation; OR
o ≤ smaller or equal to the maximum size defined in National Interpretations (e.g., for
Indonesia this implies threshold size is 25 ha or below and for Ecuador 75 ha or
below.)
I have the enforceable decision-making power on the operation of the land and production
practices; and/or
I have the freedom to choose how I utilize the land, type of crops to plant, and how I manage
them (whether and how they organise, manage and finance the land).
I meet any further criteria relative to the applicability of this standard as provided in the
National Interpretation in my country.
The RSPO Independent Smallholder Standard is applicable for sustainable palm oil production
worldwide.
1.2. To what does the RSPO Independent Smallholder Standard apply
Provided that the total area does not exceed the size threshold (50ha or size as defined in National
Interpretation), this ISH Standard is applicable for all plots that are:
Existing plots under palm production; AND/OR
Plots that are allocated for replanting or expansion; AND/OR
Plots that are, or may potentially, be allocated for new plantings of oil palm
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How to define the total size of a palm production area?

The total size of the oil palm production area is defined by accumulating all plots owned by a
smallholder. These are existing plots as well as areas available for the expansion of new oil palm
plantings, or areas allocated for new plantings, that are owned by one single smallholder - within the
unit of certification (e.g. the group the smallholder is part of).
1.3 How to get certified under the RSPO Independent Smallholder Standard
The Unit of Certification for the RSPO ISH Standard is comprised of a group of smallholders, the group
manager and all individual members. The certificate holder is the group.
The qualified independent smallholder must:

be a member of a group for independent smallholder certification.
The qualified group must:

be an officially registered or legally formed entity, as defined under the national laws of the
country where the group is located.
appoint a group manager that meets all requirements per Principle 1.
What is a group? Not all groups look alike:

✓ The group manager can be a representative of a mill, an organisation or an individual
✓ The group can either be legally registered as an individual or as an organisation.
✓ The group can have any number of members, including one.
✓ The total number of hectares that form part of the group has no upper limit. There is only an
upper limit per individual member.
See also further guidance in Section 4, on guidance for the group manager and management
requirements.
1.4 Which Standard to use if the RSPO Independent Smallholder Standard does not apply
If the RSPO ISH Standard is not applicable because the requirements of Independent Smallholders or
Group certification cannot be met, it is still possible to get certified under RSPO either using one of the
following approaches:
a. Group Certification for FFB production – see here.

b. RSPO P&C 2018: This document includes the set of principles, criteria and indicators of
the RSPO Principles and Criteria for the Production of Sustainable Palm Oil 2018 - which
defines sustainable performance of large oil palm producers, including the verification
and assurance process.
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2. RSPO Phased Approach for Independent Smallholders Certification

The RSPO Independent Smallholder Standard introduces a phased approach to enable smallholders to
achieve compliance over a specified period of time, as presented in Figure 2. The approach includes
three phases:
1) Eligibility (E)
2) Milestone A (MS A)
3) Milestone B (MS B, which is full compliance)
Figure 2: Phased approach for smallholder certification against the ISH Standard
The phased approach allows the smallholder to enter the system once they are part of a group and
meet all Eligibility Indicators. This approach is designed to screen smallholders for the most
unsustainable practices and then, for those who are eligible, allow time for continual improvement and
progress towards meeting all requirements. Key requirements of this approach are:
The group needs to demonstrate progress in moving from meeting Eligibility indicators, to
indicators listed under Milestone A and finally meeting the indicators of Milestone B.
Progress must occur within a set timeframe, with two years to progress from Eligibility to
Milestone A. Then one more year to progress from Milestone A to Milestone B indicators.
Compliance at every milestone is measured by fulfilling all the requirements of the current
milestone and all preceding milestones, e.g. to be compliant with Milestone A, the smallholder
group has to demonstrate compliance to the Eligibility requirements and requirements of
Milestone A.
A maximum of two years is allowed for progressing from Eligibility to Milestone A and a
maximum of 1 year is allowed to progress from Milestone A to Milestone B. However, a
smallholder can progress directly to Milestone B if at Eligibility they can demonstrate
compliance with Milestone A and B. They can move forward and be audited for Milestones A
and B at the same point of time, as assessed by Group Manager and third-party auditors. This
is also applicable for any trainings (Milestone A) where the group manager assesses the
smallholder already possesses the relevant capabilities.
The continual improvement process is tied to incentives detailed in the following sub-section.
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2.1 Verification, Claims and Credits
The certification system includes assessment and verification at each of these three phases. Each phase
has its own assurance requirements for assessing compliance, claims that the smallholder can make as
well as benefits for the smallholder.
• Assurance requirements refers to level of verification at each stage.
• Claims refers to the status the smallholders can assign to the fresh fruit bunches (FFB) they
produce, which is expressed as certified CPO/PKO equivalence, and can be sold as certified oil
through all supply chain models, either via physical trade or as smallholder credits.
• Benefits refer to the incentives the smallholders can receive through the sales of certified FFB
through the physical supply chain models (identity preserved- IP, segregated - SG, or mass
balance - MB) to a mill or as RSPO credits. Buyers are able to purchase certified oil from
smallholders and communicate externally about their sources. → see here for further info
about RSPO credits.
Principle for converting certified FFB to certified palm oil (CSPO)
Smallholders can sell their certified FFB to a certified mill through physical supply chain models or as
RSPO credits equivalent. One tonne of FFB is transferred to tonnes of Certified Sustainable Crude Palm
Oil (CSPO) credits using a default oil extraction rate (OER) of 20%, subject to auditor’s verification and
confirmation. Hence 100 tonnes of certified sustainable FFB = 20 tonne of CSPO = 20 credits. Default
Kernel Extraction Rate (KER) also exist for kernel oil or kernel expeller (see figure).
The sections below present the general assurance requirements, claims and benefits at each of the
three phases, as summarised in Figure 3.
2.1.1 Eligibility - entry level
Assurance Requirements
Compliance by the group with eligibility indicators is audited by an independent auditor1, that
is accredited to operate under the RSPO scheme, find list here .
All individual members of the group have to meet all Eligibility Indicators
Claims
Up to 50% of FFB can be sold as certified to a certified mill through the physical supply chain
models (IP, SG or MB)
Up to 50% of FFB can be sold as RSPO Credits, or CSPO, CSPKO or CSPKE credits through the
RSPO IT platform and trading system.
1Groups can submit a request to the RSPO Smallholder Support Fund (RSSF) to cover the costs of the first audit
of Eligibility indicators.
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Once eligibility indicators have been verified, the group may continue to claim the FFB as CSPO
equivalent and sell through all supply chain models.
2.1.2 Milestone A – continual improvement and progress

Group practices are verified by an internal audit conducted by the group manager to
demonstrate progress of meeting 100% of the Milestone A indicators, while also maintaining
compliance with 100% of the Eligibility indicators.
An accredited independent auditor conducts a desktop verification of the internal audit
conducted by the group manager.
Claims and benefits
Group can demonstrate meeting Milestone A indicators within a maximum of two-years from
entry (eligibility).
Up to 50% of FFB can be sold as certified to a certified mill through the physical supply chain
models (IP, SG or MB)
Up to 50% of FFB can be sold as RSPO Credits CSPO, CSPKO or CSPKE credits through the RSPO
IT platform and trading system.
2.1.3 Milestone B – continual improvement and full compliance

Group is audited by an accredited independent auditor
All individual members of the group have to meet the 100% of the Milestone B indicators, and
also maintain compliance with 100% of the Eligibility indicators and 100% of the Milestone A
indicators.
Claims and benefits
100% FFB can be sold as certified to a certified mill through the physical supply chain models
(IP, SG or MB)
100% of FFB can be sold as RSPO Credits CSPO, CSPKO or CSPKE credits through the RSPO IT
platform and trading system.
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Figure 3: Assurance and smallholder credit claims system.
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3. Normative Requirements of the RSPO Independent Smallholder Standard

This section includes the normative components of the RSPO ISH Standard that consist of:
• The Principles, Criteria and Indicators which are applicable to both individual smallholder and
group managers; and
• The System Requirements for Group Formation and Management (including the Internal
Control System) which is only applicable to the group manager [not to individual smallholders
that are members of the group].
3.1 Principles, Criteria, Indicators
The Principles, Criteria and Indicators (PCI) of the RSPO ISH Standard are comprised of 4 principles, 23
criteria and 58 indicators organised along the RSPO impact areas, Prosperity, People, and Planet:
The table below consists of Principles, Criteria and Indicators. These should be considered as follows:
✓ The 4 Principles are statements about the desired outcome and serve as the overall framework
✓ Criteria are what reaching these outcomes would look like for the Group manager and
individual group members (smallholders)
✓ Indicators define what individual smallholder members, and/or the group should demonstrate
in order to comply with the criterion.
The indicators are presented in three columns, reflecting the three phases toward full compliance.
• Eligibility indicators must be met to enter into the system.
• Milestone A indicators must be met to demonstrate that the group continues to make progress
towards meeting full compliance.
• Milestone B must be met to reach full compliance with the RSPO ISH Standard.
• Indicators are cumulative; As such:
o At Eligibility, 100% of indicators are required for compliance;
o At Milestone A, 100% of eligibility indicators + 100% of Milestone A indicators required for
compliance;
o At Milestone B, 100% of eligibility indicators + 100% of Milestone A indicators + 100% of
Milestone B indicators are required for compliance.
3.1.1. Further guidance to interpret the Principles, Criteria and Indicators
The Principles, Criteria and Indicators of the RSPO ISH Standard should be read and used in conjunction
with tools, resources as well as with the guidance provided further in this document in Sections 4 (for
the Group manager)2.
3.1.2 Support for smallholders to achieve compliance
The RSPO ISH Standard assumes that not all smallholders have the capacity and resources to comply
with all indicators upon entry. Therefore, the standard specifically includes indicators that refer to
training, generally in Milestone A. Where training is mentioned, RSPO assumes that responsibility for
providing the training lies in principle with the group manager. The expectation is that this can be done
2The final version of the document will also include Guidance for Individual group members, to be added as
Section 5
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with support from mills (and further downstream buyers) as defined by Principle 5 of the RSPO P&C
2018 (generic P&C). Not all smallholders require participation in all trainings; compliance with
indicators that refer to training will depend on the level of capacity and support needs of group
members. Accordingly, the group manager will assess training needs of group members during entry.
It is the intention of the RSPO, as aligned with the RSPO Smallholder Strategy, that further support,
either in the form of technical capacity, tools, guidance, or financial support, is provided through the
RSPO Smallholder Support Fund (RSSF), for example, to the group manager and its members. This
includes financial resources for the first audit to assess eligibility. Moreover, to help independent
smallholders meet sustainable oil palm practices, the RSPO has set up the RSPO Smallholder Academy
that will provide a series of training modules for group managers and smallholders through a system of
the Training the Trainer approach. The training modules that will become available through this
Smallholder Academy are thus specifically tailored to trainers (which can include group managers)
rather than the smallholders themselves.
3.1.3 Skipping indicators that are not applicable
The Principles, Criteria and Indicators table below defines six instances where criteria or indicators may
be skipped if the smallholder can demonstrate these do not apply. For example, if a smallholder does
not intend to expand their plots or plant any new oil palm, certain criteria specific to new plantings do
not apply and thus may be skipped. These are clearly marked in the table below. Please note that none
of the Eligibility Indicators can be skipped.
3.1.4 Smallholder Declaration
Table 1 below with Principles, Criteria and Indicators includes several times a reference to a Smallholder
Declaration. This refers to a short and simple, non-legally binding statement that the group manager
will present to smallholders joining or forming a group. The content and intent of the document will be
explained to the smallholders prior to requiring any signature and commitment to the content of the
statement. The objective of the Smallholder Declaration is to 1) Ensure independent smallholders
understand their commitments and what is expected from them to under certification of the RSPO ISH
Standard; and 2) Communicate the benefits independent smallholders will receive by joining the RSPO
system.
3.1.5 Additional considerations
Unless otherwise specified, ‘Smallholder’ refers to individual smallholders that form part of a group.
For the purposes of non-conformities, there is no distinction among the indicators, e.g., no designation
of critical vs. non-critical indicators.
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Table 1 - Principles, Criteria and Indicators (PCI) of the RSPO Independent Smallholder Standard
PROSPERITY
Competitive, resilient, and sustainable sector.
Principle 1 – Optimise productivity, efficiency, positive impacts and resilience
Implement professional and transparent operations to secure sustainable livelihood improvements.

Criteria Indicators
Eligibility (E) Milestone A (MS A) Milestone B (MS B)
1.1 Smallholders form groups and 1.1.E Legally formed smallholder 1.1 MS A Group manager and group 1.1MS B Smallholder groups are
have organisational capacity to groups have the documented members have an ICS that meets all operating in accordance to best
comply with the RSPO ISH evidence to include: the ICS Eligibility and MS A management practices for groups,
Standard. 1. Legal formation (as per requirements and complete including:
country) training on marketing; group • Fair and transparent decision
2. Fair and transparent dynamics; and best practices for making and governance; and
decision making and smallholder organisations. • Sustainable financial
governance management
3. Signed smallholder
statements
4. Additional documents per
requirements for Group
Formation and
Management.
1.2 Smallholders have capacity to 1.2.E Smallholders sign a 1.2.MS A Smallholders complete 1.2. MS B Smallholders are
effectively manage their farm. Smallholder Declaration which training on farm business managing their farms effectively
commits them to: operations, monitoring and and maintain records of
planning. The training includes production and transaction data of
training on record keeping for all FFB sales.
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a. Declare all land holdings and production and transactions,

provide the following tracking data on size, year planted,
information to the group: variety and records of production,
i. Location of all SH plots including inputs and yields.
currently planted with oil palm;
ii. Location of all SH plots that
are not planted with palm;
iii. Details on plans for
replanting and/or expansion of
oil palm
iv. Any existing land conflict
v. Ownership and land use
status
vii. Source of farm labour.
b. Continue to meet required
milestones for progress
c. Actively participate in group
and contribute to the group’s
advancement toward
sustainable production,
including:
• No new plantings or no
expansion of existing farms
in primary forests, HCV
areas, riparian buffer
zones, on steep slopes
(more than 25 degrees or
as in NI)
• No new plantings on peat
• No forced labour
• No child labour
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• Consulting with local

communities on any
planned new plantings
1.3 Smallholders implement good NA 1.3.MS A Smallholders complete 1.3. MS B Smallholders have
agricultural practices (GAP) on training on Good Agriculture adopted GAP on their farms and
their farms. Practices (GAP) and inform group are tracking productivity.
manager on current yields.
PEOPLE
Sustainable livelihoods and poverty reduction. Human rights protected, respected and remedied.
Principle 2 - Legality, Respect for Land Rights and Community Wellbeing
Comply with the law and respect communities’ rights
Criteria Indicators
2.1 Smallholders have legal or 2.1.E Smallholders provide NA 2.1. MS B Smallholders provide
customary rights to use the land information on the geo-location of evidence of compliance to legal or
in accordance with national their smallholder plots and customary rights with regards to
practice and local laws. ownership and use status of the land use.
land. (Reference indicators 1.2.E)
2.2 Smallholders do not restrict 2.2.E. Smallholders provide 2.2.MS A There is an absence of 2.2. MS B There is an absence of
the legitimate land and resource information on any existing conflict open conflicts with individuals or open conflicts with individuals or
rights of others, particularly, but regarding their land (Reference communities regarding land and communities regarding land and
not limited to, those of vulnerable indicators 1.2.E). resource-use and access rights; or resource-use and access rights; or
populations such as women and acceptable conflict resolution acceptable conflict resolution
indigenous peoples. processes are implemented and processes are implemented and
accepted by all parties involved. accepted by all parties involved.
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2.3 Smallholder plots are located 2.3.E Smallholders are not NA 2.3MS B All smallholder plots are
outside of areas classified as operating plots inside areas clearly and visibly demarcated and
national parks or protected areas, classified as national parks or nearby buffer zones and
as defined by national, regional or protected areas as defined by boundaries located near group
local law or as specified in national, regional or local law or as member plots maintained.
National Interpretations. specified in National
Interpretations.
2.4.E For new oil palm plantings,
Do any smallholders smallholders sign a Smallholder Do any smallholders Do any smallholders
within the group have plans for Declaration committing to consult within the group have plans for within the group have plans for
new plantings of oil palm? If with local communities for new oil new plantings of oil palm? If none, new plantings of oil palm? If none,
none, SKIP palm plantings, (including but not SKIP SKIP
2.4 Smallholders have not limited to indigenous people and
acquired any land from local women). (Reference 1.2.E) 2.4. MS B Based on practices that
2.4.MS A Smallholders complete
communities, (including but not follow the principles of FPIC,
training on how to conduct
limited to indigenous groups and smallholders jointly agree with
community mapping in line with
women) without their free, prior local communities (including but
the practices of the principles that
and informed consent (FPIC), as not limited to indigenous people
follow FPIC.
expressed through their own and women) on a plan to new oil
freely-chosen representative palm developments if these
institutions. involve land-use change.
Principle 3 – Respect human rights, including workers’ rights and conditions
Safeguard human rights and protect workers’ rights, ensuring safe and decent working conditions.
This Independent Smallholder Standard is applicable to a large variety of independent smallholders in terms of geography, type, size and
demographic characteristics. The use of labour on the oil palm plantations from outside the household is more common in several countries, e.g.
because of the average age of the farmers who own the land or because of the average economic size of land holdings. An increased risk of not
following respectful labour practices exists in smallholder farms that use workers from outside the household. Notably, these risks exist in situations
where the smallholder land owner is not actively farming the land but hires others to do so.
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Therefore, the Independent Smallholder Standard has sufficient rigorous requirements on labour to prevent labour abuses and make
these standards applicable to different type of farmer groups across all regions thereby increasing adoption of better labour practices at a large
scale and increasing our impact significantly.
For those farmers that only use family labour within one household, this standard uses a “skip-logic” for several labour requirements: in order to
skip indicators, farmers must declare their source of labour, determining which criteria are relevant to them and which can be omitted (see also
paragraph 3.1.3).
Criteria Indicators
3.1 There is no use of forced 3.1.E Group managers and 3.1.MS A Smallholders complete 3.1.MS B Workers on the farm,
labour. smallholders sign a Smallholder training on fair labour and including the worker’s family, have
Declaration committing to no implement and demonstrate that access to their identity documents,
forced, bonded, slave, compulsory all work is voluntary and following the freedom of movement and can
labour; and no human trafficking practices are prohibited: declare employment is freely
and provide information on the • Retention of identity chosen.
source of labour on the farm. documents or passports
(Reference 1.2.E) • Payment of recruitment fees
• Involuntary overtime
• Lack of freedom of workers to
resign
• Penalty for termination of
employment
• Debt bondage
• Withholding of wages
• Interference with formation or
operation of labour
organisations or associations
3.2 There is no use of child 3.2.E Smallholders sign a 3.2.MS A Group managers, 3.2. MS B Group managers and
labour. Smallholder Declaration smallholders and workers complete smallholders implement measures
committing to no child labour training and are aware of negative to protect children as follows:
including to: effects from child labour. 1. There are no workers on
smallholder farms are under
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1. Comply with the minimum age the age of 15 or under the

of workers and as defined by minimum age defined by local,
local, state, or national law. state or national law.
2. Not expose children to 2. If young workers are employed
hazardous work their work is not mentally or
3. Provide adult supervision of physically harmful and does not
children working on the farm interfere with their schooling, if
4. Ensure work on the farm does applicable.
not interfere with education.
(Reference 1.2.E)
NA 3.3.MS A Workers receive 3.3. MS B Workers receive
payments as expected and agreed payments as expected and agreed
Are there workers on the farm?
in accordance with at least the in accordance with at least the
If no, SKIP
legal minimum wage rate legal minimum wage rate
3.3 Workers’ pay complies with
(excluding overtime premiums) and (excluding overtime premiums) and
minimum legal requirements,
without discrimination against without discrimination against
mandatory industry standards
vulnerable populations, including vulnerable populations including
and collective agreements as
women. against women.
defined by the national law.
NA 3.4 MS A Smallholders complete 3.4.MS B Workers are aware of and

training on workers’ rights to file have access to an effective means
Are there workers on the farm?
complaints and communicate to for filing a complaint.
If no, SKIP
workers the means to file a
3.4 Workers are given the right
complaint.
and opportunity to file a
complaint to group manager or
relevant third parties (e.g., RSPO,
local government, etc.)
3.5 Working conditions and NA 3.5.MS A Smallholders, workers, 3.5.MS B Workers, including
facilities are safe without risks to and family members complete smallholder family members, have
health and meet minimum legal training and aware of health and access to safe working conditions
requirements. safety risks associated with farm and amenities to include:
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work, (including that of pesticide • Safe and adequate housing,

use) and how to mitigate these. where applicable.
• Health and safety training and
equipment, including minimum
protective equipment (PPE) if
appropriate for the type of work
• Basic first aid supplies
• Adequate drinking water, and
toilets
NA 3.6.MS A Smallholders complete 3.6. MS B Workers freely express
training of work place that they are working in a safe
Are there workers on the farm? If
discrimination, harassment and place that is free from
no, SKIP
abuse and are aware of need for a discrimination, harassment or
3.6 There is no discrimination,
safe workspace. abuse.
harassment, or abuse on the
farm.
PLANET
Conserved, protected and enhanced ecosystems that provide for the next generation
Preamble
High Carbon Stock (HCS)

This Independent Smallholder Standard is pursuing the objective of the RSPO’s Smallholder Strategy to increase smallholder inclusion, prioritise improved
practices which also benefit smallholder livelihoods, whilst also upholding the core sustainability requirements. This includes the protection of HCV and HCS
areas.
Therefore, RSPO has developed a simplified HCV methodology for identifying, protecting and managing HCVs that provides guidance for both existing and
new plantings (see here). The guidance for existing plantings is based on the precautionary principle. For new plantings the combination of HCV probability
risk and size of the expansion determine which HCV procedure is required.
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10 April 2019
To meet criteria 4.1 and 4.2, the ISH Standard allows the use of this HCV methodology with a simplified tool, including a mobile phone application that
provides guidance on the likelihood of presence of HCVs 1-3 (though HCV probability maps at country level) and the likelihood of presence of HCV 4-6
(through pre-defined questionnaires). Annex 2 provides a brief summary of how the tool works.
Aligned with the new HCS requirements in the RSPO generic P&Cs 2018, the RSPO, in collaboration with the HCSA Steering Group, intends to develop a
combined simplified HCV-HCS tool to identify and protect HCS areas. In the meantime, until the simplified HCV-HCS combined tool for independent
smallholders is available, this Standard will apply the HCV precautionary approach to identify and protect HCS areas for new oil palm plantings. For cases
identified as high risk, an ALS assessor will need to be hired and by default HCS is already included as part of the assessment.
The simplified HCV approach will apply from the date of adoption of the new ISH Standard until the combined simplified HCV-HCSA approach is available
and approved. The developed combined HCV-HCS approach for independent smallholders will be open to public consultation and is expected to be published
by November 2020 (or RSPO GA 17).
Remediation and Compensation Procedure (RaCP)

Remediation and compensation are required for any clearance since November 2005 without prior HCV assessment (see criterion 4.2).
The requirements as outlined in the RaCP (2015) is not fully applicable for independent smallholders. For independent smallholders, this RSPO ISH Standard
would be focusing developing an appropriate RaCP mechanism such as on-site remediation (with funding mechanisms to be determined) as this is
contextually appropriate to the scale of independent smallholder production and would enable independent smallholders to maximise positive
environmental impact on-site. The requirement means that quantified liability is disclosed and assessed through a land use change analysis (LUCA)
supported by the RSPO Secretariat.
Principle 4 – Protect, conserve and enhance ecosystems and the environment
Protect the environment, conserve biodiversity, enhance ecosystems and ensure sustainable management of natural resources.
Criteria Indicators
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4.1 High conservation value areas NA 4.1 MS A Smallholders complete 4.1 MS B Smallholders implement
(HCVs) on the smallholder plot or training on and aware of: precautionary practices and manage
within the group are managed to - the importance of maintaining and and maintain rare, threatened and
ensure that they are maintained conserving HCV areas; endangered species and HCV areas,
and/or enhanced. - human-wildlife conflict and where applicable.
- recognising rare, threatened and
endangered species and important
ecosystems
4.2 Where the existing smallholder 4.2.E Smallholders sign a 4.2.MS Group members develop a 4.2 MS B Smallholders (or Group
plot is on an area identified as HCV Smallholder Declaration committing plan to identify the maximum area Manager) implement an RSPO-
and cleared after November 2005, a to provide information on all for on-site remediation of HCV approved plan to remediate for HCV
remediation and compensation smallholder plots converted and areas lost between 2005 and areas lost between 2005 and
process appropriate for planted with palm after 2005, November 2019, through a November 2019.
smallholders based on Land Use through use of the HCV App for participatory process. The plan is
Change Analysis (LUCA) will be Smallholders (Reference 1.2.E). submitted to the RSPO.
applicable. (Reference preamble)
4.3E Smallholders sign a Smallholder

Do any smallholders within Declaration committing to provide MS A Do any smallholders MS B Do any smallholders
the group have plans for new information on all plans for new within the group have plans for new within the group have plans for new
plantings of oil palm? If none, SKIP plantings and commit that no new plantings of oil palm? plantings of oil palm?
plantings are in primary forest, HCV 4.3 MS A Group member develop an
4.3 New plantings of independent areas, on steep slopes (more than integrated management plan to 4.3 MS B Smallholders have an
smallholders, since November 25 degrees or as in NI) or on peat maintain or enhance HCVs and approved integrated management
2019: (Reference 1.2.E). other set-aside areas [as identified plan for their planned new plantings
o Do not replace primary forest, by the HCV for Smallholder App or and share a notice of this plan with
o Do not replace any HCV area other means] before any land those involved in the participatory
o Are not on steep slopes (more preparation commences through a mapping before any land
than 25 degrees or as in NI) participatory approach. preparation commences.
o Are not on peat areas of any
depth.
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NA 4.4 MS A Smallholders complete 4.4 MS B Smallholders implement

training on best management action plan based on best
Do any smallholders within the
practices (BMPs) for peat and group management practices for existing
group have existing plots on peat? If
manager has an action plan to plantings on peat.
no, SKIP
minimize risk of fire and manage
4.4 Where smallholder plot exists on water system* and apply BMPS for
peat, subsidence and degradation of plantings on peat in the certification
peat soils is minimised by use of best unit.
management practices.
4.5 E Smallholders sign a 4.5 MS A Smallholders with plots 4.5 MS B. Prior to replanting on peat
smallholders complete a risk
Do any smallholders within the Smallholder Declaration committing older than 15 years on peat
assessment related to flooding
group have plans for replanting plots to provide information on all plans complete training on identification
associated with subsidence and,
that are located on peat? If no, SKIP for replanting and commit that of future risks of flooding associated
replanting will only be in areas with with subsidence and alternate land where there is high risk, present a
plan that includes alternate land
4.5 Plots on peat are replanted only low risk of flooding, saline intrusion development strategies.
development strategies.
on areas with low risk of flooding, and subsidence (Reference 1.2.E).
saline intrusion and subsidence as
demonstrated by a risk assessment.
4.6 Fire is not used on the farm for 4.6 E There is no physical evidence 4.6 MS A Smallholders complete 4.6 MS B Smallholders do not use
preparing land, for pest control, nor of burning for land preparation by training on and are aware of fire or practice burning for land
for waste management. smallholders. preparation, waste management or
• Alternatives to fire for land
preparation and farm waste pest control on the farm. For pest
management (where possible) control, fire may be used only in
• Alternatives to fire for pest control exceptional circumstances that is
• Fire prevention, how to respond where no other effective measures
to and manage fires in their exist and with prior approval of
community and village. relevant government authority.
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4.7 Riparian buffer zones (as per NI) 4.7.E Smallholders sign a 4.7.MS A Smallholders complete 4.7 MS B Smallholders rehabilitate,
are protected and managed. Smallholder Declaration committing training on and aware of riparian manage and maintain riparian
to no new plantings in riparian buffer zone (as per NI) buffer zone areas (as per NI).
zones (Reference 1.2.E) management.
4.8 Smallholders minimise and NA 4.8 MS A Smallholders complete 4.8 MS B Smallholders implement
control erosion and degradation of training on and aware of best best management practices for soil
soils. management practices to protect maintenance and protection.
marginal and fragile soils, including
steep terrain.
4.9 Pesticides are used in ways that NA 4.9 MS A Smallholders complete 4.9 MS B Smallholders implement
do not endanger health of workers, training on best management best management practices for
family, communities or the practices for pesticides including pesticide use which mandates
environment. pesticide usage, storage and exclusion of pesticides that are
disposal; and banned pesticides categorised as WHO Class 1A or 1B,
(and in alignment with 3.5). or those listed by the Stockholm or
Rotterdam Conventions, and
paraquat, unless when authorized
by government for pest outbreaks.
4.10 Smallholders manage pests, NA 4.10 MS A Smallholders complete 4.10 MS B Smallholders maximize
diseases, weeds and invasive training on and aware of best use of IPM approaches to minimize
introduced species using management practices, including, use of pesticides on their farm.
appropriate techniques, including but not limited to safe chemical use,
but not limited to Integrated Pest Integrated Pest Management, weed
Management (IPM) techniques. and invasive species management.
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3.2 The System Requirements for Group Formation
As referenced in the Section 3 introduction above, the RSPO Independent Smallholder Standard consists of two normative components. The table below
presents the Criteria and Indicators for Group Formation and Management. It is the responsibility of the group manager that all systems laid out in the
indicators are complied with at each phase (Eligibility, Milestone A and Milestone B).
3.2.1 Support for group managers to form a group
The RSPO recognises that the formation of groups and bringing smallholders together is an essential step towards certification. At the same time this part of
the process is also challenging, in particular, in cases where smallholders are not yet organised. However, in order to be able to generate benefits and claim
credits as a group, some minimum requirements of group formation should be in place. These are included as Eligibility Indicators in Table 2 below.
Amongst other support mechanisms, through the RSPO Smallholder Academy, the RSPO aims to provide capacity building programs which includes trainings
on group formation and strengthening.
Table 2 - Criteria and Indicators for Group formation and Management (for Group manager only)
A - Group Entity and Group Management Requirements
Rationale: In order to be able to have commercial relationships in the transactions of certified FFB the group carries a liability, which requires it to have
a legally identity.
Criteria Indicators
A1 The Group demonstrates that A1.1E The Group has evidence of N/A A1.1MS B The Group can show
they are legally formed. legal identity. (Documented in RSPO documentary evidence of legal
template). identity.
A1.2E The Group has appointed a N/A N/A
Group Manager.
A1.3E The Group has a membership A1.3MS A All members have signed A1.3MS B All members can
requirement. (Based on the and acknowledge membership demonstrate understanding of
standard Smallholder Declaration requirements. membership requirements.
model provided by RSPO)
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10 April 2019
A2.1E The Group Manager has been N/A A.2.1MS B The group manager
trained to for the preparation and ensures compliance of the ICS by
implementation of the Internal individual members
Control System (ICS).
A2 The Group Manager is A2.2E The Group Manager A2.2MS A Group Manager has A2.3MS B Group Manager can
responsible to manage the Group demonstrate basic capacity and attended training on group demonstrate capacity to manage
for certification. resources in managing Group certification and related topics and and run group certification and
Certification and performance sufficient resources to run a group. certification requirements.
assessment in an effective and
systematic manner.
A2.4E The Group Manager A2.4MA Group Manager has A2.4MB Group Manager can
demonstrate competency, attended training on the demonstrate competency,
knowledge and understanding in Independent Smallholder Standard knowledge and understanding of
relevant RSPO requirements and and other relevant RSPO relevant RSPO requirements and
standards. requirements and standards. standards.
A2.5E A group annual training plan A2.5 MA Group Manager A2.5MB Members can
(based on the RSPO template) is implements a phased approach to demonstrate understanding of the
available covering the Smallholder ensure members have Smallholder Standard, group
Standard, group management progressively attended training on management and certification
(which includes group objectives, the Smallholder Standard, group requirements including awareness
structure, relevant procedures and management and other topics as on BMP, HCV, environmental
certification process) and other outlined in the Smallholder protection, social welfare of
topics as outlined in the Standard according to the group workers and business operations.
Smallholder Standard. annual training plan.
B - Internal Control System – Policies and Management
Criteria Indicators
B3 The Group Internal Control B3.1E A group Internal Control B3.1MS A The Internal Control B3.1MS B The Group
System contains documented System is available (as provided by System (ICS) is implemented. demonstrates compliance to this
RSPO template). Standard.
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10 April 2019
policies and procedures for B3.2E Basic personal information, N/A B3.2MS B The Group Manager can
operational management. geolocation information and signed provide basic personal
Smallholder Declaration is information, farm information,
available. production data, legal
documentation and signed
Smallholder Declaration for all
members.
C - Integrating the Internal Control System for certification within the process of Business Planning for the Group
Criteria Indicators
C4 The Group has a Group C4.1E An annual Group Business C4.1MS A The Group Business Plan C4.1MS B The group demonstrates
Business Plan with participation Plan (based on RSPO template) is is improved to include a group financial stability and growth, and
with Group members. available, which includes: management plan: that it is able to support itself.
• Maintenance of business records • Training/capacity building plans
and accounts • Any plans for individual members
• Production and income to expand their plantations
forecasting • Strengthen links within the supply
• Plans for expansion chain
• Delivery of services to members
• Delivery of continuous
improvement projects (i.e. on
waste, soil, etc.)
C5 The ICS of the Group is N/A C5.1MS A The Internal Control C5.1MS B The Group Manager
integrated with the Group’s System is effectively integrated demonstrates the group’s
Management Plan. with the Group Management Plan compliance with this standard.
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D – The Group ICS shall include a system to enable the trading of smallholder credit equivalents produced from the Group
Criteria Indicators
D6 The Group has a procedure D6.1E Recording sheets to track the D6.1MS A Group Manager is able to D6.1MS B Group Manager
and system in place for the production and sales of credits, identify source of all certified FFB. maintains records of all FFB
tracking and tracing of FFB. covering traceability of producers sources.
and/or traders is available.
D7 The Group documents and D7.1E Group Manager maintains D7.1MS A Group Manager D7.1MS B Group Manager can
implements a system for the the total production based on maintains the total production provide details of the total
tracking and tracing of FFB. estimation and sales of all members based on actual receipts and sales production based on actual
based on information provided. In of all members based on actual receipts and sales of all members
recording sheets as provided by data provided. based on actual data provided.
RSPO
D8 The Group has a procedure D8.1E The group and group D8.1MS A Disbursement of D8.1MS B The group member
and system for premium manager have agreed how the premiums, including price and premium is paid in a timely and
distribution. premiums should be used and this timing of the disbursement to convenient manner. Prices,
is communicated to the group group members are clearly premiums, and timing of premium
members. recorded. payment are clearly
communicated and transparent to
group members.
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4.Guidance for Group Managers

The table below provides detailed guidance for group managers on how to comply with the PCIs of this Independent Smallholder Standard and what their
responsibilities are.
PROSPERITY
Principle 1 – Optimise productivity, efficiency, positive impacts and resilience
Implement professional and transparent operations to secure sustainable livelihood improvements.

Criteria Indicators Responsibilities for Group Guidance for Group Supporting guidance, tools
Manager Manager and documents
1.1 Smallholders form 1.1.E Smallholder groups have the Legally register the group Check what national Template Smallholder
groups and have documented evidence to include: requirements for legal Declaration (which includes
organisational • Legal formation (as per Collect signed smallholder registration are and register a series of specific
capacity to comply country) statements for each group the group officially according commitments by group
with the RSPO ISH • Fair and transparent member to requirements by local law members)
Standard. governance
• Signed individual smallholder Raise awareness amongst Generic guidance on group
statements group members on the need formation and Internal
• Additional documents per the to sign a Smallholder Control System (ICS)
requirements of the Internal Statement, and ensure they
Control System (ICS). clearly understand what is
expected from them as
group member
Ensure each group member

signs the Smallholder
Declaration and keep
records
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1.1 MS A Group manager and Incorporate into Group Ensure group members are Training manual for group
group members have an training plans and farm providing information on all manager on financial
established and functional ICS and management plan plots they own, including management and record
complete training on and are those outside their group, in keeping
aware of marketing; group Facilitate delivery of training other districts, regions; and
dynamics; and best practices for itself including those that are not Templates for Standard
smallholder organisations. currently planted; Operating Procedures/
Provide support to group Smallholder Declaration
members via templates
1.1MS B Smallholder groups are Support group members to Ensure group members are
operating in accordance to best record and report providing information on all
management practices for groups, production practices and to plots they own that are
including: verify these against SOPs for planted, even those outside
• Fair and transparent decision themselves their group, in other
making; and districts/regions
• Sustainable financial
management
1.2 Smallholders have 1.2.E Smallholders sign a Support group members to: Documentation shall Template Smallholder
capacity to effectively Smallholder Declaration which - Document all their FFB include; Declaration
manage their farm. commits them to: sales • Invoices and receipts
d. Declare all land holdings and - working with RSPO and (purchase and sale). Support by Secretariat on
provide the following their IT system incorporating • Information on transport keeping data and records
information to the group: this information into a (i.e. registration related to sales of certified
i. Location of all SH plots system for the tracking and number/number plate). FFB
currently planted with palm; tracing of FFB produced by • The relevant group
ii. Location of all SH plots that the group members, and members’ group
are not planted with palm; intend to be sold as RSPO- identification number.
iii. Details on plans for certified FFB • Classification of the FFB
replanting and/or expansion of sold (i.e. RSPO certified or
oil palm not), FFB volume and
iv. existing land conflicts destination.
e. Continue to meet required • Information of FFB price.
milestones for progress
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f. Actively participate in group Copies of all documentation

and contribute to the group’s and records to be retained
advancement toward for 5 years
sustainable production,
including:
• No new plantings or no
expansion of existing farms in
primary forests, HCV areas, on
steep slopes (more than 25
degrees or as in NI)
• No new plantings on peat
• No child labour
• Consulting with communities
on any planned new plantings
1.2.MS A Smallholders complete Training materials for

training on farm business individual group members
operations and monitoring and on good business practices
planning, including record keeping including record keeping and
for production and transactions, financial literacy
monitoring and tracking data on
size, year planted, variety and
records of production, including
inputs and yields.
1.2.MS B Smallholders are
managing their farms effectively
and maintain records of
production and transaction data of
all FFB sales.
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1.3 Smallholders 1.3.MS A Smallholders complete Guidance for group

implement good training on Goods Agriculture members on Good
agricultural practices Practices (GAP). Agricultural Practices
(GAP) on their farms. (Agronomy Handbook)
including videos (materials
available by RSPO
Smallholder Academy)
1.3. MS B Smallholders have Monitor and review the
adopted GAP on their farms and impact of capacity building
improved productivity. activities, adjusting plans
accordingly as priorities and
objectives evolve along the
pathway to certification and
improvements in
smallholder production and
livelihoods
PEOPLE
Principle 2 - Legality, Respect for Land Rights and Community Wellbeing
Comply with the law and respect communities’ rights
Criteria Indicators Responsibilities for Group Guidance for Group Supporting guidance, tools
2.1 Smallholders have 2.1.E Smallholders provide Collect information from all Use the RSPO SH/HCV app Training for group manager
legal or customary information on the geo-location of smallholder group members for both mapping and on use of smartphone App
rights to use the land in their smallholder plots and status on location and boundaries recording smallholder plots. and how to upload data
accordance with of the land. of their farm. Other systems for GPS collected on a dashboard
national practice and mapping can also be used that aggregates results for
local laws. Support smallholders but results need to be all group members
interested on how to map provided by shapefiles
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10 April 2019
their plot boundaries. In case presenting boundaries of Group manager to train

boundaries are already plots each group member. group members to use
mapped, review their smartphone App to check
findings against HCV app or GM may train group the location and upload
another source recognised members on use of the HCV shapefiles
by RSPO. for SH App so these can help
collect data from all Decision tree that guides the
members of the group Group manager on how to
handle non-compliance
Data and boundaries need situation
to be available for every
single plot the group
members owns, is planted
with palm and is included as
part of the group
certification
2.1 MS B Smallholders can provide Maintain a register and the For each group member the
evidence of compliance to legal or maps showing extent, Group Managers should
customary rights with regards to location and boundaries of keep a record of:
land use land holdings of all group • Info on locations in a single
members. file/document as per HCV for
smallholder app.
Register of each member • Maps showing the legal
and their plots should also boundaries
include their rights to use • Register of land right/title
the land and a photocopy of including photocopy of rights
the land registration/type of or reference to cadastral
land rights or use register where relevant
Local practice applies to

demonstrate customary
rights to the land, include
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10 April 2019
reference to those local

practices
2.2 Smallholders do 2.2 E Smallholders provide Collect information from Check if individual group Template Smallholder
not restrict the information on any existing each group member on their members provide Declaration
legitimate land and conflict regarding their land knowledge of existing land information on land
resource rights of conflicts conflicts as part of their
others, particularly, signed smallholder
but not limited to, statement
those of vulnerable 2.2MS A There is an absence of Provide guidance to group Become aware and consult Guidance Participatory
populations such as open conflicts with individuals or members on relevant relevant sources as needed mapping (included in
women and communities regarding land and customary and statutory law to gain understanding of the simplified guidance and tool
indigenous peoples. resource-use and access rights; or with respect to land tenure history of any land conflicts HCV for SH)
for that location. As in the respective area
acceptable conflict resolution necessary, organise Guidance RSPO Smallholder
processes are implemented and participatory mapping with Academy on FPIC
accepted by all parties involved. all group members
2.2MS B There is an absence of Maintain log/records of any Seek written agreement, Template for conflict record
open conflicts with individuals or conflict and resolution signed by all concerned keeping
communities regarding land and processes that involves any parties, as a durable
resource-use and access rights; or member of the group outcome of any negotiations RSPO local office to share
to resolve conflicts over land list of relevant local
acceptable conflict resolution Assess compliance of group rights. Such agreements resources (CSOs,
processes are implemented and members with the terms of may include measures for government agencies)
accepted by all parties involved. any agreements they enter benefit sharing. As possible,
into with local communities pursue registration of such
on land use and access agreements with competent
rights. In case there is a local authorities to enable
conflict, refer SHs to their recognition in law, and
relevant tools/resources to avoid repeat occurrence of
facilitate management and same conflict.
resolution of conflicts,
drawing on support from
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10 April 2019
CSOs and Govt agencies as

appropriate
2.3 Smallholder plots 2..3E Smallholders are not Review smallholder plot Use HCV for smallholder app Specific protected area map
are located outside of operating plots inside areas maps against to compare smallholder plot at national level will be
areas classified as classified as national parks or maps/locations of protected boundaries with those of as made available to the group
national parks or protected areas as defined by areas/ per HCV app or per national parks and manager as part of the App
protected areas, as national, regional or local law or local government records protected area GM (currently this map is
defined by national, as specified in National integrated into the overall
regional or local law or Interpretations. If there are any group HCV probability map)
as specified in members with plots inside
National national parks or protected
Interpretations (NIs). areas, visit the site to verify.
If inside areas classified as
protected, these plots
cannot be subject of
certification and should be
excluded from the group
2.3MS B All smallholder plots are Keep register of group For plots within the group Training on buffer and
clearly and visibly demarcated and members with plots near that are located near riparian zone management
nearby buffer zones and buffer zones and keep protected or HCV areas,
boundaries located near group photo's/records of the areas conduct field visits to check
member plots maintained. they demarcated on demarcation of plot
boundaries and buffer zones
2.4 Smallholders have 2.4E For new oil palm plantings, Incorporate information Provide template Template Smallholder
not acquired any land smallholders sign a Declaration required and process for Declaration for members to Declaration
from local committing to consult with local new plantings by group sign
communities, communities for new oil palm members into group rules List of talking points for
(including but not plantings, (including but not and by-laws; Where necessary, explain group manager to introduce
limited to indigenous limited to indigenous people and Smallholder Declaration to the Smallholder Declaration
groups and women) women). Ensure signing and maintain group members to group members.
without their free, records of signed
prior and informed smallholder statements for This signed Declaration is
consent (FPIC), as group not legally bounding but is
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10 April 2019
expressed through meant to improve SHs

their own freely- understanding of the
chosen representative importance of this
institutions. commitment.
2.4.MS A Smallholders complete Incorporate into Group Guidance on participatory
training on how to conduct training plans and facilitate mapping techniques and
community mapping in line with delivery of training itself FPIC (to become available
the practices of the principles that through RSPO Smallholder
follow FPIC. Academy)
2.4MS B Based on practices that Support members and The GM must be able to
follow the principles of FPIC, local ensure they conduct demonstrate to a third party
communities (including but not participatory mapping of any that the FPIC process
limited to indigenous people and rights to tenure, access and proceeded to the
women) jointly agree with use natural resources community’s satisfaction.
smallholders on a plan to new oil claimed by neighbouring Maps will be necessary but
palm developments if these communities not sufficient for this
involve land-use change. purpose.
All FPIC elements should be

addressed, i.e.: free
(=without any coercion),
prior (=before any
development), informed
(=providing all relevant
information in appropriate
form & languages) consent
(=right to say no).
Group Managers should:

▪ Keep records of all
meetings and who attended
the meetings – obtain
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10 April 2019
signatures or thumb prints.

▪ Ask permission to take
photos
PEOPLE
Principle 3 - Respect workers’ rights and conditions
Safeguard human rights and protect workers’ rights, ensuring safe and decent working conditions.
Criteria Indicators Responsibility for Group Guidance for Group Supporting guidance, tools
3.1 There is no use of 3.1.E Smallholder provide Ensure that all members are Refer to, and where RSPO SH Academy training
forced labour. information on the source of aware of the requirements of the needed adapt existing and awareness materials
(Reference forced labour on the farm and commit standard with respect to forced RSPO training to best on forced labour
labour definition) to no forced, bonded, slave, labour and able to interpret these support compliance
compulsory labour; and to no in their own operations; Short video to introduce
human trafficking A template for policy to the concept
Explain Smallholder Declaration commit to for group
to group members; signing and manager could be useful
maintain records of signed
smallholder statements for group
3.1.MS A All work is voluntary Ensure the support and The group manager may Labour policy template for
and following practices are commitment of all group draft a single policy on use groups members
prohibited: members to comply with this of labour by group
criteria members, encompassing Self-assessment templates
• Retention of identity
all labour related criteria,
documents or passports
Maintain records on behalf of all and shall ensure the Protocols for how group
• Payment of recruitment fees
members on their use of hired support and commitment manager should handle
• Contract substitution
labour, whether; of all group members to certain situations
• Involuntary overtime • Employed directly or through follow this policy
• Lack of freedom of workers contractors /agents
to resign
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• Penalty for termination of • On an occasional or permanent

employment basis
• Debt bondage These records shall include
• Withholding of wages information on;
• Interference with formation • How the labour was recruited
or operation of labour or contractor commissioned,
organisations or associations • Basis for payment – piece rate
3.1.MS B Workers on the farm, or daily rate
including the worker’s family,
have access to their identity Log any complaints or cases of
documents, the freedom of non-compliance that arise and
movement and can declare investigate source of claim.
employment is freely chosen.
3.2 There is no use of 3.2.E Smallholders commit to no Ensure that all members are Refer to, and where Template Smallholder
child labour. child labour. Including to: aware of the requirements of the needed adapt existing Declaration
5. Comply with the minimum standard and able to interpret RSPO training to best
age of workers and as these in their own operations. support compliance
defined by local, state, or Short video to introduce
national law. Clarify for members the A template for policy to the concept
6. Not expose children to conditions under which persons commit to for group
hazardous work under the age of 18 may manager could be useful
7. Provide adult supervision of undertake work on smallholder
children working on the farm farms and ensure members have
8. Ensure work on the farm sufficient understanding of legal
does not interfere with age requirements for that region.
education.
Ensure the support and
commitment of all group
members to comply with this
criterion
3.2.MS A Group managers, Incorporate into Group training RSPO SH Academy training
smallholders and workers plans and facilitate delivery of and awareness raising
complete training and aware of training itself; materials on child labour
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10 April 2019
negative effects from child

labour. Priority for self-assessment check
3.2. MS B Group managers and Undertake checks on evidence Children can only work
smallholders implement that the minimum age under supervision and do
measures to protect children as requirements are being met not undertake hazardous
follows: work.
9. There are no workers on Investigate promptly any reports
smallholder farms are under of non-compliance with this Children only work on the
the age of 15 or under the criterion, shall take appropriate farm during holidays,
minimum age defined by action to effect immediate outside of school time, are
local, state or national law. remedy in any proven instances of family members, under
10. If young workers are non-compliance and shall supervision and only doing
employed their work is not maintain records of the same. non-hazardous work
mentally or physically
harmful and does not Where local law imposes
interfere with their tighter restrictions on
schooling, if applicable. employment of persons
under 18 than implied by
ILO convention, compliance
with local law must be
ensured.
3.3 Workers’ pay 3.3.MS A Workers receive Ensure that all members are Refer members to group Guidance on when a
complies with payments as expected and aware of the requirement to policy and provide training worker is considered a
minimum legal agreed in accordance with at document payments to workers worker and not family
requirements, least the legal minimum wage labour; This because this
mandatory industry rate (excluding overtime
Collate and maintain records on can qualify for a Skip and
standards and premiums) and without
behalf of all members on their use will be audited
collective agreements discrimination against vulnerable
of hired labour, which shall
as defined by the populations, including women.
include payment records and
national law. basis for payment – piece rate or
daily rate
3.3 MS B Workers receive Ensure that all members are For the purposes of Guidance to specify a basis
payments as expected and aware of the requirements of the checking compliance, piece for converting piece rate
38
10 April 2019
agreed in accordance with at standard in this respect and able rate payments shall be payments to daily rate
least the legal minimum wage to interpret these in their own converted into a daily rate equivalence
rate (excluding overtime operations equivalent
premiums) and without Guidance on collecting the
discrimination against vulnerable evidence and meeting the
populations including against requirements be prepared
women. by the SH academy.
3.4 Workers are given 3.4 MS B Workers are aware of Ensure that all members are The group manager may Template guidance for
the right and and have access to an effective aware of the requirements of the draft a single policy on use group level labour policy
opportunity to file a means for filing a complaint. standard in this respect and able of labour by group and Standard Operating
complaint to group to interpret these in their own members, encompassing Procedures
manager or relevant operations and for their workers. all labour related criteria
third parties (e.g., (see also under 3.1.MA) Training materials RSPO
RSPO, local Smallholder Academy
government, etc.) Such a policy shall;
• Incorporate a mechanism
for receiving and
addressing complaints
from labourers concerning
their working conditions or
remuneration. Both the
process of the dispute and
the way it was resolved
shall be documented.
• Require that group
members ensure that
workers are familiar with
the possibility of a filing a
complaint.
3.5 Working 3.5.MS A Smallholders, workers, Incorporate health and safety into Facilitate training to ensure RSPO Smallholder Academy
conditions and and family members complete Group level policy and training that all members are aware training materials for
facilities are safe training and aware of health and plans of the main risks related to Group manager as well as
without risks to health safety risks associated with farm working conditions on smallholders
39
10 April 2019
and meet minimum work, (including that of pesticide Facilitate delivery of training itself smallholder farms and
legal requirements. use) and how to mitigate these. incorporate measures for
ensuring the health and
safety of workers employed
by group members.
Training shall also ensure

all workers are familiar with
the group level health and
safety procedure and have
access to basic first-aid
needs;
3.5.MS B Workers, including Encourage group members to Develop list of types of Template for recording
smallholder family members, report accidents on their farms work that are considered to accidents
have access to safe working and record all accidents reported have high health and safety
conditions to include: risks Guidance on what includes
• Safe and adequate housing, Review accident records and should be in "basic first
where applicable. periodically and support action by Facilitate availability and aid supplies"
• Health and safety training the group to identify and address affordability of the PPE and
and equipment, including any significant risks emerging first aid supplies
minimum personal from these reviews.
protective equipment (PPE) if
appropriate for the type of
work
• Basic first aid supplies
• Adequate drinking water,
and toilets
3.6 There is no 3.6.MS A Smallholders complete Incorporate awareness on The group manager may Template for group policy
discrimination, training of work place discrimination, harassment, draft a single policy on use on good labour practices
harassment, or abuse discrimination, harassment and abuse into Group training plans of labour by group
on the farm. abuse. and facilitate delivery of members, encompassing RSPO Smallholder Academy
3.6. MS B Workers freely express awareness training itself all labour related criteria training module/tool for
that they are working in a safe (see also under 3.1.MA) group managers
40
10 April 2019
place that is free from Recognise vulnerable populations

discrimination, harassment or (women, indigenous people,) that Such a policy shall require
abuse. may be likely targets of that group members;
discrimination/harassment/abuse • Offer equal opportunities
to all their workers
• Ensure all their workers
are aware of this aspect of
the group labour policy
• Commit to prevention of
sexual, and all other forms
of harassment, violence
and protection of
reproductive rights.
PLANET
Principle 4 – Protect, conserve and enhance ecosystems and the environment
Protect the environment, conserve biodiversity, enhance ecosystems and ensure sustainable management of natural resources.
Criteria Indicators Responsibilities for Group Guidance for Group Manager Supporting guidance,
Manager tools and documents
4.1 High 4.1 MS A Smallholders Lead the group through The HCV for SH approach uses a specialised Group manager
conservation value complete training on and implementation of the smartphone App with web dashboard, to training on HCV
areas (HCVs) on the aware of: Simplified HCV approach collect and aggregate data on farmer group (identification,
smallholder plot or - the importance of for independent members and their plots. The approach is management and
within the group maintaining and smallholders easier to follow with access to a smartphone or monitoring)
are managed to conserving HCV areas; tablet, but if this is not possible, ‘offline’ paper
ensure that they - human-wildlife conflict Train and raise awareness templates can be used.
are maintained and amongst group members Tools
and/or enhanced. - recognising rare, on principle of protection For established smallholder plantations the Smartphone/ HCV
threatened and through precautionary approach consists of the following 4 phases; Apps and dashboard to
endangered species and practices for existing and Phase 1 - Introduce the HCV concept and aggregate data
important ecosystems low risk new plantings procedures to your group members collected
Phase 2 - Visit and register all farmers in your
41
10 April 2019
Participate in training on group

use of HCV App and/or Phase 3 – Information collection: Field survey,
train group members on Upload data to the dashboard, Download list
how to use it of farmers and map from dashboard
Phase 4 – Implementation of precautionary
Understand basic concepts practices: Scoping & identification of focal
of Human Wildlife Conflict species, Dialogue with group members to
and HCVs agree precautionary practices, Verification and
monitoring.
Follow training or
demonstrate knowledge Ref RSPO Guidance Documents on Simplified
on HCVs and Rear, Tool for Independent Smallholders – HCV App,
Threatened and for established SH plantations
Endangered species (RTE) https://rspo.org/publications/download/a48691dcf9dd573
https://www.rspo.org/publications/download/3b95ed16efc90d2
4.1 MS B Smallholders Same as 4.1MA. See Phase 4 of HCV for ISH approach; Template to monitor
implement precautionary implementation (GM)
practices and manage and It is possible to use risk calibrated approach to
maintain rare, threatened conduct more regular engagement with
and endangered species members whose plots are close to HCVs
and HCV areas, where
applicable.
4.2 Where the 4.2.E Smallholders Collect information from Collect and record information on all group Template to declare
existing provide information on all members on start data of members on starting date of their plantings land clearing history
smallholder plot is smallholder plots their palm plantings.
on an area converted and planted Verify where possible
identified as HCV with palm after 2005,
and cleared after through use of the HCV Collect and record
November 2005, a App for Smallholders. information on each plot
remediation and where there was land
compensation conversion after 2005 and
process aggregate that
appropriate for information for all
smallholders based members in the group.
42
10 April 2019
on Land Use 4.2.MS A plan to identify Support understanding of LUCA applies to group, not individual LUCA maps
Change Analysis the maximum area for on- group members of this
(LUCA) will be site remediation of HCV criterion and coordinate Guidance on
applicable. areas lost between 2005 the participatory process, Remediation and
(Reference and November 2019, is following guidance compensation of HCV
preamble) developed through a provided by RSPO areas for independent
participatory process by Secretariat smallholders
all affected individual
group members and Training on how to
submitted to the RSPO. conduct participatory
process (for group
manager and
smallholders)
4.2 MS B An RSPO- Coordinate development As possible, on-site remediation plan should RSPO guidance on
approved plan to of plan for on-site apply to a collective of individual members RaCP for Smallholder
remediate for HCV areas remediation with the (tbd)
lost between 2005 and group On-site remediation on a case by case basis.
November 2019, is SH Group is not
implemented. expected to pay for
compensation. Only
on-site remediation.
4.4 New plantings 4.3E Smallholders provide Register and collect data For new SH planting the HCV for SH approach Template for
of independent information on all on plots that group consists of the following 4 phases; Smallholder
smallholders, planned new plantings members plan to plant Phase 1 - Introduce the HCV concept and Declaration
since and commit that no new with palm procedures to your group members
November plantings are in primary Phase 2 - Visit and register all farmers in your Refer to 2.1 E
2019: forest, HCV areas, on Collect boundaries of the group
o Do not replace steep slopes (more than plot allocated for new Phase 3 – Information collection and
primary forest, 25 degrees or as in NI) or plantings, complete processing: Field survey; Uploading survey
o Do not replace on peat. questions of HCV App for information to dashboard; Reviewing data and
any HCV area each plot reporting; Follow up on medium risk-level
o Are not on plots
steep slopes Apply guidance of the Phase 4 - NPP preparation and HCV
43
10 April 2019
(more than 25 Simplified HCV approach management

degrees or as and report on and record
in NI) for each plot the risk level Ref RSPO Guidance Documents on Simplified
Are not on peat and appropriate Tool for Independent Smallholders – HCV App,
areas of any depth. protection and for established SH plantations
management practices, https://rspo.org/publications/download/a48691dcf9dd573
https://rspo.org/publications/download/bdb07d1992be1e2
determining whether:
- HCVs can be managed
Where the HCV for SH approach indicates that
through implementation
new SH planting would present a high risk to
of precautionary practices,
HCVs the GM will need to organise a full ALS
where risks are low, or
assessment for these plots.
- A full Assessor Licensing
Scheme (ALS) HCV
For new plantings it is anticipated that the
assessment must be
HCV4SH approach will identify high risk due to
commissioned
presence of primary forests, excessive slopes
or peat soils.
4.3 MS A Before any land Support SH's in Where precautionary practices are deployed Guidance and training
preparation commences, understanding this under HCV for SH approach, no specific 'HCV on how to develop
where HCVs and other criterion and the areas' are designated integrated
set-aside areas have been development of an management plan
identified [via the HCV for integrated management Only relevant in case where ALS HCV (part of the SOP)
Smallholder App and plan. assessment has been conducted, which is likely
other processes], an to be rare.
integrated management
plan to maintain or
enhance these areas is
developed through a
participatory approach
with all group members.
4.3 MS B Smallholders Support members in See HCV for SH guidance See HCV for SH
have an approved developing short and guidance
integrated management medium term new
plan for their planned planting plans
44
10 April 2019
new plantings and share a

notice of this plan with
those involved in the
participatory mapping
before any land
preparation commences.
4.4 Where 4.4 MS A Smallholders Draft a plan and Standard In developing a group plan the GM may refer Simplified guidance for
smallholder plot complete training on best Operating Procedures to; smallholders on water
exists on peat, management practices (SOPs) for the - RSPO manual on best management practices management systems
subsidence and (BMPs) for peat and management of group (BMPs) for existing oil palm cultivation on peat (tbd).
degradation of group manager has an member plantations on - Protocol for Oil Palm Independent
peat soils is action plan to minimize peat soils and ensure the Smallholder for Sustainable and Responsible Guidance and Training
minimised by use risk of fire and manage support and commitment Management of Peat Areas on risk of fire, water
of best water system* and apply of all group members to - Simplified guidance for smallholders on water management on peat
management BMPS for plantings on follow the plan and SOPs management systems.
practices. peat in the certification A template for fire,
unit. water and peat
management and
monitoring
4.4 MS B Smallholders Arrange training for group Tool - Monitoring
implement action plan members as necessary, Template (refer 4.4
based on best within the overall Group MA)
management practices training plan, to enable
for existing plantings on their implementation of
peat. the group plan for peat
management
Monitor implementation
of the peat management
plan and practices on
individual group member
plantations and take
action to remedy any
deviation from the plan.
45
10 April 2019
4.5 E Smallholders sign a Ensure that all members Template Smallholder

4.5 Plots on peat Smallholder Declaration are aware of the Declaration
are replanted only committing to provide requirements of the
on areas with low information on all plans replanting on peat;
risk of flooding, for replanting and commit
saline intrusion and that replanting will only Explain Smallholder
subsidence as be in areas with low risk Declaration to group
demonstrated by a of flooding, saline members; signing and
risk assessment. intrusion and subsidence maintain records of signed
(Reference 1.2.E). Smallholder Declarations
for group
4.5 MS A Smallholders Support group members
with plots older than 15 to determine when plots
years on peat complete on peat will need to be
training on identification assessed; Arrange training
of future risks of flooding for group members as
associated with necessary, within overall
subsidence and alternate group training plan,
land development
strategies.
4.5 MS A Smallholders Support or conduct Simplified guidance for
with plots older than 15 training; support members BMPS on peat (in
years on peat complete that need to develop development)
training on identification alternate land
of future risks of flooding development strategies.
associated with
subsidence and alternate
land development
strategies.
4.6 Fire is not used 4.6 E There is no physical Assess eligibility following Where possible, may use Global Forest Watch Template Smallholder
on the farm for evidence of burning for guidance regarding Fire Alerts to assess and monitor compliance Declaration
preparing land, for land preparation by evidence of burning
pest control, nor smallholders.
46
10 April 2019
for waste Follow up on the ground

management. whenever there is an alert
in the proximity of any
group member plots to
ascertain of there has
been an infraction
4.6 MS A Smallholders Ensure group members Support group members: Guidance and Training
complete training on and are aware of this --In communicating this requirement to any on fire for farm waste
are aware of requirement workers they employ in their plantations management, pest
•Alternatives to fire for --To identify alternative techniques for control, fire prevention
land preparation and Incorporate requisite preparation of planting sites, notably for and fire management
farm waste management training in group training replanting on sites where pest and disease risk
(where possible) plan is high Tools:
•Alternatives to fire for SOP on fire control
pest control
•Fire prevention, how to
respond to and manage
fires in their community
and village.
4.6 MS B Smallholders do Monitor compliance and Same as above
not use fire or practice follow up (as above)
burning for land
preparation, waste
management or pest
control on the farm. For
pest control, fire may be
used only in exceptional
circumstances that is
where no other effective
measures exist and with
prior approval of relevant
government authority
47
10 April 2019
4.7 Riparian buffer 4.7.E Smallholders Arrange training for group Template Smallholder
zones (as per NI) commit to no new members and their Declaration
are protected and plantings in riparian workers as necessary, and
managed. zones. incorporate with Group
training plans
4.7.MS A Smallholders The GM shall support RSPO SH Academy
complete training on and members to develop a training module
aware of riparian buffer farm management plan to
zone (as per NI) include; Template for SOP
management. •Draft a group policy and
4.7 MS B Smallholders Standard Operating
rehabilitate, manage and Procedures (SOPs) for the
maintain riparian buffer protection and
zone areas (as per NI). management of riparian
buffer zones
•Ensure the support and
members to this policy
and SOPs
•Arrange training for
group members and their
workers as necessary to
enable the
implementation of this
policy and SOPs
•Monitor implementation
of the SOPs and take
action to remedy any non-
compliance
4.8 Smallholders 4.8 MS A Smallholders Arrange training for group RSPO Smallholder
minimise and complete training on and members and their Academy Training
control erosion and aware of best workers as necessary, and module
management practices to
48
10 April 2019
degradation of protect marginal and incorporate with group

soils. fragile soils, including training plans
steep terrain.
4.8 MS B Smallholders The GM shall; For new plantings it is anticipated that the HCV Guidance HCV for
implement best • Obtain a soil map of the for SH approach will identify high risk due to smallholders
management practices area in which group presence of excessive slopes and fragile soils.
for soil maintenance and members’ plantations are
protection. located and identify any For soils in riparian buffer zones, the policy and
fragile soils at risk within SOPs referred to at 3.6 will apply.
this area
• Draft Standard
Operating Procedures
(SOPs) for the prevent
erosion and degradation
of soils
• Ensure the support and
members to these SOPs
4.9 Pesticides are 4.9 MS A Smallholders Arrange training for group Facilitate or provide training to group members RSPO Smallholder
used in ways that complete training on best members and their on Best Management Practices Academy training
do not endanger management practices for workers as necessary, and modules
health of workers, pesticides including incorporate with Group
family, pesticide usage, storage training plans, both on
communities or the and disposal; and banned handling and use of
environment. pesticides (and in pesticides and on the basic
compliance with 3.5). principles of IPM
4.9.MS B Smallholders Conduct periodic check-ins Group policy and SOPs shall maintain the RSPO Smallholder
implement best to ensure group members following principles; Academy training
management practices for are implementing the • Application of an Integrated Pest modules
pesticide use which practices they learned Management (IPM) approach, in order to
mandates exclusion of during the training. minimize any pesticide use
pesticides that are Incorporate into farm • No prophylactic use of pesticides, except in
49
10 April 2019
categorised as WHO Class management plan a policy specific situations

1A or 1B, or those listed by and Standard Operating • Use of pesticides only in accordance with the
the Stockholm or Procedures (SOPs) for the product label
Rotterdam Conventions, management of pests, • Provision of safe, controlled storage and issue
and paraquat, unless diseases, weeds and for use of pesticides
when authorized by invasive species • Handling and application of pesticides only by
government for pest persons who have completed the necessary
outbreaks. • Ensure the support and training
commitment of all group • Provision and use of appropriate safety and
members to this policy and application equipment
SOPs • No use of pesticides that are categorised as
• Maintain records on World Health Organisation Class 1A or 1B, or
behalf of the group on all that are listed by the Stockholm or Rotterdam
pesticides used in group Conventions, or of Paraquat except in specific
member plantations, situations identified in national Best Practice
including; guidelines. The use of such pesticides shall be
o Source of product minimised and eliminated as part of a plan and
o Purpose of use (i.e. shall only be used in exceptional circumstances
weeds and pests requiring • Preclude use of pesticides by pregnant or
control) breast-feeding women
o Quantity used • Provision for medical check-ups for any
o Date of use smallholders and their workers in frequent
o Method and rate of contact pesticides
application • Feedback from the individual farms and
o Method of disposal of subsequently analyse the data to improve
pesticide containers performance
• Monitor implementation
of the SOPs and take action Some Groups may opt to be pesticide free. If
to remedy any non- this is the case the Group Manager should write
compliance a simple explanation stating this and the
reasons
4.10 Smallholders 4.10 MS A Smallholders See 4.8 MA See above 4.8.MA
manage pests, complete training on and
50
10 April 2019
diseases, weeds aware of best

and invasive management practices,
introduced species including, but not limited
using appropriate to safe chemical use,
techniques, Integrated Pest
including but not Management, weed and
limited to invasive species
Integrated Pest management.
Management (IPM) 4.10 MS B Smallholders See 4.8 MB See above 4.8.MB
techniques. maximize use of IPM
approaches to minimize
use of pesticides on their
farm.
51
10 April 2019
Annex 1 – Definitions
Child Labour Child labour is work that deprives children of their childhood, their potential and
their dignity, and that is harmful to physical and mental development. The term
applies to:
• All children under 18 involved in the “worst forms of child labour” (as per
ILO Convention No. 182)
• All children aged under 12 taking part in economic activity; and
• All 12 to 14-year-olds engaged in more than light work.
The ILO defines light work as work that is not likely to be harmful to children’s
health or development and not likely to be detrimental to their attendance at
school or vocational training.
Those under 18 years old should not engage in hazardous work that might
jeopardise their physical, mental or moral well-being, either because of its nature
or the conditions under which it is carried out. For young workers above the legal
minimum age but below 18, there should be restrictions on hours of work and
overtime; working at dangerous heights; with dangerous machinery, equipment
and tools; transport of heavy loads; exposure to hazardous substances or
processes; and difficult conditions such as night work at night.
Source ILO Minimum Age Convention, 1973 (No. 138).

Forced All work or service which is exacted from any person under the menace of any
Labour penalty and for which said person has not offered him or herself voluntarily. This
definition consists of three elements:
1. Work or service refers to all types of work occurring in any activity,
industry or
sector including in the informal economy.
2. Menace of any penalty refers to a wide range of penalties used to
compel
someone to work.
3. Involuntariness: The terms “offered voluntarily” refer to the free and
informed
consent of a worker to take a job and his or her freedom to leave at any
time. This is not the case for example when an employer or recruiter
makes false promises so that a worker takes a job he or she would not
otherwise have accepted.
Sources:
ILO Forced Labour Definition
ILO, Forced Labour Convention, 1930 (No. 29)
ILO, Protocol of 2014 to the Forced Labour Convention, 1930 (P029)
ILO, Abolition of Forced Labour Convention, 1957 (No. 105)
ILO, Forced Labour Recommendation 2014 (No. 203)
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10 April 2019
Generic Refers to the existing RSPO Principles and Criteria for the Production of
P&Cs Sustainable Palm Oil (2018) production of large growers and mills approved by the
General Assembly in 2018.
Group Person, group of people or organisation responsible for running the internal
Manager control system and managing the group. This can be a mill, an organisation or an
individual.
Smallholder Independent All smallholder farmers that are not considered to be Scheme
Smallholder Smallholders [see definition for Scheme Smallholders below] are
considered Independent Smallholder farmers.
Scheme Smallholder farmers, landowners or their delegates that do not
Smallholder have the:
• Enforceable decision-making power on the operation of
the land and production practices; and/or
• Freedom to choose how they utilise their lands, type of
crops to plant, and how they manage them (whether and
how they organise, manage and finance the land).
Smallholder Individuals or (extended) families producing oil palm on individual or multiple
farm smallholder plots, under the thresholds currently defined by RSPO for
smallholders.
Smallholder Land owned by smallholder that is planted with oil palm or allocated for oil palm
plot expansion or replanting.
Unit of The entity that signs the certification agreement and holds the RSPO certificate.
Certification This entity takes responsibility for the development and implementation of the
for ISH group’s internal management system and all member farms’ management
Standard systems. The group management assures member farms’ compliance with the
Standard.
Worker Men and women, migrants, transmigrants, contract workers, casual workers and
employees from all levels of the organisation, on the farm and in the ICS, that are
outside of the family, where family is defined as one household.
Young Young workers are aged 15, or above the minimum age of employment, but under
person the age of 18. According to the ILO, “these workers are considered ‘children’ even
where they may legally perform certain jobs.”
53
10 April 2019
Annex 2
Summary of RSPO’s Simplified HCV Approach & Tool for Independent Smallholders
The RSPO recognises that independent smallholders face challenges in complying with the criteria to
identify, maintain and enhance High Conservation Values (HCVs), see criterion 4.1 to 4.3.
To help independent smallholders implement these criteria, the RSPO has developed a Simplified HCV
Approach. This approach recognises that the probabilities of HCVs being present, and impacted on,
differ between existing plantings (criteria 4.1 and 4.2) and new plantings of palm oil (criterion 4.3). It
is based on and unifies earlier work on HCV methodologies for smallholders by the Conservation
International (CI), the HCV Resource Network (HCVRN) and the SHARP Programme.
In existing plantations, natural vegetation has already been cleared for oil palm. Traditional forest use
has ceased, and most originally present plants and animals are no longer there. Consequently, the risk
of damaging HCVs in established plantings is considered to be low. For those areas where existing
plantings are based on clearings after 2005, the Remediation and Compensation procedures for
independent smallholders apply (see criterion 4.2).
HCVs are more likely to occur in natural habitats, so where such lands are cleared for new oil palm
plantings (Criterion 4.3), risks to HCVs are higher. For new plantings, the risk of damaging HCVs depends
on the:
• Probability of HCV presence: the more likely that HCVs are present, the higher the risk of
negative impacts from planting oil palm on that site. While biological HCVs (1-3) depend on
the type, size and quality of natural habitats (e.g. forest) and of species present at a site, HCVs
4-6 relate to the dependence of local communities on the site for subsistence or cultural
identity.
• Size/scale of expansion: Large scale oil palm development is likely to have more impact on
HCVs than small scale expansion – the total size of planned new oil palm is therefore also a
factor that determines risk and all new oil palm plantings that > 500ha are considered high
risk. If <500ha, then it depends on probability of HCVs being present whether it is considered
low, medium or high risk.
The combination of probability and size of the expansion determine which HCV procedure is required
for new plantings. This approach also serves as the New Planting Procedures (NPP) for independent
smallholders (see also figure below).
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10 April 2019
The figure below presents an overview of proposed new plantings procedure for independent
smallholders.
55
10 April 2019
Annex 3
Assurance Frameworks for the RSPO Independent Smallholder Standard
This Annex sets out a brief summary for the systems that shall be followed in the implementation of
certification against the requirements of the RSPO Independent Smallholder Standard and its National
Interpretations. For the purposes of the public consultation, this document is to be read in conjunction
with the RSPO Certification Systems version 2017. This document is currently subject to revision and
the systems that have to be followed for the Independent Smallholder Standard will be integrated into
the updated version later this year.
A few key considerations to be taken into account in the certification of an Independent Smallholder
Group are:
● Group Entity shall be member of RSPO

● The RSPO certificate of compliance is awarded to a Group Entity.
● Traders of Fresh Fruit Bunches (FFB), who may handle FFB between the group members and
the palm oil mill, must be either:
○ Independently certified to the RSPO Supply Chain Certification Standard; or
○ Part of the Group structure with a chain of custody system under the control of the
Group manager that complies with the applicable parts of the RSPO Supply Chain
Certification Standard.
The certification system includes assessment and verification at each of these three phases. Each phase
has its own assurance requirements for assessing compliance, claims that the smallholder can make as
well as benefits for the smallholder as shown in the figure below.
Assessment of Compliance for Independent Smallholder Standard
The requirements outlined in the three stages (Eligibility, Milestone A, Milestone B) and the
requirements on the Internal Control System (ICS) mentioned in the Independent Smallholder Standard
are auditable at the indicator level. All non-compliances against these indicators are considered major
non-compliances.
The requirements at every stage are audited cumulatively. For example, an audit of an Independent
Smallholder Group at Milestone A would involve auditing the group against all the indicators of the
Eligibility phase and all the indicators of Milestone A.
RSPO Certificate of Compliance
A single certificate is awarded to the Group in the absence of major non-compliances. Group is given
90 days to resolve any major non-compliance raised during the certification or subsequent surveillance
audits. If the non-compliances raised during the audits for Milestone A, or Milestone or subsequent
surveillance/re-certification are not closed within 90 the days, the certificate will be suspended, and
subsequently withdrawn. For example, Smallholder groups who have not successfully closed the non-
compliances raised during the audit for Milestone A within the 90 days, will no longer be certified and
their volumes cannot be sold as certified.
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10 April 2019
The certificate number is shared by all Group members with each member having a unique
identification code to be referred to as Unique Member Registration Number.
The maximum period of validity of the RSPO P&C certificate is three years valid from Eligibility through
Milestone B. The CB shall undertake a remote audit to review the self-assessment reports at Milestone
A to ensure continued validity of the certificate.
Upon reaching Milestone B, a single certificate is awarded to the group with the maximum validity of
five years. The CB shall undertake annual surveillance audits during the certificate’s validity, and a full
re-certification audit of compliance shall take place before the end of the five-year period.
Inclusion of new members in the Group after certification

New members can join the group at any stage and will be assessed according to their readiness to
comply with the standard. For example, a group of smallholders who are already at Milestone A can
have new members who are at the eligibility phase join the group. The group will be assessed together
but the requirements the members will be assessed for will be according the Milestone they are
complying with.
Sampling for Group Assessments by CB
In order to determine the representative sample of Group members for the audits at Eligibility stage
and Milestone B, the CB is required to carry out a risk assessment of the members. The risk assessment
shall take into account the diversity of the Group members (i.e. range of size, management structure,
diversity of terrain, etc.) and any perceived risk relating to the activities being undertaken (e.g. how
much replanting or expansion is occurring, how many members are new and, for subsequent
assessments, whether there is a history of non-compliances).
The risk and subsequent sample size will be also be informed by consultation with Stakeholders.
57

RSPO - ISH - Standard - April2019 - Final - For Public Consultation PDF

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Public Consultation RSPO Independent Smallholder Standard

RSPO Independent Smallholder Standard

The RSPO Independent Smallholder Standard

Impact Area ToC ISH Standard

People Principle 2 - Legality, Respect for Land

Planet Principle 4 – Protect, conserve and

Figure 1: Documents relevant for the RSPO Independent Smallholder Standard

Section Content Key User

1.1 Who can use the RSPO Independent Smallholder Standard

I am an independent smallholder if:

I am NOT a scheme smallholder (see definition Annex 1).

1.2. To what does the RSPO Independent Smallholder Standard apply

How to define the total size of a palm production area?

The qualified independent smallholder must:

The qualified group must:

What is a group? Not all groups look alike:

a. Group Certification for FFB production – see here.

2. RSPO Phased Approach for Independent Smallholders Certification

2.1 Verification, Claims and Credits

Principle for converting certified FFB to certified palm oil (CSPO)

2.1.1 Eligibility - entry level

2.1.2 Milestone A – continual improvement and progress

2.1.3 Milestone B – continual improvement and full compliance

Figure 3: Assurance and smallholder credit claims system.

3. Normative Requirements of the RSPO Independent Smallholder Standard

3.1 Principles, Criteria, Indicators

3.1.1. Further guidance to interpret the Principles, Criteria and Indicators

3.1.2 Support for smallholders to achieve compliance

3.1.3 Skipping indicators that are not applicable

3.1.4 Smallholder Declaration

3.1.5 Additional considerations

Implement professional and transparent operations to secure sustainable livelihood improvements.

a. Declare all land holdings and production and transactions,

• Consulting with local

Principle 2 - Legality, Respect for Land Rights and Community Wellbeing

Comply with the law and respect communities’ rights

Principle 3 – Respect human rights, including workers’ rights and conditions

1. Comply with the minimum age the age of 15 or under the

NA 3.4 MS A Smallholders complete 3.4.MS B Workers are aware of and

work, (including that of pesticide • Safe and adequate housing,

High Carbon Stock (HCS)

Remediation and Compensation Procedure (RaCP)

Principle 4 – Protect, conserve and enhance ecosystems and the environment

4.3E Smallholders sign a Smallholder

NA 4.4 MS A Smallholders complete 4.4 MS B Smallholders implement

3.2 The System Requirements for Group Formation

3.2.1 Support for group managers to form a group

B - Internal Control System – Policies and Management

4.Guidance for Group Managers

Implement professional and transparent operations to secure sustainable livelihood improvements.

Ensure each group member

f. Actively participate in group Copies of all documentation

1.2.MS A Smallholders complete Training materials for

1.3 Smallholders 1.3.MS A Smallholders complete Guidance for group

Comply with the law and respect communities’ rights

their plot boundaries. In case presenting boundaries of Group manager to train

Local practice applies to

reference to those local

CSOs and Govt agencies as

expressed through meant to improve SHs

All FPIC elements should be

Group Managers should:

signatures or thumb prints.