Governance structure
1. Certification schemes shall set up a robust governance structure that ensures that the scheme has the necessary legal and technical capacity, impartiality and independence to perform its duties. Such governance structure shall include a Board comprised of independent members who assume fiduciary responsibility for the organisation and operate according to transparent procedures. Depending on their certification scope, certification schemes shall set up a technical committee, or an equivalent system of technical expert support, which shall include all relevant stakeholders, if possible, to provide advice to the scheme management on technical issues. Certification schemes shall carry out transparent stakeholder consultations for any new version or major updates of the general requirements, processes and guidelines of the scheme.
2. Certification schemes shall set up rules and procedures to avoid conflicts of interest in decision-making. As a minimum standard, they shall enforce a system of checks and balances to ensure that no individual stakeholder, having a vested interest in the outcome of a decision, may have decisive influence on that decision. Persons having a potential conflict of interest shall be excluded from decision making in the certification schemes. Certification schemes shall put in place appropriate procedures and an audit trail to identify and document such cases, and shall regularly review them as part of their internal control system.
Internal monitoring, complaints procedure and documentation management system
1. Certification schemes shall set up a system of internal monitoring to verify compliance of operators with the rules and procedures applied by the scheme and to ensure the quality of the work carried out by the auditors of the certification bodies. Internal monitoring shall be carried out at least once a year or at least at the same frequency of the audits to reflect the certification scope of the scheme, as well as the level of risk of the activities carried out by the operators. As part of the internal monitoring, certification schemes shall require certification bodies to provide them with all the reports of the certification audit, re-certification audit, or monitoring audit (“audit”). The internal monitoring shall cover a random and risk-based sample of those audit reports by each certification body.
2. Certification schemes shall establish procedures for the lodging and handling of complaints against operators or certification bodies. Those procedures shall allow complaints to be sent electronically and shall ensure the protection of natural or legal persons who report infringements or lodge complaints in good faith in accordance with Directive (EU) 2019/1937 of the European Parliament and of the Council ( 2 ) .
3. Certification schemes shall keep a register of all complaints. Upon request by the Commission or the Member State where the complaint has been lodged, certification schemes shall provide the requester with all documents related to a complaint and its handling.
4. Certification schemes shall ensure effective follow-up of the results of the internal monitoring and the handling of complaints and, where necessary, apply the relevant remediation measures and sanctions for non-conformity by operators pursuant to the rules and procedures established in accordance with Article 6(1). Where necessary, certification schemes shall take corrective measures on their governance structure or on their internal monitoring process.
5. Certification schemes shall establish a documentation management system that addresses each of the following elements:
(a)
general scheme documents, e.g. manuals, policies, definition of responsibilities;
(b)
internal control system of certification documents and records;
(c)
review of the documentation management system;
(d)
internal auditing and monitoring;
(e)
procedures for prevention, identification and management of non-conformities.
6. Documentation listed in paragraph 5 shall be kept at least for 5 years after the end of the monitoring period.
Non-conformities by operators
1. Certification schemes shall set up a comprehensive system to deal with non-conformities by operators who participate in the certification schemes. As a minimum standard, that system shall include a clear classification of non-conformities, based on their degree of severity in accordance with the requirements set out in paragraphs 2 to 5. For each type of non-conformity, certification schemes shall set up a transparent set of rules and procedures to ensure timely enforcement of the remediation measures and sanctions listed in Article 7.
2. Certification schemes shall classify non-conformities identified during an audit as critical, major or minor.
3. A critical non-conformity shall consist in a violation of the certification scheme’s rules or procedures such as fraud, irreversible non-conformity, or violation that jeopardises the integrity of the certification scheme.
Critical non-conformities shall include at least the following:
(a)
non-compliance with the quality criteria set out in Articles 4 to 7 of Regulation (EU) 2024/3012 and with the certification methodologies referred to in Article 8 of that Regulation;
(b)
deliberate misstatement of the activity description;
(c)
falsification of greenhouse gas (GHG) data.
4. A major non-conformity shall consist in a violation of the certification scheme’s rules or procedures that is potentially reversible and repeated and that reveals systematic problems, or aspects that alone, or in combination with further non-conformities, may result in a fundamental systemic failure.
Major non-conformities shall include at least the following:
(a)
systematic problems with GHG data reported, such as incorrect documentation identified in more than 10 % of the claims included in the representative sample;
(b)
omission of an operator or a group of operators to declare its participation in other carbon removal certification schemes during the certification process;
(c)
failure to provide relevant information to the certification body, such as the information needed for the purposes of an audit.
5. A minor non-conformity shall consist in a violation of the certification scheme’s rules or procedures that has a limited impact, constitutes an isolated or temporary lapse, and shall not result in a fundamental systemic failure if not corrected.
Remediation measures and sanctions for non-conformities
1. In the event of non-conformities, the remediation measures and sanctions as laid down in paragraphs 2 to 7 shall apply to operators or groups of operators.
2. In the case of critical non-conformities, operators applying for certification shall not be issued a certificate.
3. Operators which were not issued a certificate in accordance with paragraph 2 may re-apply for certification after a fixed period of time, determined by the certification scheme according to the characteristics of the activity.
4. Critical non-conformities identified during re-certification audits or monitoring audits, or through a certification scheme’s internal monitoring or complaints process, shall lead to the immediate withdrawal of the certificate and no further issuance of certified units.
5. In the case of major non-conformities, operators applying for certification shall not be issued a certificate.
6. Major non-conformities identified during re-certification audits or monitoring audits, or through a certification scheme’s internal monitoring or complaints process, shall lead to the immediate suspension of the certificate. Where operators do not implement the remediation action within 90 days from the notification of the suspension, the certificate shall be withdrawn.
7. In the case of minor non-conformities, certification schemes shall define the period for the implementation of the remediation measures, that shall not exceed 12 months from their notification.
Change of certification scheme by operators or groups of operators
1. Certification schemes shall require an operator or a group of operators to disclose the following information in their application for certification:
(a)
whether they or their legal predecessor are currently participating in another certification scheme or have participated in another certification scheme in the last 5 years;
(b)
the auditing reports of the last 2 re-certification audits in another certification scheme, including, where applicable, the detailed list of findings by certification bodies, and any decision to suspend or withdraw their certificates in the last 5 years;
(c)
whether they withdrew from a previous certification scheme before the first re-certification audit.
2. Certification schemes shall exclude from the scheme operators or groups of operators in the following cases:
(a)
where the information listed in paragraph 1 has not been disclosed;
(b)
where operators or group of operators or their legal predecessors failed the certification audit under another scheme;
(c)
where operators or group of operators or their legal predecessors withdrew from another scheme before the first re-certification audit.
3. Paragraph 2, point (b) shall not apply where certification audit under another scheme took place more than 3 years before the application for certification or if in the meantime the other scheme ceased its certification activities, and that prevented the operator or group of operators from re-applying to the scheme. In that case, the scope of the certification audit shall be adjusted to cover all relevant issues and shall focus on the shortcomings identified in the certification audit that operators or group of operators or their legal predecessors failed in the other scheme.
4. Paragraph 2, point (c) shall not apply where the operator or group of operators proves that it had a valid reason providing that withdrawal from another scheme was unavoidable or necessary. That withdrawal shall not be caused by any critical or major non-conformity or neglect by the operator to implement the requirements of the certification scheme.
5. Certification schemes shall ensure an efficient and timely exchange between them of information referred to in paragraph 1.
Publication of information by certification schemes and minimum content of their annual operation report
1. Certification schemes shall make publicly and freely available on their website at least the information listed in Annex IV. The Commission shall make that information publicly available on the Union registry.
2. Certification schemes shall list on their registries those operators with a withdrawn certificate, terminated certificate or expired certificate, for at least 36 months after the date of withdrawal, termination or expiry of the certificate. Certification schemes shall make public without delay any changes in the certification status of operators.
3. The annual operation report referred to in Article 14(1), first subparagraph, of Regulation (EU) 2024/3012 shall cover the preceding calendar year and shall follow the structure and shall have the content as set out in Annex V to this Regulation.
Source: EUR-Lex (Publications Office of the EU), © European Union, reuse permitted under Commission Decision 2011/833/EU.
