There are two elements to the chain of custody process. The first is a company’s preparation of a robust chain of custody system and the second is the audit process itself. The following is a general guidance on how to achieve CoC certification.
Step 1 – Decide which CoC approach to use:
Step 2 – Identify and manage all Critical Control Points (CCPs)
One of the main steps to implement chain-of-custody certification is to identify all Critical Control Points (CCPs). CCPs are points in the process where there is a possibility for mixing certified and uncertified materials. Each of the identified points will need controls to ensure that mixing does not occur. In most cases, the CCPs would include the following:
The way to prevent the mixing of certified and uncertified materials at CCPs is through a combination of product confirmation and identification, segregation and appropriate documentation, together with sufficient training.
Step 3 - Internal audit
Once the chain of custody system has been implemented, it is often useful to carry out an internal audit to check that it is working. If needed, it may also be possible for a certification body to carry out a pre-audit visit to help identify the remaining gaps, although this is unlikely for CoC unless it’s a particularly large or complex organization.
Step 4 – Contacting a certification body
CoC certification must be carried out by an accredited certification body. It’s advisable to contact several certification bodies to find out how much they charge, how quickly they could carry out the assessment, how long the gap between assessment and certification is likely to be and what support they can provide with information on logo use and claims. For FSC certification, see the latest list of FSC Accredited Certification Body.
Step 5 – The assessment
CoC assessment usually takes only one day and will involve an inspection of both documents and the physical process. The auditors will collect objective evidence that the requirements for CoC are being fully implemented. This usually include looking into documentation, implementation, reconciliation of quantities bought and sold, uncertified material, and labeling.
Step 6 – Findings and CARs
If auditors find requirements that are not being implemented, this is classified as a non-compliance, which usually results in a corresponding corrective action request (CAR). If a major CAR is raised, it must be adequately addressed before certification can proceed. If a minor CAR is raised, certification can continue but only on the condition that the non-compliances are addressed within an agreed time frame.
Step 7 – Certification and surveillance
In no major non-compliances are identified, the a certification decision and the issue of the certificate should be fairly rapid and is usually valid for five years, conditional on regular surveillance visits. They typically take place once every 6-12 months.
Step 8 – Making claims
Most certification schemes have strict rules and detailed guidance about what claims can and cannot be made, and about the use of the scheme logo. Certification bodies are generally required to ensure that these rules are adhered to as part of the ongoing certification and surveillance process.
Source:
Nussbaum, R. and Simula, M. The Forest Certification Handbook - 2nd edition. Earthscan, 2005.
This book gives practical advice on developing, selecting and operating a certification programme which provides both market security and raises standards of forestry management.