Transcription
SECTION 4SFI 2015-2019Chain-of-CustodyStandardJanuary 2015
SFI 2015-2019 Chain-of-Custody StandardPART 1. General1.1Scope41.2 Additional Requirements41.3 References4Part 2: Requirements for Chain-of-Custody Process Physical Separation Method2.1General Requirements for Physical Separation42.3Separation of the Certified Content52.4Sale of Certified Content Products5Part 3: Requirements for Chain-of-Custody Process – Mixing of Inputs –Average Percentage Method and Volume Credit MethodGeneral Requirements for Mixing of Inputs553.2 Definition of the Product Group53.3 Identification of the Origin63.46Calculation of the Certified Percentage3.5 Average Percentage Method73.6 Volume Credit Method73.77Sale of ProductsPart 4: Due Diligence System to Avoid Controversial Sources4.1 Definition of Controversial Sources84.2 Verification of Purchased Product(s)84.38Conducting a Risk Assessment4.4 Implementing a Program to Address Risk89Part 5: Minimum Management System Requirements5.1442.2 Identification of the Origin3.14General Requirements995.2 Responsibilities and Authorities for Chain of Custody95.3 Documented Procedures95.4 Record Keeping95.5 Resource Management95.6 Internal Audit and Management Review10Part 6: Outsourcing Agreements6.1 Outsourcing Agreements106.2 Assessing Risk for Outsource Contractors10Appendix 1: Calculation of the Certification Percentage (Informative)11Appendix 2: SFI Chain-of-Custody Certificate Requirements (Informative)15 Appendix 3: Criteria for the Evaluation of Chain-of-Custody CertificationStandards for Use in the SFI Program1016SFI 2015-2019 Chain-of-Custody Standard 1/16
2/16 SFI 2015-2019 Chain-of-Custody Standard
SFI 2015-2019 Chain-of-Custody StandardINTRODUCTIONSFI Inc. is an independent, non-profit, charitable organization dedicated to promoting sustainableforest management in North America and supporting responsible procurement globally. The SFIBoard is a three chamber Board of Directors representing environmental, social and economicinterests equally, and the program addresses local needs through its grassroots network of 34 SFIImplementation Committees across North America. SFI Inc. directs all elements of the SFI programincluding the SFI forest management, fiber sourcing, and chain-of-custody standards, labeling andmarketing.Consumers in growing numbers want assurance that their buying decisions represent a soundenvironmental choice. They are asking for proof that wood, paper and packaging products are madewith raw materials from certified forest content or certified sourcing. The SFI 2015-2019 Chain-of-CustodyStandard and Associated Labels, implemented together with certification to the SFI 2015-2019 ForestManagement and Fiber Sourcing Standards and the SFI Rules For Use of On-Product Labels and OffProduct Marks, delivers a reliable and credible mechanism so businesses can provide this assurance tocustomers.Program Participants practice responsible forestry on the lands they manage and, once they aresuccessfully audited by an independent SFI certification body, they can make claims about SFI forestmanagement certification and access SFI-certified content labels. They also need to achieve a separatethird-party chain-of-custody certification.Chain of custody is an accounting system process that tracks wood fiber through the different stages ofproduction. Companies can make claims about how much of their product comes from certified lands,how much contains post-consumer recycled content, and how much is responsibly sourced fiber throughunique SFI fiber sourcing certification. These claims can be made based on either the physical separationor percentage-based methods of tracking certified forest content and certified sourcing.The SFI program addresses the fact that only 10 percent of the world’s forests are certified throughprocurement requirements in the SFI 2015-2019 Fiber Sourcing Standard requiring that ProgramParticipants establish adequate measures to ensure all the fiber they source is from legal andresponsible sources, regardless of whether it is from certified or uncertified forests. The SFI programmeets guidelines on environmental claims in product advertising and communication issued by theU.S. Federal Trade Commission and guidelines on environmental labeling and advertising issued by theCompetition Bureau of Canada.Studies have shown that consumers appreciate the value of forest certification in helping them identifywood and paper products from legal, responsible sources.The fact that the SFI program can deliver a steady supply of fiber from well-managed forests is especiallyimportant at a time when there is increasing demand for green building and responsible paperpurchasing, and only 10 percent of the world’s forests are certified.SFI 2015-2019 Chain-of-Custody Standard 3/16
Part 1. general1.1 ScopeWhat the Chain-of-Custody Standard DoesThe SFI 2015-2019 Chain-of-Custody Standard is an accountingsystem that tracks forest fiber content through production andmanufacturing to the end product. Organizations can use chain-ofcustody certification to track and communicate how much of theirproduct comes from certified lands, certified fiber sourcing, recycledcontent and/or non-certified forest content.What the Chain-of-Custody Standard CoversThe SFI 2015-2019 Chain-of-Custody Standard applies to anyorganization that sources, processes, manufactures, handles,trades, converts or prints forest-based products.Geographic Application of the Chain-of-Custody StandardThe SFI 2015-2019 Chain-of-Custody Standard applies to anyorganization globally.1.2 Additional RequirementsPrimary producers must also conform to the SFI 2015-2019 FiberSourcing Standard.Use of the SFI on-product labels and claims shall follow Section 5- Rules for Use of SFI On-Product Labels and Off-Product Marks aswell as ISO 14020:2000.1.3 ReferencesThis standard incorporates, by dated or undated reference,provisions from other publications. These normative andinformative references are cited at the appropriate places inthe text and the publications are listed hereafter. For dated andundated references, the latest edition of the publication applies.Normative Referencesi. I SO/IEC Guide 65:1996 General Requirements for bodiesoperating product certification systemsii. I SO/IEC 17065:2012 - Conformity Assessment Requirements for bodies certifying product, process andservicesiii. ISO/IEC Guide 2:2004 Standardization and related activities- General vocabularyiv. ISO 14020:2000 Environmental labels and declarations General principlesv. Section 2 - SFI 2015-2019 Forest Management Standardvi. Section 3 - SFI 2015-2019 Fiber Sourcing Standardvii. Section 5 - Rules for Use of SFI-On-Product Labels and OffProduct Marksviii. Section 7 - SFI Policiesix. S ection 9 - Appendix 1: Audits of Multi-Site Organizationsx. S ection 11 - Public Inquiries and Official Complaintsxi. S ection 13 - SFI Definitions4/16 SFI 2015-2019 Chain-of-Custody StandardFor the purposes of this standard, the relevant definitions given inISO/IEC Guide 2:2004 and ISO 9000:2005 apply, together with thedefinitions in the SFI Definitions (Section 13).Informative Referencesi. ISO 9000:2005 Quality management systems Fundamentals and vocabularyii. ISO 9001:2008 Quality management systems –Requirementsiii. ISO 14001:2004 Environmental Management Systems Specification with guidance for useiv. PEFC ST 2002:2013 Chain of Custody of Forest-BasedProducts - Requirements, May 24 2013v. Section 6 - Guidance to SFI 2015-2019 Standardsvi. Section 9 - SFI 2015-2019 Audit Procedures and AuditorQualifications and AccreditationPart 2: Requirements for Chain-of-CustodyProcess - Physical Separation Method2.1 General Requirements for Physical Separation2.1.1 The organization applying the physical separationmethod shall ensure that the certified forest content isseparated or controlled to ensure it is not mixed with orreplaced by uncertified content.2.1.2 The organization, whose certified forest content andrecycled content inputs are not mixed with other rawmaterial, should use physical separation as the preferredoption.2.1.3 An organization who makes SFI claims or uses the SFIon-product label in association with non-timber forestproducts shall apply the physical separation method toensure non-timber forest products are sourced from SFIcertified lands.2.2 Identification of the Origin2.2.1 Identification at Delivery LevelThe organization shall identify and verify the category ofthe origin of all procured raw material. Documents and/or verifiable information associated with the source and/or delivery of raw material shall include at least:a. s upplier identification;b. quantity of delivery;c. date of delivery / delivery period / accounting period;d. category of origin,i. S FI Certified Forest Content - Raw material from aforest certified to an acceptable forest managementstandard constitutes a claim of 100 percent certifiedforest contentii. SFI Certified Sourcingiii. Post-Consumer Recyclediv. Pre-Consumer Recycledv. SFI Recycled Content ande. T he supplier’s chain-of-custody number, if applicable.
This information can be documented in the form of, but notlimited to, an invoice, bill of lading, shipping document, letter,or other forms of communications between the organizationand the next entity in the supply chain. Note 1: The categories of the origin of raw material arespecified in the SFI Definitions (Section 13). Note 2: An organization (e.g., printer or lumberyard) that usesthe physical separation method and sources inputs from asupplier that uses the percentage-based method must knowthe percentage of certified content if it wants to label productsor make claims about them.2.2.2 Identification at Supplier LevelThe organization shall obtain or access confirmationdocumentation for all suppliers of the certified forestcontent, which proves that the criteria set for the supplierhave been met.2.3 Separation of the Certified Content2.3.1 Certified content shall remain clearly identifiablethroughout the entire sourcing production, trading andsales process. This shall be achieved by:a. physical separation in terms of production and storagespace orb. physical separation in terms of time orc. permanent identification of the certified content.2.3.2 Verification that certified content is controlled during theproduction, trading, and sales process to ensure it is notreplaced by uncertified material.2.4 Sale of Certified Content Products2.4.1 At the point of sale or transfer of the certified productsto another entity, the organization shall provide the nextentity in the chain with written information confirmingthe supplier’s certification status and an official SFI claimstatement providing a clear indication of input category.This can be in the form of, but is not limited to, aninvoice, bill of lading, shipping document, letter or otherforms of communications available to the customer atthe time of the sale of the product.2.4.2 The organization shall ensure that documentation of thecertified products clearly states at least the followinginformation:a. organization’s identification;b. quantity of delivery;c. date of delivery/delivery period/accounting period;d. an official SFI claim;i. SFI X% Certified Forest Contentii. SFI X% Recycled Contentiii. SFI X% Pre-Consumer Recyclediv. SFI X% Post-Consumer Recycledv. SFI X% Certified Sourcing (Note: Percentages of any combination of the aboveare permissible.)vi. SFI at Least X% Certified Forest Content ; ande. the organization’s chain-of-custody number.2.4.3 If the organization uses the off-product mark or onproduct label, both on-product and off-product usageshall be carried out according to the terms and conditionsof the Office of Label Use and Licensing and the Rules \for Use of SFI On-Product Labels and Off-Product Marks(Section 5 in the SFI 2015-2019 Standards and Rules).Part 3: Requirements for Chain-of-CustodyProcess – Mixing of Inputs – AveragePercentage Method and Volume Credit Method3.1 General Requirements for Mixing of InputsThe percentage-based method applies to organizations withfacilities where certified content is mixed with non-certified forestinputs that cannot be clearly identified in the output products.3.2 Definition of the Product Group3.2.1 The organization shall implement the requirements forthe chain-of-custody process of this standard for thespecific product group.3.2.2 The organization shall identify its product group(s) basedon the following criteria:a. raw material included in the products covered by theproduct group,b. production site at which the products covered by theproduct group have been produced,c. time period over which the products covered by theproduct group have been produced or sold/transferred.3.2.3 The product group shall be associated with (i) a singleproduct or (ii) a group of products, which consist ofthe same or similar input raw material based on, forexample, species, sort or substitutability within products(e.g., SPF lumber contains multiple tree species but maybe treated as a single product group).3.2.4 The organization shall identify an entity within theorganization for which the product group is defined andonly products produced or controlled by that entity shallbe included within the product group. Note: The entity may be a standalone manufacturingfacility, a forest contractor with multiple harvestsites, a trader or distributor with multiple suppliers, aremanufacturing facility supplied by multiple primarymanufacturers or a centralized sales departmentwithin an organization with responsibility for multiplemanufacturing units.SFI 2015-2019 Chain-of-Custody Standard 5/16
3.2.5 For credibility purposes, the maximum claim period isthree months.3.2.6 The organization shall identify all products included inthe product group covered by the chain-of-custody claimperiod so it is possible to determine the product group towhich the products belong. The identifier can be a uniquenumber or a name that all products within the productgroup belong to. Note: Physical on-product identification of the productgroup is not required if the certification percentage isapplied to sold or transferred products as the productgroup identification is evident from the sale or deliverydocuments. However, products that carry the SFI onproduct label must be accompanied by the associatedclaim statement.3.3 Identification of the Origin3.3.1 Identification at Delivery/Receipt LevelThe organization shall identify and verify the categoryof origin of all procured raw material that is received.Documents associated with delivery and receipt of rawmaterial shall include at least:a. supplier identification,b. quantity of delivery,c. date of delivery / delivery period / claim accountingperiod,d. category of origin,i. S FI Certified Forest Content - Raw material from aforest certified to an acceptable forest managementstandard constitutes a claim of 100 percent certifiedforest contentii. SFI Certified Sourcingiii. Post-Consumer Recyclediv. Pre-Consumer Recycledv. SFI Recycled Contente. the supplier’s chain-of-custody number, if applicable. This information can be documented in the form of, but notlimited to, an invoice, bill of lading, shipping document, letter,or other forms of communications between the organizationand the customer. Note: The categories of the origin of raw material are specifiedin the SFI Definitions (Section 13).3.3.2 Identification at Supplier LevelThe organization shall verify the validity and scope of theforest management, fiber sourcing or chain-of-custodycertificate.3.4 Calculation of the Certified Percentage3.4.1 The organization shall calculate the certificationpercentage separately for each claim period according tothe following formula:Pc [%] PcVcVoVc 100Vc VoCertification percentageCertified contentOther raw material (certified sourcing) Note: When making claims about pre- and post-consumerrecycled content, both can count as certified content andthe amount must be disclosed to the customer. Fororganizations choosing not to count pre- and postconsumer recycled content, the pre- and post-consumerrecycled content is neutral and shall not be included inthe calculation of the certified content percentages inchain-of-custody tracking.3.4.2 The organization shall calculate the certificationpercentage based on a single measurement unit usedfor all raw material covered by the calculation. Theorganization shall use only official conversion ratios andmethods. If a suitable official conversion ratio does notexist, the organization shall define and use a reasonableand credible internal conversion ratio. (Note: The Conversion Factor/Ratio is calculated bydividing the output (volume or weight) by the input(volume or weight) and is applied to each individual inputcomponent of a product group).3.4.3 If the procured raw material includes only a proportionof certified content, then only the quantity correspondingto the actual certification percentage claimed by thesupplier can enter the calculation formula as certifiedcontent. The rest of that raw material shall enter thecalculation as other raw material.3.4.4 The organization shall calculate the certificationpercentage as either a simple or rolling averagepercentage. Refer to Appendix 1 of this document for thedefinitions of simple and rolling average calculations.3.4.5 The organization applying the simple certificationpercentage shall base the calculation of Pc (thecertification percentage) for each product group onthe figures for Vc (certified content) and Vo (other rawmaterial) for that specific product group. As a result, itis necessary for the organization applying this methodto know the percentage of certified content before anyproduct of the product group is sold or transferred. The claim period shall not exceed three monthsof production.6/16 SFI 2015-2019 Chain-of-Custody Standard
3.4.6 The organization applying the rolling averagecertification percentage shall base the calculation of Pc(the certification percentage) for each product group andclaim period on the figures for Vc (certified content) and Vo(other raw material) for a specified number of prior claimperiods. The time period covered by the specified number of priorclaim periods shall not exceed 12 months.3.5 Average Percentage Method3.5.1 The organization applying the average percentagemethod can claim all the products covered by the claimperiod, provided that the percentage of certified content isclearly communicated. In order to use the SFI label, theorganization must meet a 70% certified content threshold.The following label may be used. If recycled content isnot used, then the label must just state, “PromotingSustainable Forestry.”3.6.2 The organization shall recognize volume credits in asingle measurement unit used for all raw materialinputs and shall enter the volume credits into the creditaccount. The credit account may be established forindividual product types of the product group or for thewhole product group where the same measurement unitis applied to all product types.3.6.3 The organization shall calculate the volume creditsusing either:a. certification percentage (clause 3.4) and volume ofoutput products (clause 3.6.4) orb. input material (certified forest content/pre-consumerrecycled/post-consumer recycled) and input/outputratio (clause 3.6.5).3.6.4 The organization applying the certification percentageshall calculate the volume credits by multiplying thevolume of output products of the product group by thecertified percentage.3.6.5 The organization must demonstrate a verifiable ratiobetween the input material and output products. Thevolume credits may be calculated directly from theinput certified material by multiplying the volume of theinput certified material by the input/output ratio andaccounting for manufacturing losses.3.6.6 The labels used for the Volume Credit method shall beas follows:3.5.2 If an organization falls below the 70 percent certifiedcontent threshold, the organization shall be transparentand communicate the actual percentage of certifiedcontent. The following two labels may be used.3.6.7 The organization can accumulate the SFI Certified Creditsor Recycled Credits by creating a volume credit account,which can be used for the next claim period.3.6.8 The total quantity of credits cumulated at the creditaccount cannot exceed the sum of credits entered intothe credit account during the last 12 months.3.6 Volume Credit Method3.6.1 The organization shall apply the volume credit methodfor a single claim. The organization receiving a singledelivery of material with more than one claim relatingto the category of origin shall either use it as a singleinseparable claim (e.g. SFI/PEFC certified content) or useonly one from the received claims (SFI or PEFC certified)for calculating the volume credits. The volume creditshall be distributed to the output products from thevolume credit account in a way that all products sold ascertified are sold as 100% certified.3.7 Sale of Products3.7.1 At the point of sale or transfer of the certified products tothe next entity in the supply chain, the organization shallprovide customers with written information confirmingthe supplier’s certified status and an official SFI claimstatement. This can be in the form of, but is not limitedto, an invoice, bill of lading, shipping document, letter, orother forms of communications available to the customerat the time of the sale of the product.SFI 2015-2019 Chain-of-Custody Standard 7/16
3.7.2 The organization shall ensure that documentation of thecertified products clearly states at least the followinginformation:a. organization’s identification,b. quantity of delivery,c. date of delivery / delivery period / claim periodd. an official SFI claim statement:i. Average Percentage Users: X% Certified Forest Content X% Recycled Contentii. Volume Credit Users: S FI Volume Credit or 100% as calculated under thevolume credit methode. the organization’s chain-of-custody number.3.7.3 If the organization uses the logo, both on-product andoff-product usage shall be carried out according tothe terms and conditions of the Office of Label Use andLicensing and the Section 5 - Rules for Use of SFI OnProduct Labels and Off-Product Marks, in the SFI 20152019 Standards and Rules document.Part 4. Due Diligence System to AvoidControversial Sourcesa. On a valid SFI Section 2 (SFI 2015-2019 Forest ManagementStandard), Section 3 (SFI 2015-2019 Fiber Sourcing Standard),Section 4 (SFI 2015-2019 Chain-of-Custody Standard), or othercredible chain-of-custody standard certificate or appendix tothe certificate.b. On a publicly available product group listing, orc. By other means of verification. here inspection of the certificate and other supportingWevidence can demonstrate that the facility and product groups arewithin scope of the certificate, then the organization purchasingthat product group can credibly conclude that the products beingsourced are low risk of coming from controversial sources.4.3 Conducting a Risk AssessmentWhen forest-based products, excluding recycled content, areprocured without a valid SFI Section 2 (SFI 2015-2019 ForestManagement Standard), Section 3 (SFI 2015-2019 Fiber SourcingStandard), Section 4 (SFI 2015-2019 Chain-of-Custody Standard), orother credible chain-of-custody standard certificate, the organizationshall collect information on the source of the forest-based product,through a due diligence system to address the likelihood ofsourcing from controversial sources.The Organization’s Due Diligence System shall:4.1 Definition of Controversial Sourcesa. Forest-based products that are not in compliance withapplicable state, provincial or federal laws, particularly asthey may relate to: conversion sources, legally required protection of threatened andendangered species, requirements of CITES (The Convention onInternational Trade in Endangered Species of WildFauna and Flora), legally required management of areas with designatedhigh environmental and cultural values, labor regulations relating to forest workers, Indigenous Peoples’ property, tenure and use rights.b. Forest-based products from illegal loggingc. Forest-based products from areas without effective social laws4.2 Verification of Purchased Product(s)To avoid controversial sources, the organization shall obtainand verify the scope of an SFI Section 2 (SFI 2015-2019 ForestManagement Standard), Section 3 (SFI 2015-2019 Fiber SourcingStandard), Section 4 (SFI 2015-2019 Chain-of-Custody Standard),or other credible chain-of-custody standard certificate. Verificationshall ensure that the facility and the purchased product(s) aredirectly associated with the certification. This can be achievedthrough the following:8/16 SFI 2015-2019 Chain-of-Custody Standard4.3.1 Conduct a risk assessment of sourcing forest-basedproducts which are not in compliance with applicablestate, provincial or federal laws, particularly as they mayrelate to: conversion sources, legally required protection of threatened andendangered species, requirements of CITES (The Convention onInternational Trade in Endangered Species of WildFauna and Flora), legally required management of areas with designatedhigh environmental and cultural values, labor regulations relating to forest workers, Indigenous Peoples’ property, tenure and legallyestablished use rights. The risk assessment shall be carried out at the nationallevel and where risk is not consistent, at the appropriateregional level.4.3.2 Conduct a risk assessment of sourcing forest-basedproducts from illegal logging4.3.3 Conduct a risk assessment of sourcing forest-basedproducts from areas without effective social lawsaddressing the following:a. workers’ health and safety;
b. fair labor practices;c. Indigenous Peoples’ rights;d. anti-discrimination and anti-harassment measures;e. prevailing wages; andf. workers’ right to organize.4.4 Implementing a Program to Address RiskWhere the risk assessment conducted under 4.3 determinesother than low risk, the organization shall implement a programto mitigate such risk and require a signed contract and/or selfdeclaration that the supplied forest-based product does notoriginate from controversial sources.Part 5: Minimum Management SystemRequirements5.1 General RequirementsThe organization shall operate a management system inaccordance with the following elements of the SFI 2015-2019Chain-of-Custody Standard, which ensure correct implementationand maintenance of the chain-of-custody process. Themanagement system shall be appropriate to the type, range andvolume of work performed.Note: An organization’s quality (ISO 9001:2008) or environmental (ISO14001:2004) management system can be used to meet the minimumrequirements for the management system defined in this standard.5.2 Responsibilities and Authorities for Chain of Custody5.2.1 The organization’s top management shall define anddocument its commitment to implement and maintainthe chain-of-custody requirements, and make thisavailable to its personnel, suppliers, customers andother interested parties.5.2.2 The organization’s top management shall appoint amember of the management who, irrespective of otherresponsibilities, shall have overall responsibility andauthority for the chain of custody.5.2.3 The organization’s top management shall carry out aregular periodic review of the chain of custody and itscompliance with the requirements of this standard.5.2.4 The organization shall identify personnel performingwork affecting the implementation and maintenanceof the chain of custody, and establish and setresponsibilities and authorities relating to the chain-ofcustody process:a. raw material procurement and identification of the origin;b. product processing covering physical separationor percentage calculation and transfer into outputproducts;c. product sale and labeling;d. record keeping; ande. internal audits and nonconformity control. Note: The responsibilities and authorities for the chain ofcustody given above can be cumulated.5.3 Documented ProceduresThe organization’s procedures for the chain of custody shall bedocumented, and include at least the following elements:a. description of the raw material flow within the productionprocess;b. organization structure, responsibilities and authoritiesrelating to chain of custody; andc. procedures for the chain-of-custody process covering allrequirements of this standard.5.4 Record Keeping5.4.1 The organization shall establish and maintain records toprovide evidence it has conformed to the requirementsof this standard and its chain-of-custody procedures areeffective and efficient. The organization shall keep atleast the following:a. records of all suppliers of forest-based raw material,including information to confirm requirements at thesupplier level are met;b. records of all purchased forest-based raw material,including information on its origin;c. records that demonstrate how the certificationpercentage for each product group was calculated;d. records of all forest-based products sold and theirclaimed origin. including, as applicable, records ofmovements in volume credit accounts;e. records of internal audits, nonconformities whichoccurred and corrective actions taken; andf. records of top management’s periodic review ofcompliance with chain-of-custody requirements.5.4.2 The organization shall maintain the records for aminimum period of three years unless stated otherwiseby law.5.5 Resource Management5.5.1 Human Resources/Personnel:The organization shall ensure that all personnelperforming work affecting the implementation andmaintenance of the chain of custody shall be competenton the basis of appropriate training, education, skillsand experience.5.5.2 Technical Facilities:The organization shall identify,
SECTION 4 SFI 2015-2019 ChaIn-oF-CuStody Standard 3/16 SFI Inc. is an independent, non-profit, charitable organization dedicated to promoting sustainable forest management in north america and supporting responsible procurement globally. the SFI Board is a three chamber Board of directors representing environmental, social and economic
