FSC Chain of Custody Evaluations Standard (FSC-STD-20-011 V4-2)

All Rights Reserved FSC® International 2019 FSC®F000100
Chain of Custody Evaluations
FSC-STD-20-011 V4-2 EN

FSC-STD-20-011 V4-2
Chain of Custody Evaluations
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Title: Chain of Custody Evaluations
Document reference
code:
FSC-STD-20-011 V4-2 EN
Approval:
14 January 2021
Contact for comments:
FSC International Center
- Performance and Standards Unit -
Adenaueralle 134
53113 Bonn, Germany
[phone]
[phone]
[e-mail]
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FSC-STD-20-011 V4-2
Chain of Custody Evaluations
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Foreword
FSC chain of custody (CoC) certification is designed to provide a credible guarantee
that all operations and sites included in the scope of a CoC certificate conform to the
requirements of the applicable FSC certification standards specified on the certificate.
Certification audits are based on the certification body’s (CB’s) evaluation of the means
of verification for each requirement of the applicable FSC certification standards. The
means of verification include a review of documentation and records, on-site
observations, and interviews with managers, employees, and contractors. Audit
evidence may be collected over a range of sites and using different means of
verification.
This document specifies the requirements and procedures to be followed by FSC-
accredited CBs (and applicant CBs) to evaluate CoC operations in order to establish
their conformance to applicable certification requirements.
Version History
V1-0 Initial version, approved by the FSC Board of Directors at their 45th meeting,
June 2007.
V1-1
This minor review introduced the accreditation requirements for the evaluation
of minor components and supplier audit programs for reclaimed materials.
This document version was approved by the FSC Board of Directors at their
46th meeting, November 2007.
V2-0
This major review introduced a number of changes in the accreditation
standard, including the restructuring of the document for better clarity and
simplification of the requirements, revised requirements for the evaluation of
group CoC, multisite CoC, controlled wood v
erification programs, supplier
audit programs for reclaimed materials, and CB reporting requirements. The
revised standard was approved by the FSC Board of Directors at their 66th
Meeting on 03 July 2014.
V3-0
This major review included a number of changes following a revision of the
general accreditation standard (FSC-STD-20-001) and FSC Controlled Wood
(FSC-STD-40-005). The revised standard was approved by the FSC Board of
Directors at their 71 Meeting on 10 March 2016.
V4-0
This major review included a number of changes following a revision of the
chain of custody standard (FSC-STD-40-004 V3-0). The revised standard was
approved by the FSC Board of Directors at their 73 Meeting on 16 November
2016.
V4-1
This minor review included new accreditation requirements for the evaluation
of project certificates. This revised standard was approved by the FSC Board
of Directors at their 81 meeting on 07 August 2019.
V4-2
This minor review includes new requirements for the evaluation of the FSC
core labour requirements for certification bodies including the incorporation of
advice notes and interpretations. This revised standard was approved by the
FSC Board of Directors in January 2021.

FSC-STD-20-011 V4-2
Chain of Custody Evaluations
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Contents
A Objective 5
B Scope 5
C Effective and validity dates 5
D References 5
E Terms and definitions 6
PART I: General Requirements 11
1 General principles 11
2 Evaluation requirements 11
3 Surveillance evaluations 14
4 Certification decision 16
PART II: Evaluating Organizations against Specific Requirements 18
5 Evaluation of project certificates 18
6 Evaluation of controlled wood according to FSC-STD-40-005 21
7 Evaluation of group and multisite chain of custody certificates 26
8 Evaluation of supplier audit program for reclaimed materials 28
9 Evaluation of contractors operating under outsourcing agreements 29
10 Transaction verification 30
11 Evaluation of FSC core labour requirements 30
PART III: Chain of Custody Evaluation Reports 32
12 Reporting requirements 32
13 Public certification summaries for evaluations of controlled wood
according to FSC-STD-40-005
38

FSC-STD-20-011 V4-2
Chain of Custody Evaluations
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A Objective
The objective of this standard is to provide the requirements to be followed by FSC-
accredited certification bodies (CBs) when auditing CoC organizations against
applicable requirements of the FSC normative framework and integrating the findings
to come to a reliable certification decision. This standard thereby aims to reduce the
level of subjectivity and increase the consistency between sampling levels
implemented by different CBs across different situations.
B Scope
This document specifies the requirements and procedures to be followed by CBs (and
applicant CBs) to evaluate chain of custody operations in order to establish their
conformity to applicable certification requirements. It is the responsibility of the CB to
collect evidence and require corrective action as necessary to substantiate its
corresponding certification decisions.
The standard is divided into three parts:
• Part I provides the universal requirements for chain of custody evaluations;
• Part II provides specific requirements to be applied according to the scope of
the evaluation; and
• Part III provides the minimum requirements for chain of custody evaluation
reports.
The requirements of this standard apply to all types of chain of custody evaluations
(i.e. pre-evaluations, main evaluations, surveillance evaluations, re-evaluations),
unless otherwise specified.
All aspects of this standard are considered to be normative, including the scope,
effective date, references, terms and definitions, notes, and annexes, unless otherwise
stated.
C Effective and validity dates
Approval date
Publication date
Effective date
Transition period
14 January 2021
2 February 2021
2 May 2021
2 May 2021 – 1 May 2022
Period of validity
Until replaced or withdrawn
NOTE: CBs shall adapt their FSC-accredited certification programs (as needed) to ensure
conformity to this version of the standard by the end of the transition period.
D References
The following documents are relevant for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of
the referenced document (including any amendments) applies.
FSC-POL-20-005
Annual Administration Fee (AAF)
FSC-PRO-60-002b
List of FSC Approved Controlled Wood Documents
FSC-STD-01-002
FSC Glossary of Terms
FSC-STD-20-001
General Requirements for FSC Accredited Certification Bodies
FSC-STD-40-003
Chain of Custody Certification of Multiple Sites
FSC-STD-40-004
FSC Standard for Chain of Custody Certification