金管会（FSC）的标准监管链证书（2004版） .ppt

,FOREST,STEWARDSHIPCOUNCIL,INTERNATIONAL CENTER,FSC STANDARD,FSC Standard for Chain of Custody Certification,FSC-STD-40-004(Version 2-0)EN,2004 Forest Stewardship Council A.C.,All rights reserved,Charles-de-Gaulle-Str.553113 Bonn,Germany,Tel.:+49(228)367 66-28Fax:+49(228)367 66-30policy.standardsfsc.org,www.fsc.org,2004 Forest Stewardship Council A.C.All rights reserved.,FSC STANDARD FOR CHAIN OF CUSTODY CERTIFICATION,FSC-STD-40-004(VERSION 2-0)EN,Approved November 2007,46th meeting of the FSC Board of Directors,New effective date approved January 2008,2004 Forest Stewardship Council,A.C.All rights reserved.No part of this work covered bythe publishers copyright may be reproduced or copied in any form or by any means(graphic,electronic or mechanical,including photocopying,recording,recording taping,or informationretrieval systems)without the written permission of the publisher.,Please send any comments or suggestions regarding this standard to:,FSC International Center,Policy and Standards Program,Charles-de-Gaulle Str.553113 Bonn,Germany,Phone:+49(228)367 66-28,Fax:+49(228)367 66-30,E-mail:policy.standardsfsc.org,The Forest Stewardship Council(FSC)is an independent,not for profit,non-governmentorganisation based in Bonn,Germany.,The mission of the Forest Stewardship Council is to support environmentally appropriate,socially beneficial,and economically viable management of the worlds forests.,FSC develops,supports and promotes international,national and regional standards in linewith its mission;evaluates,accredits and monitors certification bodies which verify the use ofFSC standards;provides training and information;and promotes the use of products thatcarry the FSC logo.,FSC-STD-40-004 V2-0 EN,FSC Standard for Chain of Custody Certification,2 of 26,2004 Forest Stewardship Council A.C.All rights reserved.,FOREWORD,In September 2004,the FSC Board of Directors endorsed“FSC-STD-40-004:FSC chain of custodystandard for companies supplying and manufacturing FSC-certified products”(Version 1-0).During2005,the FSC International Center has been mandated to monitor the uptake of and review thesenew standards taking into account experience with practical implementation and to resolve anyoutstanding issues.,Version 2-0 of FSC-STD-40-004 has been developed following three rounds of public consultationsand discussions with the FSC Technical Working Group on Chain of Custody.It takes into account thevarious recommendations from the three Technical Working Group meetings held between October2005 and February 2007 as well as the stakeholder inputs obtained on the various public drafts andon the FSC discussion paper“FSC-DIS-01-013:Review and Revision of the FSC Chain of Custodystandard”.,This new standard version aims to make the overall FSC policy framework for Chain of Custodycertification:,a)simpler by integrating and/or replacing a number of currently applicable policies and Advice Notes,(see Section B.3);,b)stricter by phasing out special provisions for co-products and chip c)more consistent by applying the same set of requirements and making available the various,options to all certificate holders;and,d)more feasible by introducing new concepts such as the transfer system or by considering pre-,consumer reclaimed material as eligible input in FSC Recycled products products.,FSC-STD-40-004 V2-0 EN,FSC Standard for Chain of Custody Certification,3 of 26,A,B,C,D,1,2,3,4,5,6,7,8,9,2004 Forest Stewardship Council A.C.All rights reserved.,TABLE OF CONTENTS,FOREWORD.3TABLE OF CONTENTS.4INTRODUCTION.5NOTES ON USE OF THIS STANDARD.5,Scope and General.6Scope.6Status and effective date.6References.7Terms and definitions.8,PART I:Universal Requirements.13Quality management.13Scope of Chain of Custody system.14Material sourcing.15Material receipt and storage.16Volume control.17Sales and delivery.18,PART II:Systems for controlling FSC claims.19Transfer system.19Percentage system.20Credit system.21,PART III:Labelling.2210 General labelling requirements.2211 Eligibility for labelling.22,PART IV:Supplementary Requirements.2312 Outsourcing.2313 Minor components.24,ANNEX I:Comparison of the transfer,percentage and credit system INFORMATIVE.25,FSC-STD-40-004 V2-0 EN,FSC Standard for Chain of Custody Certification,4 of 26,1,2004 Forest Stewardship Council A.C.All rights reserved.,INTRODUCTION,This standard specifies the required elements that shall be complied with for FSC Chain of Custodycertification.,FSC Chain of Custody is an information trail about the path taken by products from the forest or,in thecase of recycled materials,from the reclamation site to the consumer including each stage ofprocessing,transformation,manufacturing,and distribution where progress to the next stage of thesupply chain involves a change of ownership.,Any change of ownership in the supply chain requires the establishment of effective Chain of Custodymanagement systems at the level of the respective organization and their verification by independentcertification bodies,if the organization wants to make an FSC claim about their products.Developingand implementing Chain of Custody management systems is a way for organizations to effectivelycontrol their processing system and show their customers the origin of the material in their products.FSC certification of such management systems is designed to provide a credible guarantee tocustomers,whether business,government or end consumer,that products which are sold(i.e.invoiced and possibly labelled)with a specified FSC certificate code are originating from well-managed forests,controlled sources,reclaimed materials,or a mixture of these.FSC Chain ofCustody certification thereby facilitates the transparent flow of goods made from such materialsthrough the supply chain.,An FSC Chain of Custody certificate provides information on the evaluated sites,processes andproduct groups from which such products may originate,and references the Chain of Custodystandard(s)used in the evaluation by an FSC-accredited certification body.,Compliance with this standard provides a consistent,international basis for independent,third partyverification of claims about the sourcing of wood/fibre material and products.It enables suppliers to,1,demonstrate compliance with public or private procurement policies and specifications.,A key objective of this standard is to provide a pathway for organizations to both enter the FSC systemand/or increase the proportion of FSC-certified input material to 100%.,NOTES ON USE OF THIS STANDARD,All aspects of this standard are considered to be normative,including the scope,effective date,references,terms and definitions,and annexes,unless otherwise stated.,The requirements laid down in this standard constitute the minimum requirements for Chain ofCustody operations to comply with in order to demonstrate that materials and products purchased,labelled and sold as FSC-certified are authentic and any associated claims are truthful and correct.Itis the responsibility of the certification body to raise any additional evidence in order to substantiate itscorresponding certification decisions,if this is deemed necessary.The certification requirements are divided into four parts:,Part I includes the universal requirements for Chain of Custody control which apply to all Chain ofCustody operations.,Part II presents the three control systems for making FSC claims on outputs,out of whichorganizations have to choose one system for each established FSC product group.Part III contains the requirements and thresholds for using the FSC on-product labels.,Part IV provides supplementary requirements addressing specific situations for Chain of Custodycontrol systems.,Examples include the EU Ecolabel scheme for furniture,or the U.S.Green Building“Leadership in Energy andEnvironmental Design”(LEED)rating system.,FSC-STD-40-004 V2-0 EN,FSC Standard for Chain of Custody Certification,5 of 26,B,2,3,4,5,6,2004 Forest Stewardship Council A.C.All rights reserved.Scope and General,A,Scope,This standard specifies the management and production requirements for Chain of Custody controlwith respect to sourcing,labelling(where applicable)and sale of products as FSC-certified,therebyproviding a range of options for making FSC claims.The standard is applicable to all Chain of Custody operations trading,processing or manufacturingwood based and non-timber forest products from virgin and/or reclaimed materials including theprimary industry sector(harvesting,pre-processing)or,in the case of recycled materials,reclamationsites,the secondary sector(primary and secondary manufacturing),and the tertiary sector(trading,wholesale,retail,print services).The standard defines and addresses the basic elements of a Chain of Custody management system:Quality management:responsibilities,procedures and records Product scope:definition of product groups and outsourcing arrangements Material sourcing:material specifications Material receipt and storage:identification and segregation Production control:control of quantities and determination of FSC claims Sales orb)to transport the materials or products.Status and effective date,B.1,Status,Approved by the FSC Board of Directors at their 46th meeting,November 2007.Applicable from the date of publication.Materials or products sold as FSC Controlled Wood may not carry any on-product FSC claims,FSC codes,orthe FSC trademarks and are not considered to be FSC-certified.I.e.process,transform or mix inputs or make any changes to the input packaging or labelling resulting in a newproduct.I.e.invoice with FSC claims,enabling customers to consider materials and promote products as FSC-certified.I.e.present(merchandise)for customer acceptance through advertising,publicity,or business-to-businessmarketing communications.I.e.buy and sell without changing any product characteristics.FSC-STD-40-004 V2-0 ENFSC Standard for Chain of Custody Certification 6 of 26,B.3,2004,1-0,1-0,1-0,2-1,1-0,1-0,2-0,1-0,7,2004 Forest Stewardship Council A.C.All rights reserved.,B.2,Effective dates,7,Applicant organizations seeking FSC Chain of Custody Certification shall be assessed against thisststandard from 1 of April 2008 onwards.FSC-certified organizations holding an FSC Chain of Custody Certificate shall be assessed againststthis standard from 1 of January 2009 onwards.NOTE:FSC-certified organizations holding an FSC Chain of Custody certificate who wish to imple-ment the requirements of this standard before their 2009 audit,shall revise their documentedprocedures and control systems and submit them to their FSC-accredited certification bodiesfor desk approval.Compliance will be then checked on-site at their next audit or,if thecertification body deems it necessary,at a specific on-site audit before approval.FSC normative documents superseded and replaced by this standard,CodePart 3.6 of FSC-MAN-20-001FSCADV-40-010FSCADV-40-012FSCPOL-40-001FSCPOL-40-005FSC-POL-40-006FSC-STD-40-004 V1CReferencesCodeFSC-ADV-40-004FSC-PRO-40-004FSC-STD-40-004aFSC-STD-40-004bFSC-STD-40-005FSC-STD-40-006FSC-STD-40-007FSC-STD-40-201FSC-TMK-50-201,Year200220052007200020012001Version2007,TitleFSC Accreditation Manual:“Chain of Custody CertificationStandards”FSC Requirements for OutsourcingNOTE:Partly replaced by“FSC-STD-20-011 V1-0 Accreditationstandard for Chain of Custody evaluations”Printers Chain-of-custody and Labelling SpecificsFSC Policy on Percentage Based ClaimsFSC Policy for BrokersFSC Policy for Printing and PublishingFSC Chain of Custody Standard for Companies Supplying andManufacturing FSC-certified ProductsTitleTransitory requirements for Chain of Custody control and labellingMinor components derogation applicationsFSC Product Classification(Addendum to FSC-STD-40-004)FSC Species terminology(Addendum to FSC-STD-40-004)FSC Standard for Company Evaluation of FSC Controlled WoodFSC Chain of Custody standard for project certificationFSC Standard for Use of Reclaimed Material in FSC ProductGroups and FSC-certified ProjectsFSC On-product Labelling RequirementsFSC Requirements for the Promotional Use of the FSCTrademarks by FSC Certificate Holders and Non-certified,Commercial OrganizationsThe effective date of a standard(version)specifies from which date onwards the(new version of a)standardmust be implemented and verified by the responsible conformity assessment provider complied with bytarget users for the purposes specified by the scope of the standard,thereby replacing any previous version ofthe standard(if not otherwise stated)or superseding other normative documents as specified by the standard.FSC-STD-40-004 V2-0 ENFSC Standard for Chain of Custody Certification 7 of 26,D,2004 Forest Stewardship Council A.C.All rights reserved.Terms and definitionsIn the following,definitions are provided that apply for key terms relating to this standard.These termsare put in italics throughout the standard.Cross-references are provided to related terms.Assembled products:Products that are constructed from two or more solid wood and/or chip andfibre components,assembled together to form another product.Examples include furniture,shelvingunits,musical instruments,plywood,blockboard,laminated veneer lumber,laminated flooring,laminated particle board,and printed materials containing different paper stocks.Claim period:A period of time which has been specified by the organization for each product groupfor the purpose of making a specific FSC claim.Chain of custody:The path taken by raw materials,processed materials,finished products,and co-products from the forest to the consumer or(in the case of reclaimed/recycled materials or productscontaining them)from the reclamation site to the consumer,including each stage of processing,transformation,manufacturing,storage and transport where progress to the next stage of the supplychain involves a change of ownership(independent custodianship)of the materials or the products.Chain of Custody operation:Individual,company or other legal entity operating one or more facilitiesor sites within any stage of the forest product supply chain and issuing invoices for materials orproducts with an FSC claim that can be used by customers to treat such products as certified ormake promotional claims.Chain of CustodyChip and fibre products:All products that use input-wood that has been chipped or defibrillated.Such products include,for example,pulp,paper(including print materials),cardboard,particleboard,fibreboard and orientated strand board(OSB).Assembled products,Solid wood productsCo-product:Material produced during the process of primary manufacturing of another(principal)product,from the same input.Such materials are,for the purposes of this standard,classifieddepending on the material category from which they are(co-)produced.Pre-consumer reclaimedmaterialComponent:An individual and distinguishable part of an assembled product.Minor componentsControlled material:Virgin material originating in non FSC-certified forests or plantations froms