FSCControlledWood-RainforestAlliance：FSC可控木材，雨林联盟

FSC Controlled Wood Documented Control System
Location:
Primary Responsible Person:
Date of Last Update to Procedures:
I. Public documents
{Written procedure and defined responsibility for the preparation, updating and distribution to the public of the
required documents.}
{Note: There are two specific documents (A and B below) which are required to be publicly available.
This means that any person (stakeholder or any interested party) should be able to access and review these documents upon request. It is not required that the public documents be part of the CoC
procedures, however it must be clear in the procedures how both A and B are made publicly available.
These must be available to Rainforest Alliance during the assessment and subsequent audits.}
A. Company Policy
{1.1 Written policy shall include clear commitment by the company to implement its best efforts to avoid
trading and sourcing wood or wood fiber from the controversial categories; policy must specify these
categories. Since the policy must be made publicly available, it shall be formulated, separately from the
internal company control procedures. Policy commitment shall be endorsed by the most senior level of the
company.}
B. Risk A ssessment
{11.1, 11.2 Documented risk assessment according to FSC requirements at the level of district of origin
must be prepared. For each district the company shall specify if the risk that controversial wood for each
category is delivered from certain district of origin is confirmed as low risk or if there is unspecified risk.
Each risk assessment shall include all information required in Annex 2 of FSC-STD-40-005 V2. Since the
risk assessment must be made publicly available, it shall be formulated, separately from the internal
company control procedures.}
II. General system
A. Responsibilities
{2.2 One overall responsible person; responsibilities for control system procedures should be defined, at
minimum, for training, maintaining supplier data, checking validity of supplier certificates, material
reception, separation of uncontrolled (if applicable), conducting and updating risk assessment, checking
origin documentation and auditing authenticity, field auditing (if applicable), handling and follow-up of
complaints, checking permits of CITES species (if applicable) preparing sales and shippin g documents.}
B. Training
{3.1 – 3.3 Specification which staff needs training in which areas of CW system, the frequency and basis
for conducting training, who conducts training and based on which materials; documentation of training
events including at minimum time, agenda and participants.}
C. Records
{4.1 Identify records which are relevant for the company control system. (Samples of records include:
training protocols; purchase invoices and waybills; copies of felling permits; copies of purchase contract
from the forest management unit; CITES export permits; received complaints; sales invoices and waybills;
audit plans; supplier field audit reports etc.). Specification how long records are maintained: must be at
least 5 years.}
III. Supplies
A. Categorization of Suppliers
{5.1 Description of how the list of suppliers is prepared and updated and how wood they supply are
categorized; include responsibility for this procedure. All wood supplies should be divided into one of four
categories: FSC certified material; suppliers of controlled wood who are certified according to FSC-STD-
40-005 by FSC accredited certification body, wood included in the company own verification system and
uncontrolled wood (if applicable)}
B. Suppliers included in Company’s Own Verification Program
{5.2 Description of how the list of suppliers who are included in the company‟s own verification program is
maintained and updated. For each supplier the list shall include at minimum name and address;
description of wood; approximate species and volume.}
C. Supplier Certificate Verification
{6.2 Description how the validity and scope of the FSC certificate of suppliers of certified or verified
controlled wood is checked. Must include responsibility, frequency and sources of information. Validity a nd
scope can be checked from or directly from the certifier.}
D. Districts of Origin
{8.1 Description how the district of origin of all material included in company verification system is defined,
determined and verified. List of all districts m ust be prepared and maintained. Description how this list is
created and updated including responsibility.}
E. Risk A ssessment
{11.1, 11.3 Procedures should describe who is responsible for preparing, reviewing and updating risk
assessment. Also company should specify when risk assessment is reviewed. It must be at minimum
reviewed if the assessment results are challenged by stakeholders or external parties and if frequent
violations appear during checking the authenticity of the information on supplier docume nts. Procedures
should also specify that if the risk can not be positively identified as low risk, precautionary approach is
taken and the risk for specific category and district is then classified as unspecified risk.}
IV. Receiving
A. Purchase Documents from FSC Certified Suppliers
{6.1, 7.1, 7.2 List of documents which must accompany FSC certified material and FSC Controlled Wood
verified material. Description who will check, how and what will be checked on the documents when
material is received. FSC certified wood must be identified by type (FSC pure, FSC mixed, FSC recycled,
percent of FSC material, if applicable) and CoC certificate number. For verified controlled there wood must
be included the supplier CoC (or FSC CW) code and statement “FSC controlled wood”.}
B. Purchase Documents from non-certified Suppliers
{8.1 Clear description of documents which must be included with shipment to prove the district of origin.
These must include at minimum legally required transport documents and proof of purchase from the
forest management unit of origin. Description who will check, how and what will be checked on the
documents when material is received.}
C. Segregation
{9.1 Applicable only in case company is also accepting uncontrolled wood. If such wood is accepted, this
must be kept physically separated from all other material (FSC certified and controlled). Procedures must
describe how this is ensured and who is responsible. Following aspects might be applicable depending on
the company type: storage of raw material in stock; usage of distinguishing marks on raw material;
physically separation in all stages of production and use of distinguishing marks; separation and marking
of intermediate products; storage of final products and use of distinguishing marks.}
V. Sales
A. Invoice
{15.2, 15.3, Annex 4 1.5, 1.7, 1.8 Description how sales documents are prepared and what is included.
Must include at minimum the name and address of the buyer; the date on which the invoice was issued;
description of the product; the quantity o f the products sold; reference to the product‟s batch and/or to
related shipping documentation; the FSC CW certification code issued by an FSC accredited Certification
Body; clear product description “FSC Controlled Wood” for all applicable products; “FSC Controlled Wood”
invoice claims are only made to other FSC-certified companies.}
B. Transport/Shipping Documents
{15.3, Annex 4 1.5, 1.7, 1.8 Description how shipping documents (e.g. waybill, loading specification) are
prepared and what is included. The FSC CW certification code issued by an FSC accredited Certification
Body. Must include at minimum clear product description “FSC Controlled Wood” for all applicable
products; “FSC Controlled Wood” claims on shipping documents are only made to other FSC-certified
companies.}
VI. Verification of Supplies
A. Authenticity of Supplier Documentation
{8.1, Annex 3.A Description of regular process to verify that information on the supplier documents is valid.
This has to be in place for all suppliers regardless if material is coming from low risk or from unspecified
risk area. This does not necessarily mean field audits. For example information can be cross checked with
national database, validity of felling permit confirmed with relevant authority etc. Clear description how
often such checks are done, on which basis using which information and who is responsible. Also
company should describe activities taken if the information on documentation is not accurate or has been
falsified.}
B. Field Verification Program for Supplies from Sources with “unspecified risk”
{13.1, Annex 3.A, B Procedures for field auditing that shall be carried out in all districts of origin which have
not been positively identified as low risk regions shall be documented.. Description of the auditing
procedure, selection of auditors, sampling of audits, preparation of audit plan, reference to field audit
template, maintenance of audit reports. Specification that results are made available to certification bodies
upon request. Procedures should also state that the advice or interpretation of national FSC working
groups or FSC Regional Offices is taken into consideration if such advice is available.}
VII. Other
A. CITES Species
{10.1 Which CITES species is the company trading with. In which annexes are these species. Required
documents (licenses and/or export permits) which must accompany deliveries. Description who and how
will check and ensure that all deliveries include all required documents before material is accepted.}
B. Complaints Mechanism
{14.1 – 14.3 Description of responsibility and system to follow up complaints presented by third parties or
any stakeholders about the controlled status of the material purchased by the company. Must specify
description an system that received evidence is analyzed and evaluated within two weeks; if evidence is
considered relevant, field verification is carried out within two months; exclusion of the delivery and
supplier from the CW status if violations are identified; confirmation that the supplier will be able to supply
controlled wood again only after it has presented evidence about compliance with FSC CW requirements.
Description that records are maintained about all received complaints and actions taken by the company;
company shall inform the relevant FSC National Initiative or FSC Regional Office and the relevant FSC
accredited Certification Body when there is a non compliance with FSC Controlled Wood requirements in
areas considered as low risk.}
VIII. FSC Controlled Wood Claims
A. On-product Claims
{Annex 4 1.1, 1.2, 1.3 Provision that “FSC Controlled Wood” is not used on-product under any
circumstances. Segregation marks not reaching final points of sales may use …Controlled Wood‟ without
reference to FSC. Segregation marks are removed before reaching final points of sale or if they can be
interpreted as commercial labels. The FSC label is not used.}
B. Off-product Claims
{Annex 4 1.4, 1.6, 1.9 Provision that “FSC Controlled Wood” is not used in any off-product/promotional
claims. The FSC label is not used for promotional purposes related to FSC CW products.}。