FSC CHAIN-OF-CUSTODY
REFERENCE OUTLINE ONLY; READ FOLLOWING NOTES:
1.
2.
3.
4.
5.
This outline is provided to identify the elements that may need to be addressed in a chain-of-custody
(CoC) documented control system based on FSC CoC STD-40-004 Version 2. Review of the standard
and its definitions are necessary to understand this outline.
This format is provided for illustration purposes. This is not required for use as a template.
For those companies that are sourcing non-certified virgin materials for use in FSC products, this outline
does not include required elements based on the Controlled Wood (CW) FSC-STD-40-005 standard. It
is at the company’s discretion to include all applicable CoC procedures in one document or to develop
separate procedures.
We encourage other parties to use this document as one starting point for developing a CoC
documented control system (DCS). However, based on input we have received directly from the
FSC, mere use of this document with no changes or company-specific adaptation to address an
operation’s specific CoC systems will NOT be sufficient for FSC CoC requirements, as audited by
Rainforest Alliance/SmartWood or other FSC-approved Certification Bodies (CBs). CBs will always
require that an operation have its own CoC system, which may be based in part on this and other
resources.
Text in {brackets} provides explanations and when applicable, direct references to FSC requirements in
40-004V2 and should be deleted along with non-applicable sections.}
Company FSC Chain-of-Custody Documented Control System
Location:
Primary Responsible Person:
Date of Last Update to Procedures:
Part 1:
Part 2:
Part 3:
Part 4:
Part 5:
Part 6:
Part 7:
Part 8:
Part 9:
Certificate Scope ...................................................................................................................................................... 1
Quality management ............................................................................................................................................... 2
Purchasing and Receiving ...................................................................................................................................... 3
System for Controlling FSC Claims ...................................................................................................................... 5
Sales and Delivery ................................................................................................................................................... 7
Trademark Use ........................................................................................................................................................ 8
Outsourcing .............................................................................................................................................................. 9
Minor Components ................................................................................................................................................ 10
Reclaimed Inputs ................................................................................................................................................... 10
Part 1: Certificate Scope
1.1 Scope Definition
Inputs to FSC Product Groups
(material categories)
FSC Pure
FSC Mixed
FSC Recycled
FSC Controlled Wood
Controlled Material
Post-consumer Reclaimed
Pre-consumer Reclaimed
Page 1 of 11
CoC Control System
FSC Product Group Claims
(for outputs)
Outsourcing
Minor Components
Trademark Use
Transfer System
Percentage System
Credit System
FSC Pure
FSC Mixed X%
FSC Mixed Credit
FSC Recycled X%
FSC Recycled Credit
FSC Controlled Wood
To FSC-certified Subcontractors
To Non-certified Subcontractors
< 1% of Product Volume
> 1% to < 5% of Product Volume
FSC on-product Labeling
FSC Promotional
RAC (Rainforest Alliance certified) Seal
1.2 FSC Product Groups
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{2.1.1 Establish FSC product groups that will be sold with FSC claims.}
{2.1.3 When the percentage or credit system is used, product groups share similar specifications in
relation to quality of inputs and conversion factors.}
{2.1.1 Details about maintaining an up-to-date, publicly available FSC Product Group Schedule
(PGS) that shows each FSC product group with the following details:
 Product type according to FSC-STD-40-004a;
 FSC claim;
 Species when applicable.}
{2.1.2 Details that are readily available for each FSC product group including:
 Material category of each input;
 Control system used for making FSC claims;
 Sites involved with the management, handling, and sale of the product group;
 Any subcontractors used via outsourcing.}
{See separate SW PGS Example.}
Part 2: Quality management
2.1 Responsibilities

{1.1.1 Designate management representative with overall responsibility and authority for compliance
with CoC requirements.}
2.2 Procedures
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
{1.2.1 Reference procedures and/or work instructions covering the applicable the CoC standard
requirements that are available to applicable staff.}
{1.2.2 Personnel responsible for maintaining documented procedures and/or work instructions
including qualifications and/or training measures for this responsibility.}
2.3 Training
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{1.2.2 Personnel responsible for training including qualifications and/or training measures for this
responsibility.}
{1.2.2, 1.3.1 Training plan according to the qualifications and/or training measures necessary for the
designated responsible personnel for each procedure within the CoC control system.}
{1.3.2 Maintenance of records of training provided to staff in relation to the CoC standard(s).}
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2.4 Records
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{1.2.2 Personnel responsible for maintaining records including qualifications and/or training
measures for this responsibility.}
{1.4.1 System for maintaining up-to-date records for all applicable CoC standard requirements.}
{1.4.2 System for maintaining all relevant records for a minimum of 5-years.}
2.4.1 Suppliers

{3.2.1 System for maintaining an up-to-date record showing suppliers of inputs used for
FSC product groups including:
 Product type;
 Material category;
 Suppliers FSC CoC or CW certificate code.}
2.4.2 Conversion Factors
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
{5.1.1 Details that identify the conversion factor for each processing step that involves a
change in material used for FSC product groups (if not feasible identify the conversion
factor for the total processing steps).}
{5.1.2 Details of the methodology for calculating conversion factors including how
conversion factor information will be kept up-to-date.}
2.4.3 Volume Summary Data for each FSC Product Group
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{5.2.2 System for preparing annual volume summary data with an annual quantity for each
input according to material category:
 Inputs received;
 Inputs used for production;
 Inputs still in stock.}
{5.2.2 System for preparing annual volume summary data with an annual quantity for each
output according to product type:
 Outputs still in stock;
 Outputs sold.}
{See separate SW Annual Reporting Example.}
2.4.4 Volume Accounting Records

{5.2.1 System for maintaining up-to-date data for each FSC product group that is available
upon request by SmartWood/SmartWood auditors including:
 Reference to supplier invoice for inputs;
 Quantities of inputs;
 Material category of inputs (including the percentage or credit claim when applicable);
 Claim period or job order for outputs;
 FSC claim of outputs;
 Product item information for outputs used on sales invoices;
 Reference to sales invoices for outputs}
Part 3: Purchasing and Receiving
3.1 Sourcing

{1.2.2 Personnel responsible for sourcing/purchasing including qualifications and/or training
measures for this responsibility.}
3.1.1 Supplier Verification

{3.2.2 Procedures for verifying the validity and scope of supplier certificates via www.fscinfo.org}
3.1.2 Specifications
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{3.1.1 Use of the definitions and categorization of inputs according to 40-004 V2.}
{3.1.2 System for purchasing/specification categorizes inputs by the material category and
ensures only inputs eligible for FSC products groups are used.}
{Eligible inputs described and specified according to material category:
 FSC Pure: FSC-certified inputs from an FSC-certified supplier;
 FSC Mixed: FSC-certified inputs from an FSC-certified supplier;
 FSC Recycled: FSC-certified inputs from an FSC-certified supplier;
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FSC Controlled Wood: non-FSC virgin inputs already controlled by an FSC-certified
supplier;
Controlled material: non-FSC virgin inputs controlled by implementing applicable
FSC-STD-40-005 requirements (3.3.1);
Post-consumer reclaimed: inputs verified by implementing FSC-STD-40-007
requirements (3.3.2);
Pre-consumer reclaimed: inputs verified by implementing FSC-STD-40-007
requirements (3.3.2).}
3.1.3 Generating Raw Material (Inputs) On-site
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{3.4.1.a Procedures to ensure inputs generated during primary manufacturing of another
product are classified under the same material category as the original inputs to that
production (until 31-Dec-09, co-products are exempt from Controlled Wood requirements
per FSC-ADV-40-004).}
{3.4.1.b Procedures to ensure inputs reclaimed during secondary manufacturing or
further downstream that were not intentionally produced and are not capable of being reused in that same manufacturing process are classified under the same material category
as the original inputs to that production OR as pre-consumer reclaimed.}
{3.4.2 Procedures to ensure inputs generated on-site that have originated from different
material categories and the proportions are not known are classified under the lowest
FSC/post-consumer claim, e.g.,
 FSC-certified + CW = CW
 FSC-certified + CW + reclaimed = CW
 Post-consumer reclaimed + pre-consumer reclaimed = pre-consumer reclaimed
 Any FSC eligible input + uncontrolled = uncontrolled
3.2 Receipt

{1.2.2 Personnel responsible for receiving including qualifications and/or training measures for this
responsibility.}
3.2.1 Identification of Inputs
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
{4.1.1 Procedures for verifying the supplier invoice and supporting documentation to
ensure:
 The material category is clear and is an eligible input for FSC product groups;
 The supplier’s FSC CoC or FSC CW code is included, as applicable;
 Quantity and quality of inputs corresponds with the supplier documentation.}
{4.1.1 System ensures the material category is clear as appropriate:
 FSC Pure: from an FSC-certified supplier with FSC CoC code;
 FSC Mixed: FSC Mixed X% or FSC Mixed Credit from an FSC-certified supplier
with FSC CoC code;;
 FSC Recycled: FSC Recycled X% or FSC Recycled Credit from an FSC-certified
supplier with FSC CoC code;;
 FSC Controlled Wood: from an FSC-certified supplier with FSC CW code;;
 Controlled material: per procedures set up for FSC-STD-40-005 requirements
(3.3.1);
 Post-consumer reclaimed: per procedures set up for FSC-STD-40-007
requirements (3.3.2);
 Pre-consumer reclaimed: per procedures set up for FSC-STD-40-007
requirements (3.3.2)
 Co-products: per FSC definition and transitory requirements in FSC-ADV-40-004.}
3.2.2 Segregation

{4.2.1 Procedures for maintaining inputs for FSC product groups separate and identifiable
by product group, OR if inputs for different product groups are identical, maintaining inputs
separate by the associated FSC claim of the input.}
3.2.3 Receipt of FSC-labeled Inputs

{4.3.1 When labeled inputs are used in production, procedures to remove FSC labels or
FSC segregation marks prior to sale.}
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
{4.3.1 When inputs are sold unchanged, procedures to verify the product is correctly
labeled according to the FSC claim. When mis-labeling is suspected, procedures to
contact SW and await guidance.}
Part 4: System for Controlling FSC Claims


{5.3.1 Each FSC product group requires designation of one of the three systems for controlling FSC claims:
Transfer, Percentage, or Credit.}
{2.1.1, 4.2.1 Procedures ensure all inputs to FSC product groups are from eligible material categories and
any ineligible materials are kept separate.}
4.1 Transfer System
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{Required for FSC Pure product groups and trading of finished products; may be used for FSC
Mixed, FSC Recycled, and FSC Controlled Wood product groups.}
{1.2.2 Personnel responsible for the transfer system including qualifications and/or training
measures for this responsibility.}
{4.2.1 Procedures for maintaining materials separate and identifiable by product group.}
{2.1.1, 4.2.1, 5.3.1 Procedures for FSC Pure product groups ensure all inputs are FSC Pure and
any other materials are kept separate.}
4.1.1 Specification of Claim Period or Job Order

{7.1.1 Identify/reference the applicable FSC product groups and specify the claim period or
job order for making the same FSC claim.}
4.1.2 Determination of the FSC Claim
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
{7.2.1 When all inputs to the FSC product group fall under one FSC claim, procedures
ensure the corresponding FSC claim is used.}
{7.3.1 When inputs to the FSC product group fall under different FSC claims, procedures
ensure the lowest FSC/post-consumer claim is used, e.g.,
 FSC Pure + FSC Mixed Credit = FSC Mixed Credit
 FSC Mixed 70% + FSC Mixed 50% = FSC Mixed 50%
 FSC Recycled + Post-consumer Reclaimed = FSC Recycled.}
4.2 Percentage System
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{May be used for processing and selling FSC Mixed and FSC Recycled product groups with
percentage claims; required at a single, physical site (5.3.2); FSC Controlled Wood product groups
may be sold if a Mixed or Recycled claim is not being made.}
{1.2.2 Personnel responsible for the percentage system including qualifications and/or training
measures for this responsibility.}
{4.2.1 Procedures for maintaining materials separate and identifiable by product group.}
{2.1.1 Procedures ensure all inputs to an FSC Recycled percentage system are reclaimed (post or
pre-consumer).}
4.2.1 Specification of Claim Period or Job Order
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
{8.1.1 Identify/reference the applicable FSC product groups and specify the claim period or
job order for making the same FSC claim.}
{8.3.3 If claim periods are used, the time period shall not exceed 12-months.}
4.2.2 Calculation of the Percentage
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{8.2.1 Procedures ensure quantities of FSC Mixed inputs used in the percentage
calculation are based on the specific percentage or credit claim on the supplier invoice.}
{8.2.1 Procedures ensure quantities of FSC Recycled inputs used in the percentage
calculation are based on the specific percentage or credit claim stated on the supplier
invoice.}
{8.3.1 Procedures for calculating the FSC percentage which is based on FSC-certified
(FSC Pure, FSC Mixed, and/or FSC Recycled) and/or verified post-consumer reclaimed
inputs divided by the total of all inputs used in the claim period or job order.}
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
{8.3.2 Procedures detailing the FSC percentage claim is based on inputs to a single claim
period or job order, OR
the FSC percentage claim is based a rolling average percentage of inputs to a specified
number of previous claim periods that are completed before the FSC claim is made.}
4.2.3 FSC Claims
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{8.4 Indication of FSC claims that will be made with assurances as applicable below.}
{8.4.1 Total output of a claim period or job order for an FSC Mixed product group may be
sold with the calculated FSC percentage claim, or a lower FSC percentage claim.}
{8.4.2 Total output of a claim period or job order for an FSC Recycled product group may
be sold with the calculated FSC percentage claim, or a lower FSC percentage claim.}
{8.4.3 Products that are not sold with an FSC Mixed or FSC Recycled claim may be sold
with an FSC Controlled Wood claim if approved in the certificate scope.}
4.2.4 Promotion

{8.5.1 Procedures shall ensure that when the product does not meet the FSC percentage
minimums for FSC-labeling, the FSC trademarks are not used for promotion of the
product.}
4.3 Credit System
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
{May be used for processing and selling FSC Mixed and FSC Recycled product groups with credit
claims; required at a single, physical site (5.3.2) Controlled Wood product groups may be sold for
quantities not sold with an FSC Mixed or FSC Recycled credit claim, an FSC CW credit account is
required in this case.}
{1.2.2 Personnel responsible for the credit system including qualifications and/or training measures
for this responsibility.}
4.3.1 Specification of Claim Period

{9.1.1 Identify/reference the applicable FSC product groups and specify the claim period
that will be used for maintaining the credit account for each product group including time
period for recording additions and withdrawals from the account. Claim period maximum is
3-months.}
4.3.2 Adding Credit to the Account
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{9.3.1 Procedures ensure that only FSC-certified (FSC Pure, FSC Mixed, FSC Recycled)
and verified post-consumer reclaimed inputs contribute to FSC credit in accounts for FSC
Mixed product groups.}
{9.3.1 Procedures ensure that only FSC Recycled and verified post-consumer reclaimed
inputs contribute to FSC credit in accounts for FSC Recycled product groups.
{2.1.1 Procedures ensure all inputs to an FSC Recycled credit system are reclaimed (post
or pre-consumer).}
{9.6.3 When FSC Controlled Wood claims are made for products that are not sold with
FSC Mixed Credit or FSC Recycled credit claims, procedures are in place for a
corresponding credit account is managed for an FSC Controlled Wood product group.}
{9.2.1 Procedures ensure quantities of FSC Mixed inputs added to the credit account are
based on the specific percentage or credit claim on the supplier invoice.}
{9.2.1 Procedures ensure quantities of FSC Recycled inputs added to the credit account
are based on the specific percentage or credit claim on the supplier invoice.}
{9.3.1, 5.1.1 Procedures ensure FSC credit that is added to the account is based on the
converted quantity using the identified conversion factor for each component.}
{9.3.2 Procedures ensure FSC credit is added to the account after ownership is taken of
the inputs and the material category has been verified, and before the inputs enter
processing/production.}
4.3.3 Withdrawing Credit from the Account


{9.4.1 Procedures ensure quantities of products that are FSC-labeled and/or sold with FSC
Mixed Credit or FSC Recycled Credit claims are deducted from the available FSC credit in
the applicable FSC product group credit account.}
{9.6.3 When FSC Controlled Wood claims are made for products that are not sold with
FSC Mixed Credit or FSC Recycled credit claims, procedures ensure quantities of products
Page 6 of 11
that are sold with FSC Controlled Wood claims are deducted from the available credit in
the applicable FSC CW credit account.}
4.3.4 General Credit Account Management
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{9.5.1 Procedures ensure the credit account is never overdrawn.}
{9.5.1 Procedures ensure records showing the up-to-date credit available in the credit
account are available to relevant staff.}
{9.5.2 Procedures ensure the sum of new credit shall not exceed what has been added to
the account over the past 12-months.}
{9.5.2 Procedures ensure any unsold FSC credit that exceeds new credit added over the
past 12-months is deducted at the start of each new claim period.}
4.3.5 FSC Claims
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
{9.6.1 FSC Mixed product groups may be sold with a credit claim up to the total available
FSC credit in the applicable credit account.}
{9.6.2 FSC Recycled product groups may be sold with a credit claim up to the total
available FSC credit in the applicable credit account.}
{9.6.3 Products within an FSC product group may be supplied with / sold with an FSC
Controlled Wood claim when that volume has not been sold with an FSC Mixed or FSC
Recycled credit claim. This is only allowed when FSC CW claims are approved in the
certificate scope and FSC CW credits are managed in a credit account.}
Part 5: Sales and Delivery

{1.2.2 Personnel responsible for sales and delivery including qualifications and/or training measures for this
responsibility.}
5.1 Invoices
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{6.1.1 System ensures invoices for products sold with FSC claims include the following:
 Name and contact details of your company;
 Name and address of customer;
 Date of the invoice;
 Description of the product sold with an FSC claim;
 Quantity of product sold with FSC claim.}
{6.1.1 System ensures invoices for products sold with FSC claims include the FSC CoC or FSC
CW certificate code of your company as applicable to the FSC claim.}
{6.1.1 System ensures invoices for products sold with FSC claims include the applicable FSC
claim:
 “FSC Pure”
 “FSC Mixed X%”
 “FSC Mixed Credit”
 “FSC Recycled X%”
 “FSC Recycled Credit”
 “FSC Controlled Wood”}
{6.1.1 System ensures information is included to link the invoice to the shipping/transport
documentation.}
{6.1.3 When FSC products are sold with CoC control exempted minor components greater than
1.0% (and less than 5.0%) of the product volume or weight, invoices include details of these
quantities.}
5.2 Shipping/Transport Documentation
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
{6.1.2 When a copy of the invoice does not physically go with the product, system ensures all of the
required details shown in 5.1 above are included on shipping documentation.}
{6.1.3 When FSC products are sold with CoC control exempted minor components greater than
1.0% of the product volume or weight, shipping documentation includes details of these quantities.}
5.3 FSC Claims and on-product Labeling

{6.2.1 When the FSC label is applied to the product, procedures ensure the FSC claim on the
invoice and shipping documentation corresponds.}
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
{6.2.2, 4.3.2 When invoices are issued with FSC claims, procedures ensure the corresponding
product does not carry any on-product marks/claims of other forestry conformity assessment
schemes.}
Part 6: Trademark Use
6.1 On-product Labeling

{1.2.2 Personnel responsible for on-product labeling including qualifications and/or training
measures for this responsibility.}
6.1.1 Submittal to SmartWood
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

{40-201 Procedures ensure that all use of the FSC labels is submitted to SmartWood for
review and approval prior to use.}
{40-201 Procedures ensure that final products entering the marketplace do not contain
segregations marks with the FSC trademarks unless the full, and approved, FSC label is
included.}
{40-201 Approval correspondence with SmartWood is kept on file for a minimum of 5years.}
6.1.2 Applying the FSC Label
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
{40-201 Procedures ensure that only those products listed in the FSC product group
schedule are FSC-labeled.}
{Procedures ensure the minimum eligibility requirements are met for FSC labels to be
applied as follows:
 11.1.1 The FSC 100% / FSC Pure label is only used for FSC Pure product groups
sold with an FSC Pure claim. FSC Pure products are 100% from FSC-certified
forests.
 11.2.1 Product groups from the transfer system may carry the FSC Mixed
Sources label if the product has been supplied with an FSC Mixed percentage
claim of at least 70% or an FSC Mixed Credit claim.
 11.2.2 Product groups from the percentage system may carry the FSC Mixed
Sources label if the calculated percentage claim for FSC-certified (+ verified postconsumer reclaimed) input is at least 70%.
 11.2.3 Product groups from the credit system may carry the FSC Mixed Sources
label if there is sufficient FSC credit available in the corresponding product group
credit account.
 11.3.1 Product groups from the transfer system may carry the FSC Recycled
label if the product has been supplied with an FSC Recycled percentage claim of at
least 85% or an FSC Recycled Credit claim.
 11.2.2 Product groups from the percentage system may carry the FSC Recycled
label if the calculated percentage claim for FSC Recycled + verified post-consumer
reclaimed input is at least 85%.
 11.2.3 Product groups from the credit system may carry the FSC Recycled label if
there is sufficient FSC credit available in the corresponding product group credit
account.}
{40-201 Procedures ensure the correct variation of the FSC Mixed Sources label is used
based on the product content.}
{40-201 Procedures ensure FSC product groups do not carry the marks of other forestry
conformity assessment schemes.}
6.1.3 Rainforest Alliance Certified Seal (RAC Seal)

{40-201 Procedures ensure that the RAC seal is used only when the FSC label is present
and the FSC label is clearly differentiated.}
6.1.4 Applying the FSC Label between FSC Certificate Holders

{40-201 Procedures ensure both the buyer and manufacturer inform their respective CBs,
both companies receive written authorization from their CBs for the labeling arrangement,
the manufacturer receives the final approval, the manufacturer ensures they buyer’s
Page 8 of 11
certificate code is only used on products supplied to the buyer, the manufacturer keeps the
corresponding approval documentation clearly separate.}
6.1.5 Applying the FSC Label on behalf of non-certificate Holders

{40-201 Procedures ensure the SmartWood trademark reviewer is informed of this request,
the FSC label is submitted to SmartWood as normal for review and approval prior to use,
the certified company applies the FSC label to the product, the corresponding approval
documentation is kept clearly separate.}
6.2 Promotional use of the Trademarks

{1.2.2 Personnel responsible for promotional use of the trademarks including qualifications and/or
training measures for this responsibility.}
6.2.1 Submittal to SmartWood


{50-201 Procedures ensure that all use of the FSC trademarks are submitted to
SmartWood for review and approval prior to use, including advertisements, brochures, web
pages, catalogues, press releases, tradeshow booths, stationary templates, corporate
promotional items (e.g., t-shirts, mugs, hats, gifts).}
{50-201 Approval correspondence with SmartWood is kept on file for a minimum of 5years.}
6.2.2 Product Promotion

{50-201 Procedures ensure that product promotion using the FSC trademarks is limited to
products included in the FSC product group schedule and only for those products that
meet the minimum eligibility requirements for labeling.}
6.2.3 Rainforest Alliance Certified Seal (RAC Seal)


{50-201 Procedures ensure that the full FSC tick-mark tree logo is present when the RAC
seal is used.}
{50-201 Procedures ensure the FSC trademarks are not reproduced at a disadvantage to
the RAC seal.}
Part 7: Outsourcing
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
{Use of subcontractors for processing and/or handling of materials for FSC product groups falls under
outsourcing requirements.}
{1.2.2 Personnel responsible for outsourcing including qualifications and/or training measures for this
responsibility.}
7.1 General Provisions for Outsourcing
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{Details identifying:
 Types of subcontractors;
 Types of subcontracted activities;
 FSC product groups applicable to outsourcing arrangements;
 Reason for outsourcing;
 Frequency of outsourcing
 If FSC labels are to be applied by the subcontractor
 If the product is shipped back to the Organization, and if not, where.}
{12.1.1 Procedures ensure Organization maintains ownership of the materials during the entire
outsourcing arrangement.}
{12.1.1 Procedures for use of an agreement or contract that covers the outsourcing arrangement
with each subcontractor and includes a clause for the right of SmartWood to audit the
subcontractor.}
{12.4.1 The invoice for the FSC product groups following outsourcing is issued by the Organization
according to FSC CoC requirements for invoices.}
{12.4.1 Procedures ensure that if the Organization does not issue the final invoice, the product is
not sold with FSC claims.}
{12.3.2 Procedures ensure SmartWood is informed of any new subcontractors, including names
and contact details, prior to outsourcing.}
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{12.5.1 System to ensure the FSC label is only used on products covered by the outsourcing
agreement.}
{12.6.1 System to ensure subcontractor(s) do not use the FSC trademarks for promotional use.}
{12.7.1 System to ensure subcontractors do not further outsource processing.}
7.2 Handling Procedures

{12.1.1, 12.2.1 Details in documented procedures cover the outsourcing arrangement to ensure the
materials are tracked and controlled and cannot be mixed with other materials while with the
subcontractor.}
7.3 Records


{12.3.1 System for maintaining an up-to-date record of subcontractors used for FSC product
groups including names and contact details.}
{12.2.1 System ensures records maintained by the subcontractors include records for inputs,
outputs, and delivery documentation associated with the outsourcing arrangement.}
Part 8: Minor Components
{Minor Components: forest-based components of an FSC Pure or FSC Mixed assembled product constituting
less than 5% of the weight or volume of the virgin and reclaimed materials in the product. Minor components
may be exempted from the requirements for CoC control.}

{1.2.2 Personnel responsible for minor components including qualifications and/or training measures for this
responsibility.}
8.1 General Provisions for Minor Components


{Details of minor components including:
 Applicable FSC product group including FSC claim;
 40-004a product type/code of the FSC product group;
 Trade name of minor component (or other identifying name);
 Percentage of minor component in product;
 Indication if FSC-labeling is planned for the product group;
 Description of component function;
 Volume and dimensions of the minor component;
 Species according to 40-004b.}
{13.1.3 Details to demonstrate the quantity of materials entering the minor component is less than
5% of the weight or volume of the virgin and reclaimed materials in the product.}
8.2 Minor Components up to 1%

{13.2.1 Provide in writing an accurate and up-to-date justification why the material for the minor
component cannot be sourced from FSC-certified, controlled, or reclaimed material.}
8.3 Minor Components between 1% and 5%





{13.2.2 Procedures outlined in FSC-PRO-40-004 Minor Components Derogation Applications are
followed.}
{PRO-40-0041.2, 2.1, 2.2, 2.3, 3.1, 3.2, 4.1 Preparation of an application for each minor component
with required information.}
{PRO-40-004 4.2 Stipulation of an action plan.}
{PRO-40-004 5.1 Procedures for preparing an annual report that is available to SmartWood and
FSC upon request showing progress in meeting targets established in the Organization’s action
plan.}
{PRO-40-004 Procedures to ensure steps are taken to implement conditions established in FSC’s
derogation.}
Part 9: Reclaimed Inputs
{When there are reclaimed (post- or pre-consumer) inputs for FSC Product Groups, procedures required for
implementation of FSC-STD-40-007 FSC Standard for Sourcing Reclaimed Material for use in FSC Product
Groups.}
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{Supplier sites include any facility acting as a physical point of delivery of the input material.}

{1.2.2 Personnel responsible for sourcing and verifying reclaimed inputs including qualifications and/or
training measures for this responsibility.}

{40-007 1.1 Use of the definitions and examples of non-certified reclaimed inputs according to 40-007
annexes I and II.
9.1 Purchasing and Receiving


{40-007 1.1 Procedures for describing reclaimed inputs according to the above definitions in
purchasing documentation.}
{40-007 1.1 Procedures to ensure reclaimed inputs are described according to the above
definitions on delivery documentation.}
9.2 Supplier Audit Program
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

{40-007 2.1 Identify and describe documentation/other evidence used to demonstrate reclaimed
inputs comply with the 40-007 definitions.}
{40-007 2.2 Specify a program for regular (at least annual) on-site auditing of supplier sites in order
to verify authenticity of documentation/other evidence.}
{40-007 3.2 Supplier audit program details include a sampling of supplier sites applying the formula
y=0.8x (y = # of sites to be audited, x = total number of sites across all suppliers).}
{40-007 3.2 Supplier audit program details include audit sampling of sites that is representative of
geographic distribution, activities/products, and size/annual production.}
{40-007 2.3, 3.1 Supplier audit program details include designation of the personnel that will
conduct audits as well as the required qualifications and/or training measures for auditors.}
{40-007 3.4 Supplier audit program details include the process of the actual audit including
verification of the documentation/other evidence for quantity and quality of inputs as well as
compliance with the 40-007 definitions.}
9.3 Records



{40-007 4.1, 4.3 System for maintaining documentation/other evidence readily available to
SmartWood.}
{40-007 4.2, 4.3 System for maintaining reports and/or records of supplier audits with findings and
identification of auditors readily available to SmartWood.}
{40-007 4.2 System for maintaining all relevant records for a minimum of 5-years.}
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