PEFC/01-00-01

PEFC GD 2001:2022

Chain of Custodyof Forest and Tree
Based Products andRelated Standards –Guidance for UseFirst edition

PEFC
GUIDANCE
DOCUMENTPEFC Council
ICC Building C1, Route de Pré-Bois 20, 1215 Geneva 15, Switzerland
t +41 22 799 45 40 f +41 22 799 45 50 e info@pefc.org www.pefc.org

Copyright notice© PEFC Council 2022
This PEFC Council document is protected by copyright owned by the PEFC Council. The document is freely available from the PEFC Council website or uponrequest.
No part of this document may be changed or amended, reproduced or copied, in any form or by any means for commercial purposes without the permission of thePEFC Council.
The official version of this document is in English. Translations of the document can be obtained from the PEFC Council or the PEFC National Governing Bodies.
When there is doubt in regard to language interpretation, the English version is the reference.

Document name: Chain of Custody of Forest and Tree Based Products and Related Standards – Guidance for use
Document title: PEFC GD 2001:2022
Approved by: PEFC Board of Directors

Approval date: 2022-09-28

Version: 1
Issue date: 2022-10-26
Application date: 2022-10-26

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

2

Contents
Foreword ………………………………………………………………………………………………………………………………………………………………………………….4
Introduction ……………………………………………………………………………………………………………………………………………………………………………….5
1. Scope ………………………………………………………………………………………………………………………………………………………………………………….6
2. Normative references ………………………………………………………………………………………………………………………………………………………………..6
3. Transition to the 2020 versions of the chain of custody related standards ……………………………………………………………………………………………………6
4. General guidance for the use of PEFC ST 2002:2020, Chain of Custody of Forest and Tree Based Products – Requirements ………………………………………7
5. General guidance for the use of PEFC ST 2001:2020, PEFC Trademarks Rules – Requirements …………………………………………………………………..….97
6. General guidance for the use of PEFC ST 2003:2020, Requirements for Certification Bodies operating Certification against the PEFC International Chain of
Custody Standard …………………………………………………………………………………………………………………………………………………………………124

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

3

Foreword
PEFC, the Programme for the Endorsement of Forest Certification, is a worldwide organisation promoting sustainable forest management through forest certification andlabelling of forest-based products.
PEFC certified sustainable forest management works through the PEFC endorsement of national and regional forest certification systems, which were independently
assessed to be in compliance with PEFC’s sustainability benchmarks for forest management certification standards. For further information on PEFC’s sustainability
benchmarks, please see the PEFC website at www.pefc.org.
PEFC Chain of Custody related standards deliver confidence that forest and tree based material in products with the PEFC claim or label originates in PEFC certified
sustainably managed forests, recycled material and/or PEFC controlled sources.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

4Introduction
This guidance document provides explanation, clarification, and interpretation to PEFC ST 2002:2020, Chain of Custody of Forest and Tree Based Products –Requirements and related standards, PEFC ST 2001:2020 PEFC Trademarks Rules – Requirements and PEFC ST 2003:2020 Requirements for Certification Bodies
operating Certification against the PEFC International Chain of Custody Standard. Clarifications and interpretations are issued following PEFC’s clarification andinterpretation procedure. Interpretations are normative. They can be identified within the text through the use of the verb “shall” and blue colour.
Guidance on the specific standards is collected in specific chapters of this document. Inside the chapters dedicated to each standard, the numbering replicates thenumbering of the different sections and requirements within each of the standards.
This guidance may be amended as new explanations, clarifications, and interpretations to any of the three standards mentioned above are given by the PEFC Chain of
Custody Working Group. Issues that require explanation, clarification, and/or interpretation can be forwarded to the Technical Unit of the PEFC Council Secretariat.
Conformity assessment activities need to be carried out against PEFC ST 2001:2020; PEFC ST 2002:2020; PEFC ST 2003:2020 and interpretations. Clarifications should
be considered during the audit.
This document replaces PEFC GD 2001:2014, except for Annex 1: Guidance for the implementation of PEFC Chain of Custody for specified projects, which remains valid
until covered by a new official document.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

5

1. ScopeThis guidance document provides information for the implementation of the requirements of PEFC ST 2002:2020, Chain of Custody and related standards PEFC ST
2001:2020, PEFC Trademarks Rules – Requirements and PEFC ST 2003:2020, Requirements for Certification Bodies operating Certification against the PEFC
International Chain of Custody Standard.

2. Normative references
PEFC ST 2002:2020, Chain of Custody of Forest and Tree Based Products – Requirements
PEFC ST 2001:2020, PEFC Trademarks Rules – Requirements
PEFC ST 2003:2020, Requirements for Certification Bodies operating Certification against the PEFC International Chain of Custody Standard.

3. Transition to the 2020 versions of the chain of custody related standards
The transition period to the 2020 version of the chain of custody related standards finished on the 14 August 2022. From that date onwards, certificate holders need totransfer their chain of custody systems to the 2020 requirements. Any audits conducted from that date onwards need to take place and be against the 2020 version of thestandard. From 14 November 2023, certificates issued against the 2013 version will no longer be valid. If the certificate holder wants to transition its chain of custody to the2020 version earlier, the certification body will assess in a case-by-case basis the implications of the transition in terms of compliance with the 2020 requirements into theorganisation’s chain of custody implementation and, in case it is necessary, conduct an additional audit. The transition to the new version does not impact the certification
cycle, so it can happen during a surveillance audit. Certificate is to be adapted to comply with the new requirements, such as the certificate number (PEFC ST 2003:2020,
7.7.4).
Any existing stocks of products and printed material that was covered by a chain of custody certificate against the PEFC ST 2002:2013 version and already included thetrademarks on the product according to the PEFC ST 2001:2008 version can still be sold once the company has transferred its chain of custody system to the 2020 versionof the PEFC ST 2001 and 2002, until the stock is depleted.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

6

4. General guidance for the use of PEFC ST 2002:2020, Chain of Custody of Forest and Tree Based
Products – Requirements
3.

Terms and definitions

Standard 2002:2020

Guidance

3.1 Accredited certificate
A certificate issued by a certification body within the scope of its accreditation whichbears the accreditation body’s symbol.
3.2 PEFC authorised body
An entity authorised by the PEFC Council to perform the administration of the PEFC
scheme on behalf of the PEFC Council.
Note: The authorised body is either the PEFC National Governing Body operating
within its country or other entity that has been authorised by the PEFC Council toperform the administration of the PEFC scheme.
3.3 Certified content
Percentage of PEFC certified material in a product or product group.
3.4 Claim period
Time period for which the certified content of a product group is determined.
Note: The claim period can also be specified as a single product, job order or
production batch.
3.5 Complaint
Expression of dissatisfaction made to an organisation, related to its compliance withthe requirements of this standard, or the complaints handling process itself, where a
response or resolution is explicitly or implicitly expected.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

7

3.6 Conflict timber•“Conflict timber does not include legally harvested timber traded bylegitimate governments to purchase arms for entirely legitimate selfdefence against invasion or insurrection" (see page 3 of USAID
Forests & Conflict - A Toolkit for Intervention).

•

Note: UNEP used this definition as part of Africa Environment Outlook
2: Our Environment, Our Wealth, page 397 (2006).

Note: Definition in quotations as used by UNEP.

•

Further information can be found here:
www.treee.es/conflict-timberFAQ

3.7 Controversial sources•

On the basis of timber regulation, such as the European Union timber
regulation, bullet 3.7.a) “Applicable local, national or international
legislation on forest management” includes legislation, legal
obligations, requirements, regulations, codes and binding
international treaties, conventions and agreements codes covering
and/or regulating:“Timber that has been traded at some point in the chain of custody by armed groups,
be they rebel factions or regular soldiers, or by a civilian administration involved inarmed conflict or its representatives, either to perpetuate conflict or take advantage ofconflict situations for personal gain. (...) Conflict timber is not necessarily illegal.” The
exploitation of timber may itself be a direct cause of conflict.

Forest and tree based material sourced from:a) Activities not complying with applicable local, national or international legislation
on forest management, including but not limited to forest management practices;
nature and environmental protection; protected and endangered species;
property, tenure and land-use rights for indigenous peoples, local communities
or other affected stakeholders; health, labour and safety issues; anti- corruption
and the payment of applicable royalties and taxes.
b) Activities where the capability of forests to produce a range of wood and nonwood forest products and services on a sustainable basis is not maintained or
harvesting levels exceed a rate that can be sustained in the long term.
c) Activities where forest management does not contribute to the maintenance,
conservation or enhancement of biodiversity on landscape, ecosystem, species
or genetic levels.
d) Activities where ecologically important forest areas are not identified, protected,
conserved or set aside.
e) Activities where forest conversions occur, in other than justified circumstanceswhere the conversion:i. is in compliance with national and regional policy and legislation applicablefor land use and forest management, andii. does not have negative impacts on ecologically important forest areas,
culturally and socially significant areas, or other protected areas, andPEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

Legal rights to harvest- land tenure rights, including customary rights as well as
management rights, obtained according to the legally prescribed
procedure- anti-corruption legislation, including bribery & fraud- the issuing of rights and licences according to the legally prescribed
procedure, specifying legally gazetted boundaries- legal business registration, obtained according to the legallyprescribed procedure- concession licenses and ensuring that licences only cover legally
gazetted areas, obtained according to the legally prescribed
procedure- management planning, including conducting forest inventories,
having a forest management plan and related planning andmonitoring, including approval by respective authorities- harvesting permits and/or licenses, or other legal documents
required for specific harvesting operations, obtained according to
the legally prescribed procedure prior to the implementation offorest harvesting activities

8

iii. does not destroy areas of significantly high carbon stock, andiv. makes a contribution to long-term conservation, economic, and/or social
benefits.
f)Activities where the spirit of the ILO Declaration on Fundamental Principles andRights at Work (1998) is not met.

g) Activities where the spirit of the United Nations Declaration on the Rights ofIndigenous Peoples (2007) is not met.
h) Conflict timber.
i)

Genetically modified trees.

Note 1 (on 3.7 b, d and e): Not considered “controversial sources” are such activities
in short rotation forest plantations with harvesting cycles under 35 years, that are on
agricultural land.
Note 2 (on 3.7 i): The restriction on the usage of genetically modified trees has been
adopted by the PEFC General Assembly based on the Precautionary Principle. Until
enough scientific data on genetically modified trees indicates that impacts on humanand animal health and the environment are equivalent to, or more positive than, thosepresented by trees genetically improved by traditional methods, no geneticallymodified trees will be used.

Taxes and fees
- forest harvesting specific fees such as royalties, payment ofstumpage fees and other volume-based fees, as well as land area
taxes or fees, based on correct classification of quantities, qualities,
and species- VAT and other taxes (including income and profit tax) that apply tothe material being sold, including selling material as growing forest(standing stock sales)
Timber harvesting activities- harvesting techniques and technology including the timing of
harvest, selective cutting, shelter wood regeneration, clear felling,transport of timber from felling sites and seasonal limitations- protected areas and protected, rare or endangered species and theirhabitats and potential habitats, including identification of protectedareas- environmental impact assessment in connection with harvesting,
acceptable levels of damage and disturbance of soil resources, theestablishment of buffer zones (e.g., along watercourses, open areas,
breeding sites), maintenance of retained trees on felling sites,
seasonal limitations on harvesting, and environmental requirements
for forest machinery
Workers’ rights and health and safety- personal protection equipment for persons involved in forestry
activities, use of safe felling and transport practice, establishment ofprotection zones around harvesting sites, and safety requirements
to machinery used, and safety requirements in relation to chemical
usage- employment of personnel involved in forestry activities, including
contracts and working permits, obligatory insurances, certificates ofcompetence and other training requirements, and payment of social
and income taxes- minimum working age and minimum age for personnel involved inhazardous work, legislation against forced and compulsory labour,and discrimination and legislation allowing for freedom of
association

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

9Third party rights- customary and traditional rights relevant to forest harvesting
activities, including sharing of benefits- rights of indigenous people as far as it’s related to forestry activities- “free, prior and informed consent” in connection with transfer offorest management rights and customary rights to the organisationin charge of the harvesting operation
Trade and transport- classification of harvested material is in terms of species, quantities,
and qualities in connection with trade and transport- trading permits and transport documents that accompany thetransport of wood from forest operations- offshore trading and transfer pricing- CITES permits- export/import licenses, and product classification related tocustoms (codes, quantities, qualities, and species)
Due diligence and/or due care
- due diligence and/or due care procedure, including e.g., due
diligence/due care systems, declaration obligations
International conventions- Convention on International Trade in Endangered Species of Wild
Fauna and Flora (CITES)- United Nations Convention against Transnational Organized Crime- United Nations Convention against Corruption- Convention on Biological Diversity (CBD)- Convention Concerning the Protection of the World Cultural andNatural Heritage

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

10•

Corrupt practices include bribery of public officials; embezzlement,
trading in influence, abuse of function, and illicit enrichment by public
officials; and bribery and embezzlement in the private sector, as well
as money-laundering and obstruction of justice (areas covered by theUnited Nations Convention against Corruption)•

Sources of information about relevant international conventions andtreaties ratified by countries include:- https://treaties.un.org/- https://indicators.ohchr.org/- https://tbinternet.ohchr.org/- https://www.ilo.org/dyn/normlex/en/f?p=1000:12001:::NO:::- https://iea.uoregon.edu/- https://www.coe.int/en/web/conventions/

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use•

Bullet 3.7.e) A forest conversion occurs in justified circumstances
when all requirements in the bullet points from i to iv are fulfilled.

•

Bullet 3.7.e) If conversion does not comply with applicable legislation
as per 3.7.a, it is an illegal conversion and therefore controversial
independently of complying with 3.7.e).

•Bullet 3.7.f) intrinsically requires that the spirit of the UN Declarationsof Human Rights is also met. This is based on the recognition by the
ILO that international labour conventions, in particular those relating
to freedom of association, can only be effective if the civil and politicalrights enshrined in the Universal Declaration of Human Rights•

For more information on Bullet 3.7.g), please refer to UNDRIP.

•

Note 1 to bullet 3.7 b, d and e: Application of the definition ofagricultural land requires consideration of the endorsed national PEFC
standard (if exists), national forestry terminology, and legal
requirements.

•

Certificate holders are expected to conduct business fairly andethically.

11

3.8 Credit method
A chain of custody method where credits gained from certified material are transferred
to PEFC controlled sources material within the same PEFC product group.
3.9 Due Diligence System (DDS)
A framework of procedures and measures, namely information gathering, risk
assessment and risk mitigation, implemented by an organisation to reduce the risk that
forest and tree-based material originates from controversial sources.

• The first step of the DDS implementation is named differently within
the standard. It is referred as “access to information” and “gathering
information”. Terms are equivalent and refer to the same step.

Note: Organisations can cooperate with each other and use external services for
implementing a DDS, but the responsibility to conform with the DDS requirements ofthis standard lies with the individual organisation.
3.10 Ecologically important forest areas
Forest areas:
containing protected, rare, sensitive or representative forest ecosystems
containing significant concentrations of endemic species and habitats of threatened
species, as defined in recognised reference lists
containing endangered or protected genetic in situ resources
contributing to globally, regionally and nationally significant large landscapes withnatural distribution and abundance of naturally occurring species
3.11 Equivalent input material
Forest and tree based material that can be substituted with each other without
significantly changing the appearance, function, grade, type or value of the output
product.

•

According to the “equivalent input material” definition, all thecharacteristics of the output product - appearance, function, grade,type, or value - remain consistent.

•

Example:- Legs from a table can be from spruce or equivalent material pine, if
appearance, function, grade, type, or value of the output product do
not change.
- Different wood assortment such as OSB can be substituted by
chipboard or particle board if appearance, function, grade, type, orvalue of the output product do not change.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

12

- Wooden flooring comprised of natural wood and fibreboard, where
the natural wood may come from walnut tree, or equivalent natural
wood such as American oak or cherry.
- Mechanical wood pulp from resinous species such as fir or pine
fibre.

3.12 Forest
Minimum area of land of 0.05-1.0 hectares with tree crown cover (or equivalent
stocking level) of more than 10-30 percent with trees, with the potential to reach aminimum height of 2-5 metres at maturity in situ. A forest may consist either of closed
forest formations where trees of various storeys and undergrowth cover a highproportion of the ground or open forest. Young natural stands and all plantations thathave yet to reach a crown density of 10-30 per cent or tree height of 2-5 metres areincluded under forest, as are areas normally forming part of the forest area that are
temporarily unstocked as a result of human intervention such as harvesting or naturalcauses but that are expected to revert to forest (source: United Nations 2002).

•“Significantly” is to be understood as “obviously” or “noticeably”.

•“Appearance” is to be understood as all the visual characteristics of a
product including shape, colour, size, and texture.

• The definition of forest can be different at national level. This definition
must be applied by organisations located in countries where nonational Forest Management standard recognized by PEFC is in place.
For countries where a National Forest Management standard exists,
the definition from it is relevant.

3.13 Forest and tree based material
Material originating in forests or from other sources recognised by the PEFC Council
as eligible for PEFC certification, such as trees outside forests, including recycledmaterial originally coming from those areas/sources as well as wood based and nonwood based material, such as cork, mushrooms, berries etc., generally referred to as
non-wood forest products.
3.14 Forest and tree based products
Products from forest and tree based material, including measurable but non-tangible
products, such as energy generated from forest and tree based material.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

13

3.15 Forest conversion
Direct human-induced change of forest to non-forest land or forest plantation.
Note: Regeneration by planting or direct seeding and/or the human-induced promotionof natural seed sources, to the same dominant species as was harvested or otherspecies that were present in the historical species mix is not considered a conversion.
3.16 Forest plantation
Forest or other wooded land of introduced species, and in some cases native species,
established through planting or seeding, mainly for production of wood or non-wood
goods and services.
Note 1: Includes all stands of introduced species established for production of wood or
non-wood goods and services.
Note 2: May include areas of native species characterised by few species, intensive
land preparation (e.g. cultivation), straight tree lines and/or even-aged stands.
Note 3: Application of the definition requires consideration of national forestry
terminology and legal requirements.
3.17 Genetically modified trees
Trees in which the genetic material has been altered in a way that does not occur
naturally by mating and/or natural recombination, taking into account applicablelegislation providing a specific definition of genetically modified organisms.
Note 1: The following techniques are considered as genetic modification resulting in
genetically modified trees (EU Directive 2001/18/EC):
1) Recombinant nucleic acid techniques involving the formation of new combinationsof genetic material by the insertion of nucleic acid molecules produced by whatevermeans outside an organism, into any virus, bacterial plasmid or other vector systemand their incorporation into a host organism in which they do not naturally occur, but inwhich they are capable of continued propagation.
2) Techniques involving the direct introduction into an organism of heritable material
prepared outside the organism including micro-injection, macro-injection, and microencapsulation.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

143) Cell fusion (including protoplast fusion) or hybridisation techniques where live cellswith new combinations of heritable genetic material are formed through the fusion of
two or more cells by means of methods that do not occur naturally.
Note 2: The following techniques are not considered as genetic modification resulting
in genetically modified trees (EU Directive 2001/18/EC):
1) in vitro fertilisation
2) natural processes such as: conjugation, transduction, transformation
3) polyploidy induction
3.18 Material Category• See also guidance to definition 3.40, Trees outside Forests.

Material with certain characteristics, namely PEFC certified material, other material,
neutral material and PEFC controlled sources.
3.19 Multi-site organisation
Organisation with an identified central function (normally, and hereafter referred to as a“central office”) at which chain of custody related activities are planned, controlled andmanaged, and with one or more sites at which such activities are fully or partially
carried out.

• An individual certificate may include more than one site, if no chain ofcustody activities happen on the site where the certificate holder has
registered its legal address. See PEFC ST 2003, note 1 to requirement
7.7.1.b.
• Otherwise, if a certificate includes more than one site where chain ofcustody activities happen, independently of the distance between sites
or any other factors, the certificate is considered a multi-site.

3.20 Neutral material
Material category for material other than forest and tree based material, such as metalor plastic, not taken into account in the calculation of certified content of a productgroup.
3.21 Organisation
Person or group of people that has its own functions with responsibilities, authorities
and relationships to achieve its objectives.
Note: In the context of this standard, an organisation is implementing the requirementsof this standard while being covered by a PEFC recognised certificate.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use•

The term “organisation” refers to an entity certified against the PEFC
chain of custody standard that is making PEFC claims about thecontent of certified material or PEFC controlled sources to the PEFC
customer (3.29) and which can clearly identify the PEFC supplier (3.38)
and the PEFC customer.

15

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use•

Any organisation passing PEFC chain of custody claims to its
customers should be PEFC chain of custody certified and hold a PEFC
trademarks licence.

•

The term “supplier” (3.21) refers to an entity that is directly supplying
material/products to the organisation’s PEFC product groups together
with the PEFC claim about the content of certified material or PEFC
controlled sources. The supplier communicates the PEFC claims inthe document associated to a delivery of material meeting therequirements of 5.1.1.

•

The term “PEFC customer” (3.29) refers to an entity to which theorganisation makes the PEFC claims about the content of certified
material or PEFC controlled sources. The organisation communicates
the PEFC claims to the PEFC customer in the document associated tothe delivery of material, meeting the requirements of 5.2.1.

•

The definitions of “PEFC supplier” and “PEFC customer” are based
respectively on “who delivers the PEFC claims” and “to whom thePEFC claims are made”, regardless of the physical delivery or title ofownership of the supplied material/product.

•

It is important to note that, for the purpose of the implementation of
the organisation’s chain of custody, a PEFC-certified suppliersupplying PEFC-certified material may not be the legal owner of the
supplied material. The supplier of the certified material may be a chainof custody certified company that is physically delivering the material
to the organisation. In this case, the chain of custody claims flow does
not consider legality, but physical possession of the material,
provided that the chain of custody remains intact.

16

- Example 1: an organisation sources sawn wood from a non-PEFCcertified broker. The invoice from the broker cannot state a PEFC
claim. The sawn wood, however, is directly supplied from a PEFCcertified sawmill. The delivery note states the PEFC claim andidentifies the sawmill as supplier and the organisation as customer.
In this case, the organisation can appoint the PEFC-certified sawmill
as “supplier” and accept the supply as PEFC certified, provided thatthe delivery note meets all requirements of 5.1.1.

- Example 2: The organisation is selling the material to a PEFCcertified broker and shipping the material to a PEFC-certified printer.
In this example, whenever possible, the organisation should selectto which entity it issues the PEFC claim and will therefore be its
PEFC customer. Since both companies (broker and printer) are
PEFC chain of custody certified, it could choose either of them. To
avoid double counting of credits, only one organisation can accountthe claimed material as part of their chain of custody.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

17

3.22 Other material
Material category for forest and tree based material for which an organisation has notdetermined through its Due Diligence System that there is “negligible risk” that thematerial is from controversial sources.

•

In the flowchart below there is an example where the PEFC customer
is the printer and only includes the PEFC claim in the delivery note.

•

The PEFC Due Diligence System (DDS) is applied for material
classified as “other material” that will be included in a PEFC productgroup. After conducting DDS to the material, if the result is negligiblerisk to come from controversial sources, the material becomes PEFC
controlled sources.

3.23 Outsourcing
Practice of activities relevant for an organisation’s PEFC chain of custody being
performed by another legal entity, without continuous supervision or control from theorganisation.
Note: Generally not considered as outsourcing are transportation, (un-)loading andwarehousing of materials/products, unless there is a risk that materials with different
material categories or certified content are mixed with each other.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use18

3.24 PEFC certified material•

Products delivered with a “100% PEFC Origin” claim are considered
PEFC-certified material.

•

Scheme-specific claims of PEFC endorsed national standards can beused by the entities certified against a PEFC-endorsed sustainable
forest management (SFM) standard to communicate the origin of
products in an area covered by the standard to customers with a
PEFC chain of custody.

•

SFM and chain of custody standards endorsed by PEFC can be foundin the guidance provided to 3.27 of this document.

•

Products sold/transferred with a “100% PEFC Origin” claim areconsidered PEFC-certified products.

•

PEFC ST 2002, Chain of Custody, is an international standard that
includes the requirements that need to be met by an organisation inorder to successfully implement a chain of custody for forest andtree-based products, and to make PEFC claims to customers on theorigin of forest and tree based products in sustainably managed
forests, recycled material, and PEFC controlled sources. It is ready to
be used by certificate holders. In addition, PEFC Council also
endorses system specific chain of custody standards (see list below).
The requirements to develop and endorse system specific chain ofcustody standards are the same as for the development andendorsement of sustainable forest management standards. They aredescribed in PEFC ST 1001, Standard setting procedures, and PEFC
GD 1007, Endorsement and mutual recognition.

•

The following system-specific chain of custody standards have beenendorsed by PEFC against PEFC ST 2002:2020 International Chain of
Custody standard: SGEC Standard Document 4, chain of custody ofForest and Tree based products - Requirements and SFI 2022 Chain of
Custody ST (Section 4) and CFCC Part Five, Chain of Custody
Requirements.

Material category for:a) Forest and tree based material delivered by a supplier covered by a PEFC
recognised certificate, with the PEFC claim “x% PEFC certified”, or delivered bya supplier covered by a PEFC recognised certificate against a forest
management standard that is endorsed by PEFC with another PEFC endorsed
system claim.
Note: PEFC endorsed system claims are published online on the PEFC website.
b) Recycled material (not delivered with the PEFC claim “x% PEFC certified”).
3.25 PEFC certified productProduct sold/transferred by an organisation with the PEFC claim “x% PEFC certified”.
3.26 PEFC chain of custody
Processes of an organisation for handling forest and tree based products andinformation related to their material category, and making accurate and verifiable
PEFC claims.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

19•

For guidance on how material from a PEFC-endorsed system-specificchain of custody standard can enter the PEFC chain of custody andhow it is to be considered according to the PEFC material categories,
see clarification to the definition 3.27 PEFC claim.

•

When purchasing standing trees from a PEFC-certified forest,
independently of when the first claim to the PEFC chain of custodycertificate holder is passed on, the PEFC chain of custody certificate
holder is expected to make sure that, at and during the time of theharvesting operations and time of delivery, the PEFC SFM certificate
is valid. This also applies to other tree or forest-based material.

•

When purchasing standing trees not covered under a PEFC
certificate, the PEFC chain of custody certificate holder is expected toensure that the trees do not come from controversial sources, notonly at the moment of purchasing the trees, but also at the time ofdelivery. This also applies to other tree- or forest-based material.

•

If standing trees are purchased from a PEFC-certified forest, theorganisation is expected to ensure that those trees are still coveredby a valid PEFC SFM certificate and consider if there are any
substantiated concerns that the material may have become
controversial sources at the time of delivery. If necessary, the DDS
would need to be revised.

•

In cases where an organisation (e.g., a logger) buys non-certified
standing trees that are afterwards included in the scope of an SFM
certificate, can be considered certified, provided that at the time ofdelivery:- The Forest Management Unit is under a valid SFM certificate.
- Supplementary documentation is issued to the organisation
including the PEFC claim, or another system specific claim
recognised by PEFC.
- Review of the DDS demonstrates that they are not controversial.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

20

3.27 PEFC claim•

The abbreviation X% PEFC is accepted for X% PEFC certified.

Organisation’s declaration on material/products, stated in sales and delivery
documentation, namely the claims “x% PEFC certified” and “PEFC controlled
sources”.

•

The accepted translations of PEFC claims (3.27 Note 2) can be used
when the organisation and the PEFC customer are based in the same
country or they are based in countries where the same language isofficially spoken (e.g., an organisation based in Germany and thePEFC customer based in Austria could use the PEFC claims inGerman). In other cases, the PEFC claim in English is used.

•

PEFC claims and PEFC label messages are two different things. The
PEFC claim is the declaration on materials/products conducted by
PEFC chain of custody certificate holders to implement thetraceability requirements of the PEFC Chain of Custody standard,using the PEFC claims. The text used as part of the PEFC labels, or
any text used together with the PEFC trademarks according to the
PEFC ST 2001, PEFC Trademarks ST, are called label messages.
PEFC label message can be used in other languages according to
PEFC ST 2001:2020 8.1.4.3•

Companies certified against a system-specific chain of custody
standard (please see guidance to 3.26, PEFC chain of custody)
endorsed by PEFC according to PEFC ST 2002:2020, when providing
material to an organisation certified against PEFC ST 2002:2020, willneed to make PEFC chain of custody claims. The equivalence ofclaims and claims flow between endorsed system-specific chain ofcustody standards and the PEFC International Chain of Custody
standard can be found below.

Note 1: In order to highlight PEFC certified material that has never been mixed with
PEFC controlled sources material, organisations implementing the physical separation
method may use the wording “100% PEFC Origin” instead of“100% PEFC certified” forPEFC certified material that was delivered by a supplier that is a forest
owner/manager covered by a PEFC recognised certificate issued against a PEFC
endorsed forest management standard with the claim “100% PEFC certified” or withanother PEFC endorsed system claim, and for PEFC certified material that was
already delivered with the claim “100% PEFC Origin”. Organisations receiving material
with such a claim “100% PEFC Origin” and implementing the percentage method orcredit method consider this as being the PEFC claim “100% PEFC certified”.
Note 2: A list of PEFC accepted abbreviations and translations of PEFC claims isavailable on the PEFC website.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

21

Equivalent system specific claims

PEFC Claims
ST 2002:2020

Equivalent system specific claims
SGEC CoC
Claims

CFCC CoC
Claims100% PEFC Origin

100% SGEC
origin100% CFCC
OriginSFI 100% from a Certified Forest

X% PEFC certified

x% SGEC
certified% CFCC certified

SFI X% Certified Forest Content

SFI CoC Claims

Responsible Wood
Claimsx% RW certified

SFI Credit or 100% as calculated under the credit method
SFI at Least X% Certified Forest Content
SFI 100% Certified Forest Content-Raw material from a forest certified to an
acceptable forest management standard constitutes a claim of 100% certified
forest content
SFI X% SFI Recycled Content
SFI X% Pre-Consumer Recycled
SFI % Post-Consumer Recycled

PEFC controlled
sources

SGEC controlled
sources

CFCC controlled
sources

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

SFI % Certified Sourcing or SFI Certified Sourcing

RW controlled sources•

According to the PEFC ST 2002, entities certified against a systemspecific chain of custody standard endorsed by PEFC (e.g., SFI Chainof Custody ST, SGEC Chain of Custody standard), must use the PEFC
claims when passing on claims to entities certified against the PEFC
ST 2002:2020 (e.g., when an SGEC chain of custody certified entity
passes on a claim to a PEFC chain of custody certified entity, theSGEC-certified entity must use the PEFC claims. When an SGECcertified company passes on a claim to a Responsible Wood chain ofcustody certified company, they must use the PEFC claims).
Organisations have the option to use a dual claim, e.g.: 92% SGECcertified/ 92% PEFC-certified, when such an equivalence exists (seealso guidance to requirement 5.2.2)•

List of PEFC accepted abbreviations and translations of PEFC claims
is available from this link: https://treee.es/claimtranslations22

3.28 PEFC controlled sources
Material category covering forest and tree based material for which an organisation
has determined through its Due Diligence System that there is “negligible risk” that thematerial is from controversial sources.
Note: “PEFC controlled sources” is also the PEFC claim that may be used for material
from this material category.
3.29 PEFC customer•

Entity receiving from an organisation a PEFC claim for products, of which it obtains
legal ownership and/ or physical possession.

Note 1 - the word “shall” in this note is to be understood by a“should”.

•

See also guidance to definition 3.21, Organisation.

3.30 PEFC product group•

The list of PEFC product categories is available on the PEFC website.

Product or set of products with equivalent input material, defined by product name/type
and category, type(s) of species, chain of custody method, material category, PEFC
claim(s), for which an organisation applies its chain of custody.

•

Editorial mistake Note 3 - In case of multi-site organisations as
defined in Appendix 2, 2.3 a) of this standard, PEFC product groups
can cover several sites.

Note 1: The organisation can define individual products, product batches and job
orders as PEFC product groups.

•

As per note 3, both the percentage and the credit systems can beused at the level of multi-sites, across more than one site.

Note 1: Where material/products are physically delivered to an entity other than theentity that has obtained legal ownership of the material, the organisation shall appointa single PEFC customer for the purpose of this definition, i.e. either the entity thatobtains legal ownership or the entity that obtains physical possession of the material.
Note 2: The term PEFC customer can also refer to an internal customer within an
organisation, if subsequent product groups have been established.

Note 2: The organisation can establish one or more product groups for parallel orsubsequent manufacturing or trading processes.
Note 3: In case of multi-site organisations as defined in Appendix 2, 2.2 a) of thisstandard, PEFC product groups can cover several sites.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

23

3.31 PEFC recognised certificatea) A valid accredited forest management certificate issued by a PEFC notified
certification body against a forest management system/standard that is endorsed
by PEFC.
b) A valid accredited chain of custody certificate issued by a PEFC notified
certification body against this standard or another chain of custody standard thatis endorsed by PEFC.
Note 1: PEFC endorsed forest certification systems and chain of custody standards
are found at the PEFC website.
Note 2: In case of a group or multi-site certificate where it is confirmed in a separate
document, such as an appendix to the certificate or a sub-certificate, that a site or agroup participant is covered by the certificate, the separate document and thecertificate together are considered the site’s/participant’s PEFC recognised certificate.
3.32 PEFC website
This is the website at the address www.pefc.org.
3.33 Percentage method
A chain of custody method where the certified content of a PEFC product group is
calculated for a specified claim period, based on the input material included in the
PEFC product group.
3.34 Physical separation method
chain of custody method of controlling a PEFC claim for a specified PEFC productgroup based on clear identification and/or separation of different material categories
throughout all the activities performed by the organisation.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

24

3.35 Recycled material•

If material is delivered under a recycled claim against anothercertification system or standard, the organisation needs to ensure thatit meets PEFC’s definition for recycled material. If it does, it can be
accepted as recycled material. PEFC-endorsed chain of custody
standards have been assessed as meeting PEFC’s recycled material
definition.

•

Material can no longer be used for its intended purpose when it hascompleted its life cycle, as per ISO 14021:1999, definition 3.1.8•

Examples of documents and claims that could be accepted as adeclaration of recycled material:

Forest and tree based material that is:a) Recovered from waste during a manufacturing process. Excluded is reutilisationof materials such as rework, regrind or scrap generated in a process andcapable of being reclaimed within the same process that generated it. Excluded
are by-products resulting from primary production processes, such as sawmillingby-products (sawdust, chips, bark, etc.) or forestry residues (bark, chips frombranches, roots, etc.) as they are not considered waste.
b) Generated by households or by commercial, industrial and institutional facilities
in their role as end- users of the product that can no longer be used for its
intended purpose. This includes returns of material from the distribution chain.
Note 1: The term “capable of being reclaimed within the same process that generatedit” means that the material generated in one process is continuously returned to thesame process at the same site. An example is residue generated by a press line in apanel board production that continuously re-enters the same press line. This is notconsidered as recycled material.
Note 2: The definition is based on definitions of ISO 14021.

- EN 643 classification- Product details- Producer claim- Legal statements- ISO 14021 claims- A Type iii Environmental Product Declaration, compliant with UNI EN
15804 and ISO 14025 (EPD)

Note 3: Different examples of recycled material are provided in PEFC GD 2001.

Examples of material classification as recycled/not recycled

Examples of material

Classification

Note

Wood waste from Construction and demolition and timber
retrieved from dismantled buildings

Recycled

Material resulting from the alteration, construction, destruction, rehabilitation, or repair of
any man-made physical structure including houses, buildings, industrial or commercial
facilities.

Commercial transport packaging, such as pallets, crates,
cases, cable drums, etc.

Recycled

Material generated by commercial, industrial, and institutional facilities which can nolonger be used for the intended purpose.

Furniture off-cuts procured by panel board producer

Recycled

Diverted from the waste stream, the material is not used in the same process by which it
was generated.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

25

Examples of material

Classification

Note

By-products such as sawdust or chips

Not recycled

Neither pre-consumer, nor post-consumer. By-products are explicitly excluded bydefinition from pre-consumer recycled material.
Cork dust or charcoal dust resulting from primary production, is considered a by-productand not recycled material.

Unsold magazines, newspapers and other printed material
returned from the distribution

Recycled

Generated by industrial facilities in their role as the end-user, the product can no longer
be used for its intended purpose.

Reclaimed defective furniture from the manufacture, usedby panel board producer

Recycled

Generated by industrial facilities, the industrial facility is the end-user of the defective
furniture; the product can no longer be used for its intended purpose.

Printer’s off-cuts

Recycled

Diverted from the waste stream, the material is not used in the same process by which it
was generated.

Reclaimed office or households scrap paper

Recycled

Generated by households.

Grades of recovered paper identified based on EN 643

Recycled

The grades defined by EN 643 meet the definition of recycled material.

Mill broke from paper or pulp production used in the sameprocess as it was generated by

Not recycled

The mill broke is excluded from the definition of recycled material as it is “material
generated in a process and being capable of being reclaimed within the same processthat generated it”.

Furniture made with old pallets

Recycled

Charcoal dust

Not recycled

Charcoal dust is considered as a by-product and therefore not considered as recycledmaterial.

Cork dust

Not recycled

Cork dust is considered as a by-product and therefore not considered as recycledmaterial.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

26

3.36 Rolling percentage
A chain of custody method where the certified content of a PEFC product group is
calculated for a specified claim period, based on the input material included in the PEFC
product group on average over a specified period preceding the claim period.
3.37 Substantiated concern
Information supported by proof or evidence, indicating that forest and tree based material
originates in controversial sources.
Note: Substantiated concerns can be concerns by third parties, as well as concerns of
the organisation itself.
3.38 Supplier•See guidance to definition 3.21, Organisation.

•

Off-product usage means the use of the PEFC trademarks, otherthan on-product usage, that is not referring to a specific product or
the origin of raw material in a PEFC-certified forest. Examples of off
products use is the PEFC trademarks on a website to promote thatthe organisation holds a PEFC certificate, or at the top of an invoice
to indicate the certified status of the certificate holder.

Entity supplying material used as input for an organisation’s PEFC product group.
Note 1: Where PEFC certified products are physically delivered by an entity other thanthat having the ownership title to the material, the entity that is covered by a PEFC
recognised certificate and that has specified the organisation as PEFC customer isconsidered the supplier for the product/delivery in question.
Note 2: The term supplier can also refer to an internal supplier within an organisation,
where subsequent product groups have been established.
3.39 Trademark use
Usage of the PEFC trademarks on- or off-product.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

27

3.40 Trees outside Forests (TOF)•

On-product usage means the use of the PEFC trademarks inreference to the PEFC-certified material of a product or that can beperceived or understood by buyers or the public as referring toPEFC-certified material. On-product usage can be direct (when the
PEFC trademarks are placed on tangible products) or indirect (thetrademarks refer to tangible products although they are not placed
directly on the product).

•

Material from TOF may be delivered under a X% PEFC certified or
PEFC controlled sources claim or as other material.

•

TOF material is no longer to be treated as neutral material. It is to beconsidered as other material. If it is delivered under a PEFC claim, it
is to be classified according to the PEFC claim (either as PEFC
controlled sources or X% PEFC certified). It needs to go through the
DDS, as per the material category under which it is classified.

•

For TOF material to be PEFC certified, the country from where the
TOF material comes needs to have in place PEFC-endorsed
requirements for TOF (either as a dedicated TOF ST or as an
Appendix to the SFM ST), in the same way it works for usual SFM
material. The list of PEFC-endorsed standards by country areavailable on the PEFC website.

Trees growing outside areas of nationally designated forest land.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

28

4. Management system requirements
4.1 General requirements
4.1.1 The organisation shall operate a management system in accordance with therequirements of this standard, to ensure correct implementation and maintenance of thePEFC chain of custody process(es). The management system shall be appropriate to
the type, range and volume of work performed, and cover outsourced activities relevant
for the organisation’s chain of custody and all sites in case of multi-site organisations(see Appendix 2).
4.1.2 The organisation shall define the scope of its PEFC chain of custody by specifying
the PEFC product groups for which the requirements of the PEFC chain of custody are
implemented.

•

As per clause 7.7.2.d of PEFC ST 2003:2020, the certification bodyneeds to include the products covered by the chain of custody aspart of the scope of certification, according to the PEFC productcategories. Clause 7.7.2.d) PEFC ST 2003:2020.

•

The list of PEFC product categories is available on the PEFC
website.

•To sell a product with a PEFC claim, the relevant product category
should be included in the scope of certification of the organisation,
to the lowest level possible.

•

For producer groups (PEFC ST 2002:2020, Appendix 1, 2.3.b), theproducts covered under the scope of the certificate are expected to
be specified for each individual participant.

•a) Reference to job positions is considered sufficient.

4.1.3 The organisation shall only make PEFC claims and PEFC related statements thatare correct to the best of its knowledge and covered by its PEFC chain of custody.
4.2 Documented procedures
4.2.1 The organisation shall establish written documented procedures for its PEFC chainof custody. The documented procedures shall include at least the following elements:a) responsibilities and authorities relating to the PEFC chain of custody

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

29b) description of the raw material flow within the production/trading process(es),including definition of product groupsc) procedures for PEFC chain of custody process(es) covering all requirements of thisstandard, including:i. identification of material categories
ii. physical separation of PEFC certified material, PEFC controlled sourcesmaterial and other materialiii. definition of product groups, calculation of certified content, management ofcredit accounts, transfer to outputs (for organisations applying percentage or
credit method)iv. sale/transfer of products and PEFC claims, including documentation in which
PEFC claims are made, and other on- and off-product trademark use
v. record keeping
vi. internal audits and non-conformity control
vii. the Due Diligence System
viii. complaints resolution
ix. outsourcing

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use30

Identification of the material category at delivery level

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

31

Content of the delivery document

Verification

Supplier identification

1

To link the delivery with the supplier of “claimed” material (- 4.2-)

Customer identification

2

The PEFC Customer needs to be identified in the delivery
documentation as the recipient of the delivery. When the physicaldelivery is made to a different entity, the organisation needs toappoint a single PEFC customer.

Product identification

3

To identify material/product delivered as certified and link thematerial/product with the appropriate product group.

Quantity of delivery

4

To identify the quantity of the delivery for its input into thepercentage calculation.

Date of delivery

5

To identify the date of the delivery and its input into the percentage
calculation.

Formal claim “x% PEFCcertified”, “100% PEFC
Origin” and/or “PEFC
Controlled Sources”
specifically for eachproduct/material on thedelivery document.

Identifier of the suppliercertificate

6

Only a delivery with the formal claim “x% PEFC certified” (itsclaimed %) or with the formal claim “100% PEFC Origin” (taken for
granted that the organisation and the supply comply with therequirements to make a 100% PEFC origin claim) can beconsidered as “certified material”.
The material claimed as recycled needs to be verifiable by thematerial (type of material) itself or based on associateddocumentation.

7

To link the delivery with the supplier of “certified” material (- 4.2-)

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

32

4.3 Responsibilities and authorities
4.3.1 General responsibilities
4.3.1.1 The organisation’s management shall define and document its commitment toimplement and maintain the chain of custody requirements in accordance with thisstandard. The organisation’s commitment shall be made available to the organisation’s
personnel, suppliers, customers, and other interested parties.
4.3.1.2 The organisation’s management shall appoint a member of the management
who, irrespective of other responsibilities, shall have overall responsibility and authority
for the organisation’s PEFC chain of custody.

•

Informative guidance for performing internal audits is given in ISO
19011.

4.3.2 Responsibilities and authorities for chain of custody•

Editorial mistake. Correct: 4.2.1 c) i-ix.

The organisation shall identify the personnel performing activities for the implementationand maintenance of its PEFC chain of custody and shall establish personnel
responsibilities and authorities for the implementation of the procedures 4.2.1 c) i-viii.
Note: The responsibilities and authorities for the PEFC chain of custody given above
can be cumulative.
4.4 Record keeping
4.4.1 To provide evidence of conformity with the requirements of this standard, theorganisation shall establish and maintain at least the following records relating to the
product groups covered by its PEFC chain of custody:a) Records of all suppliers of input material delivered with a PEFC claim, including
evidence of the suppliers’ PEFC certified status.
Note: Evidence can be a print-out from the PEFC website.
b) Records of all input material, including PEFC claims and documents associated tothe delivery of the input material, and for recycled input material, information
demonstrating that the definition of recycled material is met.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

33c) Records of calculation of the certified content, transfer of the percentage to output
products and management of the credit account, as applicable.
d) Records of all products sold/transferred, including PEFC claims and documents
associated to the delivery of the output products.
e) Records of the Due Diligence System, including records of risk assessments andsignificant risk supplies management, as applicable.
f)Records of internal audits, periodic chain of custody review, non-conformities andcorrective actions.

g) Records on complaints and their resolution.
4.4.2 The organisation shall maintain the records for a minimum period of five years.

•

For system-specific chain of custody standards endorsed by PEFC
(see also guidance to 3.26, PEFC Chain of Custody), the retention
period should be of a minimum of five years or within the legallydefined retention period by jurisdiction in the country where thesystem-specific chain of custody standard is implemented.

4.5 Resource management
4.5.1 Human resources/personnel
The organisation shall ensure and demonstrate that all personnel performing activities
affecting the implementation and maintenance of its PEFC chain of custody arecompetent on the basis of appropriate training, education, skills and experience.
4.5.2 Technical facilities
The organisation shall identify, provide and maintain the infrastructure and technicalfacilities needed for effective implementation and maintenance of its PEFC chain ofcustody with the requirements of this standard.
4.6 Inspection and control

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

34

4.6.1 The organisation shall conduct internal audits at least annually, and prior to theinitial certification audit, covering its compliance with all requirements of this standard
applicable to the organisation, including activities covered by outsourcing, and establish
corrective and preventive measures if required.

•As per the note, ISO 19011 is a potential alternative of how to
perform an internal audit, not a mandatory requirement.

•

An example of good practice is the UN Guiding Principles on
Business and Human Right (see page 33, Effectiveness criteria fornon-judicial grievance).

Note: Informative guidance for performing internal audits is given in ISO 19011.
4.6.2 The organisation’s management shall review the result of the internal audit and theorganisation’s PEFC chain of custody at least annually
4.7 Complaints
4.7.1 The organisation shall establish procedures for dealing with complaints fromsuppliers, customers and other parties relating to its chain of custody, reflecting therequirements of 4.7.2.
4.7.2 Upon receipt of a complaint in writing, the organisation shall:a) formally acknowledge the complaint to the complainant within ten workdaysb) gather and verify all necessary information to evaluate and validate the complaintand make a decision on the complaintc) formally communicate the decision on the complaint and of the complaint handlingprocess to the complainantd) ensure that appropriate corrective and preventive actions are taken, if necessary
4.8 Nonconformity and corrective action
4.8.1 When a nonconformity with the requirements of this standard is identified throughinternal or external auditing, the organisation shall:a) react to the nonconformity and, as applicable:
i. take action to control and correct itii. address the consequences

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

35b) evaluate the need for action to eliminate the causes of the nonconformity, in orderthat it does not recur or occur elsewhere, by:i. reviewing the nonconformity
ii. determining the causes of the nonconformityiii. determining if similar nonconformities exist, or could potentially occurc) implement any action neededd) review the effectiveness of any corrective action takene) make changes to the management system, if necessary
4.8.2 Corrective action shall be appropriate to the effects of the nonconformities
encountered.
4.8.3 The organisation shall retain documented information as evidence of:a) the nature of the nonconformities and any subsequent actions takenb) the results of any corrective action
4.9 Outsourcing•

The outsourcing requirements defined in 4.9 of PEFC ST 2002:2020
do apply when an outsourced activity is covered under the
production groups/scope of the organisation’s PEFC chain ofcustody.

•

Certified organisations who engage logging (harvesting) contractors
should undertake an internal audit of any new contractors, andshould have a mechanism to carry out and record an induction ofexisting contractors for individual harvesting sites. Such induction
processes and records can then be reviewed during the annualinternal audit.

4.9.1 The organisation may outsource activities covered by its PEFC chain of custody toanother entity.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

36

4.9.2 Through all stages of outsourcing the organisation shall be responsible for ensuring •that all outsourced activities meet the requirements of this standard, including
management system requirements. The organisation shall have a written agreement withall entities to whom activities have been outsourced, ensuring that:a) The material/products covered by the organisation’s PEFC chain of custody arephysically separated from other material or products.

•

4.9.2 b) In case the outsourced entity is PEFC certified, and theoutsourced activity is covered by and included under the scope of
its certificate, the outsourced activity will be covered by its
certification and therefore an internal audit by the organisation is
not necessary.
Note 1b) The organisation has access to the entity’s site(s) for internal and external auditingof outsourced activities for conformity with the requirements of this standard.

- The template can be found on the PEFC website:
Template: Outsourcing Agreement

Note 1: A template for an outsourcing agreement can be obtained from the PEFC
Council and PEFC authorised bodies.

- The template should be adapted to the reality of each company,
when applicable.

Note 2: Internal audits of outsourced activities should be conducted at least annually and •before the outsourced activity starts.

Note 2- Outsourcing activities are covered by the management systemand by the annual internal audits. Note 2 aims at clarifying that to
do so, they should be audited annually and before the outsourcing
activities start.
- Outsourcing activities can be covered in the annual internal audit
through sampling, as with the internal audits of the multi-site
certificates.
- The internal audit of outsourced activities can be done remotely, ina similar way as multi-site internal audits (appendix 2, 3.2.2.1.a),where a remote verification of the implementation of chain ofcustody processes is feasible and allows to ensure proper
implementation of the PEFC chain of custody requirements. Thisconsideration is to be assessed by the certification body during
the external audit.
- In producer groups, if a group member outsources an activity
within their chain of custody implementation, the group entity is
expected to reflect it in its management system, including how itwill organise internal audits of outsourcing activities.
- Internal audits of outsourcing activities are normally carried out by
the group entity central office, except in cases where distance orother factors make it more efficient for the group member to do so.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

37

- As per 4.6, the annual internal audit needs to cover outsourced
activities. When outsourced activities are conducted by multiple
subcontractors, the internal audit can be conducted based on thesampling procedure for multi-sites, following a risk-based
approach (that includes social issues).
- The internal audit of outsourced activities covers the applicablerequirements of the Chain of Custody standard.
4.10 Social, health and safety requirements in chain of custody•

In line with guidance to bullet 3.7.f), the spirit of the UN Declarationsof Human Rights should also be met. This is based on therecognition by the ILO that international labour Conventions, inparticular those relating to freedom of association, can only beeffective if the civil and political rights are enshrined in the Universal
Declaration of Human Rights•

Certificate holders are expected to conduct business fairly andethically.

4.10.1 The organisation shall demonstrate its commitment to comply with the social,health and safety requirements defined in this standard.

•This demonstrating of commitment comes by presenting
employment contracts, evidence of compliance with applicablelegislation and having and implementing written policies that would
enable the organisation to meet the requirements. One policy could
address one or more of these requirements. It is not necessary tohave separate policies for social, health and safety requirements.

4.10.2 The organisation shall demonstrate that:•a) workers are not prevented from associating freely, choosing their representatives
and bargaining collectively with their employer

These requirements also apply to contractors, migrant, seasonal
and temporary workers.

•

This also means that workers are not subject to abusive practices orundue disciplinary procedures. The organisation should notinterfere and remain neutral towards the workers.

•

If collective bargaining is going to take place, the employer is
expected to engage and negotiate.

This clause includes requirements relating to health, safety and labour issues that are
based on ILO Declaration on Fundamental Principles and Rights at Work (1998).

b) forced labour is not usedc) workers, who are under the minimum legal age, the age of 15, or the compulsory
school attendance age, whichever is higher, are not usedd) workers are not denied equal employment opportunities and treatmente) working conditions do not endanger safety or health

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

38

5. Identification of inputs and declaration of outputs
5.1 Identification of input material
Example of the material category identification in panel board production

1

2

3

4

5

6

7

8

Volume910Material category

in tonnes

Cert. (intonnes)Neutr. (intonnes)controlled
sources(intonnes)31300 Kg

31.3

0

0

31.3

PEFC controlled Sources

8160 Kg

8.16

0

0

8.16

Recycled
material

100% PEFC certified

17840 Kg

17.84

17.84

0

0

Sawdust

75% PEFC
certified

75% PEFC certified

83 m³

28.38

21.29

0

7.09

18/06/21

Round Wood

100% PEFC
Origin100% PEFC Origin

28140 kg

28.14

28.14

0

18/06/21

Recycledchipped pallets

100% PEFC
certified

100% PEFC certified

14360 kg

14.36

14.36

0

0

128.18

81.63

0

46.55

Deliv.#

Date

Description

Before DDSPEFC Claim
After DDS

in procured
MeasurementUnit

53739003/06/21

Round wood

Other material

PEFC controlled sources

537391

03/06/21

Shavings

537392

03/06/21

Recycledchippedpackagingwood

53839916/06/21

538705538706

Other material

Total

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

39

Note: Before entering this table, any material (except from recycled sources and material covered by CITIES) has gone through the DDS and remained PEFC certified or
become PEFC controlled sources. Initially, the classification of the Round wood delivered as 5337390 and shaving was “Other material”). After conducting DDS, the input
material into the PEFC chain of custody method is X% PEFC certified, 100% PEFC origin (that counts as 100% PEFC certified) and PEFC controlled sources.
Example of material category identification:•[column 1] The column “Deliv. #” should allow identification of “the delivery documentation”•[column 5] Includes the PEFC claim (percentage of PEFC certified material, PEFC controlled sources) as claimed by the supplier, or “recycled” status of the material.

•[column 6] Volume of procured material in measurement units as identified in the delivery documentation.

•[column 7] Volume of procured material in a single measurement unit (dry tonnes) allowing calculation of certification percentage. An organisation’s internal conversion
ratio was used to transfer delivery “538399” from m³ to tonnes.

•[column 8, 9, 10] Procured material that enters the PEFC product group should be classified as “certified”, “neutral” or “controlled sources” material. Where theprocured product includes only a proportion of PEFC certified material (see delivery “538399”), only the volume corresponding to the proportion should be classified as“certified” (0.75 x 28.38 = 21.29). The remaining 7.09 should be classified as PEFC controlled sources.
5.1.1 For each delivery of material used as input for a PEFC product group theorganisation shall obtain documentation with the following information from the supplier:a) supplier identificationb) product identificationc) quantity of productsd) delivery identification based on date of delivery, delivery period, or accounting
periodFor inputs with a PEFC claim the document shall also include:a) the organisation’s name as the PEFC customer of the deliveryb) the applicable PEFC claim specifically for each claimed product covered by the
documentationc) the certificate number of the supplier’s PEFC recognised certificate
Note 1: The certificate number is a numerical or alpha-numerical combination, which is aunique identifier of the certificate.
Note 2: An example of delivery documentation is an invoice or delivery note providing
the information required.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

40

5.1.2 Identification at supplier level

Supplier’s certificate
Forest management certificate

Content of the certificate
PEFC-recognised certificate• The certificate has been issued within the scope of a PEFC-endorsed scheme (see www.pefc.org for the list of
PEFC-endorsed schemes) and is valid according to the PEFC database

Document confirming participationin group/regional forest
management certification• The certificate was issued by a PEFC-notified certification body (see www.pefc.org for the list of PEFC-notified
certification bodies)
PEFC-recognised certificate

Chain of custody certificate• The certificate has been issued against this standard or against a PEFC-endorsed Chain of Custody standard(see www.pefc.org for the list of PEFC-endorsed chain of custody standards) and is valid according to the PEFC
database

Document confirming participationin multi-site/ producer group Chainof Custody certification• The certificate was issued by a PEFC-notified certification body (see www.pefc.org for the list of PEFC-notified
certification bodies)5.1.2.1 For all inputs delivered with a PEFC claim the organisation shall verify that the
supplier is covered by a PEFC recognised certificate on the PEFC website.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use•

PEFC does not have a requirement that establishes a certain
periodicity to verify the supplier status but requires verification thatthe supply is certified.

•

The organisation should determine how it verifies, e.g., supply bysupply or on a monthly, quarterly, or annual basis depending on thecase, on the degree of confidence and risks•

For material supplied by a chain of custody certified organisation,
the organisation verifies that the material is covered by the scope ofthe certificate according to the PEFC database•

For material delivered under a 100% PEFC Origin claim, theorganisation additionally verifies that the supplier implemented
physical separation on the delivered material.

41

5.1.2.2 For each delivery of material used as input for a PEFC product group theorganisation shall classify the material category of the procured material.

•

Material delivered from a supplier certified either against the PEFC
International Chain of Custody standard or a PEFC-endorsed chainof custody standard, can be accepted as certified only if it isdelivered under a PEFC official claim or an accepted abbreviation
and/or translation for certified material.

•

Material delivered with a claim other than a PEFC claim from a
supplier certified against a PEFC-endorsed system-specific standard(see clarification to 3.26 for a list of system-specific chain of custody
standards endorsed by PEFC) to an organisation certified against
the PEFC ST 2002:2020, the material cannot be considered as
certified, but as negligible risk as per Table 1 of the DDS.

•

Any certificate holders of schemes which are not endorsed by PEFC,
would need to become certified against the PEFC International
Chain of Custody standard to use the PEFC claims.

•

An organisation can produce products either within the PEFC
certification scope of their chain of custody or out of the scope.

•

The requirement 5.2.1 lists the information that is mandatory toinclude if the organisation wants to sell certified products or PEFC
controlled sources.

•

For sales of non-certified products, the organisation does not needto include this information.

•

The organisation can sell PEFC-certified and PEFC controlled
sources products to certified or non-certified companies. Although it
is not recommended, the organisation can sell PEFC-certified
products within the PEFC certification scope without declaration of
output claims, if desired. In those cases, the material is uncertified.

5.2 Declaration of outputs
5.2.1 For outputs from a PEFC product group for which the organisation makes a PEFC
claim to a PEFC customer, it shall provide the customer with documentation providing
the following information for each delivery:a) PEFC customer identificationb) the organisation’s name as the supplier of the materialc) product identificationd) quantity of product(s)e) date of delivery / delivery period / accounting periodf)the applicable PEFC claim specifically for each claimed product covered by the
documentationg) the certificate number of the organisation’s PEFC recognised certificate
Note: The certificate number is a numerical or alpha-numerical combination which is aunique identifier of the certificate.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

42

5.2.2 The organisation shall specify the type of documentation in which PEFC claims on
outputs are made.

•The wording “shall specify” does not mean that the identification of
the type(s) of document(s) is definite and cannot be changed at any
point in time. This should be covered under the chain of custody
management system.

•

The organisation may choose one or multiple documents to be used
for the communication of the claim to a single PEFC customer.

•

For example:- the organisation chooses to use only the invoice to communicate
the PEFC claims- the organisation uses both the invoice and delivery note tocommunicate the claims•

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

PEFC allows the use of dual claims. That means the PEFC claim canbe combined with a claim of another forest certification scheme oran endorsed PEFC SFM or chain of custody standard for a specificdelivery. The organisation receiving a dual claim ensures that theclaim is counted only once and there is no double accountability.
This is to be checked for conformance during the audit. An exampleof dual claim would be: SFI 100% Forest Content/100% PEFC
certified; or 100% SGEC certified/100% PEFC certified. See also
guidance to 3.27, PEFC claim.

43

•

Example of documentation associated with sold products (invoice):

5.3 Trademark use
5.3.1 The use of the PEFC trademarks i.e. PEFC logo and labels, chain of custody claims
on-product and PEFC initials, shall be in compliance with PEFC ST 2001, PEFC
Trademarks Rules – Requirements.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

44

5.3.2 In order to enable the organisation to use the PEFC trademarks in accordance with •the PEFC Trademarks Rules, the organisation shall obtain a valid trademark license fromthe PEFC Council or another PEFC authorised body.

PEFC Council and PEFC authorised body contact details forrequesting a PEFC trademarks usage licence can be found here:
https://labelgenerator.pefc.org/contact•

The trademark usage licence request should be made to the PEFC
authorised body from the country where the organisation has its
legal address. Please check the PEFC authorised body and therespective countries that are being represented by them, at:https://labelgenerator.pefc.org/contact•

If the country of the legal address of the organisation it is not in thelist, the license request needs to contact the PEFC Council. For
multi-site organisations, the PEFC contact is the office from thecountry where the headquarters of the multi-site certificate is based.

5.4 Content of recycled material
5.4.1 For products covered by the organisation’s PEFC chain of custody that include
recycled material, the organisation shall calculate the content of recycled material basedon ISO 14021 and inform about it upon request.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

45

6. Chain of custody methods
6.1 General

6.1.1 There are three methods to implement the PEFC chain of custody, namely thephysical separation method, the percentage method and the credit method. Dependingon the nature of material flows and processes, the organisation shall choose theappropriate method.

•

The PEFC Chain of Custody standard provides three methods thatthe organisation can implement based on its material flow, but also
based on its communication and marketing needs or on a PEFC
customer’s specific demands.

•

During the audit, the balance between the material received and thematerial sold will be checked. See also guidance to requirement
7.4.4 under chapter 5 of this document, General guidance for the useof PEFC ST 2001:2020.

•

Clause 6.1.1 states that the organisation needs to choose thetraceability method(s) it wants to apply, and no limitation is included
for this choice.

•

The chosen method is implemented for each specific product group(6.1.2).

6.1.2 The organisation shall implement the chosen chain of custody method(s) of thisstandard for specific PEFC product groups.
6.1.3 PEFC product groups shall be established for products with equivalent input
material, with the same measurement unit or units that can be converted into a single
measurement unit.
6.1.4 The organisation shall only use PEFC certified material and PEFC controlled
sources material as input for PEFC product groups.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

46

Definition of product groups

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

47

Guidance: The material delivered with the claim “100% PEFC Origin” can remain the same when the physical separation method is applied. The PEFC certified and PEFC
controlled sources is to be kept separated or not used as the input of the same product group if the organisation wants to sell with different claims as demonstrated by thegrey dash line.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

48

PEFC certified material is mixed with other material (PEFC controlled sources or material without PEFC claim).
If the scope of the certificate is limited to the purchase and sales of the PEFC claimed materials, the DDS is limited to gathering (access to) information on the tree species
and origin related to the supplies, provided that there are no “substantiated concerns”. Because PEFC claimed materials represents a “negligible risk” of the material
originating from controversial sources, there is no need to perform the risk assessment and risk management. If there are any such substantiated concerns, the material
with PEFC claim can still be considered as certified or PEFC controlled sources in the processing after a successful risk management as is indicated by the green dashlines.
For any other material received without a PEFC claim it is necessary to perform the risk assessment. In case of negligible risk these supplies can be processed in theorganisation’s Chain of Custody together with the PEFC controlled sources supplies. They can be mixed with certified material into “X% PEFC certified” products and/or
used to sell products with the “PEFC controlled sources” claim. Because supplies delivered with the “PEFC controlled sources” claim cannot be sold as PEFC Certified nor
be counted towards the certified percentage.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use49

At the point of sales, the “PEFC controlled sources” claim can be used depending on the applied percentage method. With the percentage method, all output products fromthe product group will be sold with the same “X% PEFC certified” claim and the “PEFC controlled sources” claim will normally not be used (the organisation could choose
not to use the “X% PEFC certified” claim and use the “PEFC controlled sources” claim instead. For example, when selling a supply with a low certification percentage).
With the volume credit method, only a part of the output products from the product group will be sold as “X% PEFC certified”. In this case, the remaining part cannot besold as certified, but the organisation has the option to sell the products with the “PEFC controlled sources” claim.
6.2 Physical separation method
6.2.1 The organisation applying the physical separation method shall ensure thatmaterial with different material categories and different certified content are kept
separate or clearly identifiable at all stages of the production or trading process.
Note: Physical separation can be achieved by any means ensuring that material
category and certified content can be identified, for example, through separate storage,
marking, distinguishing product characteristics or production time.
6.2.2 Where material with different certified content is used as input in the same PEFC
product group, the organisation shall use the lowest certified content of the input ascertified content of the output.
Example: An organisation using material with 100%, 75% and 70% certified content as
input in the same PEFC product group under the physical separation method can claim
the output as 70% PEFC certified.

6.2.2.1 Where PEFC certified material and PEFC controlled sources material is used as
input in the same PEFC product group under the physical separation method, theorganisation shall claim the output as PEFC controlled sources.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use•

Requirement 6.2.2.1 refers only to PEFC certified and PEFC
controlled sources material, because prior to the implementation of
the chain of custody method, a DDS should be implemented to any
material classified as “Other material” according to the PEFC
material categories. “Other material” resulted from theimplementation of the DDS has been proof of having low likelihoodcoming from controversial sources and therefore it becomes PEFC
controlled sources.

50•

Under the physical separation method, when PEFC controlled
sources and X% PEFC certified materials are combined and used as
input in the same PEFC product group, certified claims are notpossible.

•

Example: Printer producing a PEFC-certified book

6.3 Percentage method
6.3.1 The percentage method may be implemented to calculate the certified content of
PEFC product groups for which PEFC certified material and PEFC controlled sourcesmaterial were used as input material.

Group product: the specific book, with mix of cardboard non-PEFC
certified (cover) and 100% PEFC certified paper (pages), percentage
method, input material categories: PEFC certified and PEFC
controlled sources
Input material:
Cover: Cardboard non-PEFC certified (80 grams) - so PEFC
controlled sources (after going through DDS)
Pages: Paper 100% PEFC certified (400 grams)
Certified content: 400 / (400+80) x 100 = 83% PEFC certified
On-product label allowed

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

51

6.3.2 Calculation of certified content

Neutral material (definition 3.20) is not considered in the calculation of
the certified content.
The certified content is calculated based on a single measurement unit
used for all material covered by the calculation.
Vc = quantity of certified content of the input material. The rest of the
input material will be considered PEFC controlled sources material.
The certified content calculated for a PEFC product group is used aspercentage in the PEFC claim “X% PEFC certified”.
•

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

Example:52

6.3.2.1 The organisation shall calculate the certified content separately for each PEFC
product group and for a specific claim period according to the following formula:
Cc [%] = (Vc/(Vc+Vcm))x100(Cc: certified content; Vc: volume of PEFC certified material; Vcm: volume ofPEFC controlled sources material)
Note: Neutral material is not considered in the calculation of the certified
content.

Example of simple percentage calculation for a specific claim period:

1

2

Volume of certified raw
material procured(tonnes)Volume of PEFC
controlled sources material(tonnes)

Simplepercentage

Vc

Vcm

Cc = Vc / (Vc+Vcm)x100

39 984

3

16 64070.61%

6.3.2.2 The organisation shall calculate the certified content based on a single
measurement unit used for all material covered by the calculation. In case of conversion
to a single measurement unit for calculation purposes, the organisation shall only use
generally recognised conversion ratios and methods. If a suitable, generally recognised
conversion ratio does not exist, the organisation shall define and use a reasonable andcredible conversion ratio.
6.3.2.3 If input material/products include only a proportion of PEFC certified material,
then only the quantity corresponding to the certified content shall enter the calculation
formula as PEFC certified material. The rest of the material shall enter the calculation as
PEFC controlled sources material.
Example: 1t of material delivered with the PEFC claim “70% PEFC certified” and 1t ofmaterial delivered with the PEFC claim “100% PEFC certified” are used as input. Using
the formula under 6.3.3.1 the certified content is Cc[%]=((700kg+1000kg)/((700+1000)+300))x100 = (1700/2000)x100 = 2t of 85% PEFC
certified material.
6.3.3 The certified content calculated for a PEFC product group shall be used aspercentage in the PEFC claim “X% PEFC certified”.
Example: If the certified content of a PEFC product group has been calculated as being
54% for a specific claim period, all products covered by the product group can, during
this claim period, be sold/ transferred as PEFC certified products with the PEFC claim“54 % PEFC certified”.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

53

Note: This standard does not define a minimum threshold for the certified content thatneeds to be met in order to communicate the certified content of a PEFC certified
product with the PEFC claim X% PEFC certified. However, minimum thresholds for theuse of the PEFC trademarks on-product are defined in the PEFC Trademarks Rules,
PEFC ST 2001.
6.3.4 The organisation may apply the percentage method as rollng percentage.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

54

6.3.5 The organisation applying rolling percentage shall calculate the certified content ofa PEFC product group and claim period based on material procured during an input
period preceding the claim period. The claim period, in the case of rolling percentage,
shall not exceed 3 months and the input period shall not exceed 12 months.
Example: An organisation that has chosen a 3-month claim period and a 12-month input
period calculates the certified content for the coming three months based on the input
material procured in the previous 12 months.

•

The certification percentage for a one-month claim period is
calculated from the volume of certified and other raw material
procured during the last three months’ input material period.

•

Note: When the organisation starts the chain of custody and thetime period used in the rolling percentage calculation is longer than
the time period the chain of custody has been in place, thecalculation of the rolling percentage is carried out from the volumes
procured since the chain of custody was established. An example isgiven in Table 3: the first rolling percentage (month 1) is calculated
only from volumes procured in month 1, the second rolling
percentage (month 2) is calculated only from volumes procured inmonths 1 and 2.

Input
period = 3
monthsPEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

Vc (intonnes)Vcm (intonnes)Sum ofvolume Vc
previous 3
monthsSum ofvolumeVcm
previous 3
monthsCc (claim
period = 1
month)

January

10

5

NA

NA

NA

February

5

5

10

5

66.7%

March

8

5

15

10

60.0%

April

10

5

23

15

60.5%

May

7

3

23

15

60.5%

June

5

1

25

15

65.8%

55

Example of 3-month rolling average percentage in panel board production

1

2

3

4

5

6

1-monthclaim period

Volume of certified
material procured(tonnes)Volume of PEFC
controlled sources(tonnes)

Sum of volumes of certified material
for previous 3 months(tonnes)

Sum of volumes of controlled
sources for previous 3 months(tonnes)

3-month rolling average
percentage

j=i

Vc

Vcm

Vc(3)

Vcm(3)

Cc(3)Jan. 09

13654

28654

Feb. 09

15563

32654

13654

28654

32.27%

Mar. 09

19546

25987

29217

61308

32.28%

Apr. 09

5264

36214

48763

87295

35.84%

May. 09

12695

26154

40373

94855

29.86%

Jun. 0926984

16 640

37505

88355

29.80%

Jul. 09

21564

15261

44943

79008

36.26%

Aug. 09

26897

14561

61243

58055

51.34%

Sep. 09

15265

22641

75445

46462

61.89%

Oct. 09

18564

26594

63726

52463

54.85%

Nov. 09

16235

25264

60726

63796

48.77%

Dec. 09

15462

24152

50064

74499

40.19%

Continues
Note:
Example of calculation given in above:•[column 1] Represents the identification of 1-month claim period for which the certification percentage is calculated.

•[column 2 and 3] The volume of “certified” and “PEFC controlled sources” material is a result of the identification of the material category•[column 4] Volume is calculated as the sum of volumes of “certified” material procured in the previous 3 months.
Jun.09: Vc(3) = Vc(May.09) + Vc(Apr.09) + Vc(Mar.09); Vc(3) = 19546 + 5264 + 12695 = 37505 [tonnes]

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

56

•[column 5] Volume of “PEFC controlled sources” material is calculated as the sum of volumes of “PEFC controlled sources ” material procured in the previous 3
months.
Jun.09: Vcm(3) = Vcm(May.09) + Vcm(Apr.09) + Vcm(Mar.09); Vcm(3) = 25987 + 36214 + 26154 = 88355 [tones]•[column 6] The rolling average percentage is calculated according to the formula in 6.3.3.1: Cc = Vc / [Vc + Vcm]
Jun.09: Cc(3) = 100 x Vc(3) / [Vc(3) + Vcm(3)]; Cc(3) = 100 x 37,505 / [37505 + 88355] = 29.80%

Application of percentage method in panel board production (continuation of above)1
1-month claim
periodj=iJan. 09
Feb. 09
Mar. 09
Apr. 09
May. 09
Jun. 09
Jul. 09
Aug. 09
Sep. 09
Oct. 09
Nov. 09
Dec. 09
Continuation

2
3-month rolling average
percentage
Cc(3)3Total output volume of the product group during theclaim period (m3)
Vcb

0.00%
32.27%
32.28%
35.84%
29.86%
29.80%
36.26%
51.34%
61.89%
54.85%
48.77%
40.19%

64589
73698
69568
65423
57894
66589
58789
62458
59658
70458
62458
60589

4
Volume of certified products in m3 (with % of “PEFC
certified” material)Vcc (Vc%)
Vcci = Vcbi
Claimed %=Cci
0.00
73698 (32.27%)
69568 (32.28%)
65423 (35.84%)
57894 (29.86%)
66589 (29.80%)
58789 (36.26%)
62458 (51.34%)
59658 (61.89%)70458 (54.85%)
62458 (48.77%)
60589 (40.19%)

Note:
•

[column 4] The volume of certified products using the average percentage method is equal to the total volume of products sold during the specific claim period(Vcc = Vcb). Percentage of the certified raw material claimed in the certified products is equal to the percentage calculated for the specific claim period [column
2].
Jun.09: Vcc = 66589 [m3], Claimed % = 29.80 [%]PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

57

6.4 Credit method•

In the case of multi-site certificates, as per Appendix 2, 2.3a), crosssite credit accounts can be established. In those cases, not all thesites need to contribute to the credit account to be able to use thecredits.

•

During the audit, the balance between the material received and thematerial sold will be checked. See also guidance to requirement
7.4.4 under chapter 6 of this document, General guidance for the useof PEFC ST 2002:2020.

6.4.1 The credit method may be implemented to transfer credits gained from the inputof PEFC certified material to PEFC controlled sources material within the same PEFC
product group.
6.4.2 The organisation shall create and manage a credit account for credits gained from
input of PEFC certified material. The credits shall be calculated in a single
measurement unit. It may be required to define conversion factor(s) for the conversionof the measurement unit(s) of the input components to the output products.
6.4.3 The total quantity of credits accumulated in the credit account shall not exceed thesum of credits entered into the credit account during the last 24 months. The 24-monthmaximum period may be extended, where the organisation can demonstrate that the
average production period of the product in question is longer than 24 months.
Example: If the average production period of a product (including maturing, forexample) is 36 months, the organisation can extend the 24-month maximum period forthe accumulation of credits to 36 months.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

58

6.4.4 The organisation shall apply the credit method for a single claim. The organisation
receiving a delivery of material with a PEFC claim and a claim against anothercertification system, shall either use it as a combined credit covering both claims or shall
only use one of the received claims for calculating the volume credits.

•

A common credit account can be created for PEFC and othercertification system/s for material that is delivered with a dual claim:a PEFC claim and a claim/s against other certification systems. The
organisation needs to make sure that there is no double counting
between the different systems, independently if the credit account
was created as a common one gathering different certification
systems, or if there are separate credit accounts, one for eachscheme. The claims need to be correctly stated according to therules of the corresponding standards.

•

To calculate the certified content associated with the credits, theorganisation needs to define an input period and claim period anduse the requirements described on the percentage method (6.3.2
and 6.3.4).

•

6.4.5 a) Wrong reference, correct is 6.4.6.

•

Certified content and volume of output products of the relevantclaim period.

Example: An organisation receiving a delivery of material with two claims relating to two
certification systems either establishes a credit account for the multiple claim (e.g. PEFC
certified/[other system claim]) or decides, which single claim (either PEFC certified or[other system claim]) will be entered into the respective volume credit account.

6.4.5 The organisation shall calculate the credits using either:a) certified content and volume of output products (clause 6.4.8) orb) input material and input-to-output ratio (clause 6.4.7)

6.4.6 The organisation applying the credit method shall calculate the credits bymultiplying the volume of output products of the claim period with the certified content for
the relevant claim period.
Example: If the certified content for the product group of the specific claim period, which
consists of 100 tonnes of output products, is 54%, the organisation achieves volume
credits equal to 54 tonnes (100 x 0.54) of the output products.

Credits (single unit) = Output volume x certified content
Example:Output products:

8 tonsCertified Content (Cc):50%

Credits: 8 x 50%

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use=

4 tons59

Example of volume credits calculation using certification percentage and volume of output products in panel board production (continued from table above)1
1-month claim
period
j=i

2

3

4

3-month rolling
average percentage

Total output volumeof the claim period(m3) *

Volume credits in
m3 of output
products

Cc(3)

Vcb

VC
VC = Vcbi*Cci

Jan. 09

0.00%

64589

0.00

Feb. 0932.27%

73698

23782.34

Mar. 0932.28%

69568

22456.55

Apr. 0935.84%

65423

23447.60

May 0929.86%

57894

17287.15

Jun. 0929.80%

66589

19843.52

Jul. 0936.26%

58789

21316.89

Aug. 0951.34%

62458

32065.94

Sep. 0961.89%

59658

36922.34

Oct. 0954.85%

70458

38646.21

Nov. 0948.77%

62458

30460.77

Dec. 0940.19%

60589

24350.72

Continuation
Note:•[column 4] The volume credits are calculated from certification percentage for the specific claim period [column 2] and the volume of output products during theclaim period [column 3] andJun.09: Vcc = 29.80 x 66589 = 19843.52 [m3]The organisation should establish a volume credit account for the product group covered by the chain of custody.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

60

Example of volume credit management in panel board production (continued from table above)

1
Claim period

2Credits entered
Credits volume (m3)3

4Credit account(eligible credits)in m3

Maximum
credit accountin m3

5
Used credits
Credits volume (m3)iVC

= [3](i-1) - [5](i1)+[2](i)condition:[3] ≤ [4]Jan.09

0.00

0.00

0.00

0.00

Feb. 0923782.34

23782.34

23782.34

0.00

Mar. 0922456.5546238.8946238.89

0.00

Apr. 0923447.6

69686.49

69686.49

0.00

May 0917287.15

86973.64

86973.64

0.00

Jun. 09

19843.52

106817.16

106817.16

2546.56

Jul. 0921316.89

125587.49

128134.05

958.23

Aug. 09

32065.94

156695.20

160199.99

562.45

Sep. 0936922.34

193055.09

197122.33

0.00

Oct. 0938646.21

231701.30

235768.54

1547.25

Nov. 0930460.77

260614.82

266229.31

1547.15

Dec. 0924350.72

283418.39

290580.03

0.00

Jan. 1022564.15

305982.54

313144.18

256.15

Feb. 1025654.25

315016.09

315016.09

958.26

Mar. 1026789.15

319348.69

319348.69

123.15

Continuation
Note:
Example of calculation given in Table 6 for the claim period “Mar.10” (last row):•[column 2] Volume credits calculated for 1-month claim period (values for months Jan.09-Dec.09 are taken from Table 5).

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

61•[column 3] Credit account (eligible credits) is calculated as a result of the credit account in the previous month [column 3, Feb.10] minus volume credits used in
the previous month [column 5, month Feb.10] plus volume credits for the current month [column 2, month Mar.10].
Mar.10: 31,5016.09 – 958.26 + 26,789.15 = 340,846.98 [m3]Total quantity of volume credits accumulated in the credit account cannot exceed volume credits entered into the credit account during the previous twelve
months [column 4 = 319,348.69]
340,846.98 > 319,348.69; therefore, credit account (eligible credits) is 319,348.69 [m3]•[column 4] Maximum credit account is calculated as the sum of volume credits entered into the credit account during the last twelve months [column 2, month
Apr.09-Mar.10].

6.4.7 The organisation that can demonstrate a verifiable ratio between the input material
and output products, may calculate the credits directly from input of PEFC certified
material by multiplying the volume of PEFC certified material input with the input-tooutput ratio.
Example: If the volume of PEFC certified material input is 70 m³ (e.g. 100 m³ with the
PEFC claim “70% PEFC certified”) and the input-to-output ratio is 0.60 (e.g. 1 m³ ofroundwood results in 0.60 m³ of sawnwood), the organisation acquires volume credits
equal to 42 m³ (i.e. 70 m³ x 0.60) of sawnwood.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use•

Certified input and input/output ratio (verifiable*)
Credits (single unit) = Certified input x input/output ratio
Example:Input of Certified material:

6 tonsinput/output ratio:

0.67

Credits: 6 x 0.67=

4 tons62

Example of volume credits calculation using the input volume and input/output (I/O) ratio

1

2

3

4

5

6

7

Delivery No.

Date

Description

StatusVolume (m3)Volume credits sawnwood (m3)Volume credits
chips & sawdust (t)I/O ratio = 0.18

I/O ratio = 0.60353

1.7.09Roundwood

75% PEFC certified

45

0354

3.7.09Roundwood

PEFC controlled sources

65

0355

3.7.09Roundwood0356

5.7.09Roundwood

0357

14.7.09

Roundwood

0358

25.7.09

Roundwood

20.25

6.08

39

11.7

27.3

8.2

50.55

25.98

85
100% PEFC certified

65
82

70% PEFC certified

Total for June 2009

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

65

63

6.4.8 The organisation shall distribute the credits from the credit account to the output
products covered by the credit account. The credits shall be distributed to the output
products in a way that the certified products will be considered as either having 100%
certified content or as having less than 100% certified content and meeting theorganisation’s own threshold. The result of the volume of output products multiplied by
the certified content of the output products shall be equal to the distributed credits
withdrawn from the credit account.
Example: The organisation can use 7 units of credits to sell 7 units as 100% PEFC
certified, or to sell 10 units as 70% PEFC certified.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use64

7. Due Diligence System (DDS) requirements
7.1 General•

See also guidance to 3.26, PEFC chain of custody

7.1.1 For all material used as input for a PEFC product group, except recycled material,
the organisation shall exercise due diligence in line with the PEFC Due Diligence System(DDS) for the avoidance of material from controversial sources laid down in Appendix 1 ofthis standard. Thereby the organisation shall establish that for material used as input for
PEFC product groups there is “negligible risk” that it originates from controversial sources
and that it meets the definition of PEFC controlled sources material.

•

Chain of custody certified organisations should include in theirchain of custody policies that they commit not to supply fromillegal sources (Appendix 1, 6.3).

7.1.2 For PEFC product groups where only input material used was delivered with a PEFC
claim by a supplier covered by a PEFC recognised certificate, an organisation may
implement the PEFC DDS by meeting the following requirements:•

Requirements 7.1.2 a) and b) are relevant for organisations only
purchasing input material classified as PEFC certified or PEFC
controlled sources (so organisations that do not use “Other
material” as input material). As it is known that PEFC claimed
material does not originate from controversial sources, theseorganisations do not need to conduct a risk assessment as
specified in Appendix 1, 3. All other requirements of Appendix 1
still apply., provided that they are not controversial, as per
clarification to 3.7.a)•

As per 7.1.2.a), if an organisation receives a request for the
information specified in Appendix 1, 2.1, independently whether
the material is certified or not, the information needs to beprovided to the PEFC customer. To ensure that the information canbe collected, the organisation should have a procedure in placethat ensures that certified and uncertified suppliers commit toprovide such information.

•

During the audit process, the certification body should verify if theorganisation has established a procedure to ensure access to theinformation. In addition, the certification body should verify
whether the organisation has received requests from theircustomers and if they have, they have been able to provide theinformation.

a) In order to enable PEFC certified and uncertified entities further down the supply
chain to implement a DDS, the organisation shall, upon request, provide theinformation specified in Appendix 1, 2.1 for material passed on with a PEFC claim. If
the organisation does not possess the requested information, the request shall bepassed on to relevant supplier(s) of the organisation (Appendix 1, 2.2).
b) Where internal or external substantiated concerns on the origin of input material fromcontroversial sources are raised, the organisation shall follow up on these concerns
following Appendix 1, 4.
c) The organisation shall define, document and implement a commitment and aprocedure, also covering forest and tree based material/products not covered by theorganisation’s PEFC chain of custody, ensuring that where it is known to theorganisation, or where it has received substantiated concerns, that forest and tree
based material/products originates in illegal sources (controversial sources, 3.7a), it
shall not be placed on the market until the concern has been resolved in accordancewith Appendix 1, 4.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

65

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use•

Requirement 7.1.2 c) is relevant for all organisations. 7.1.2.c)
extends the requirement on legal compliance as per PEFC’s
definition for controversial sources, 3.7.a., to activities involving
material not covered under the PEFC chain of custody scope. Ifmaterial is known or suspected to come from illegal sources as per
3.7.a, it cannot be placed on the market.

•

In case of substantiated concerns, certificate holders may need toprovide to the certification body records of activity outside thescope of the certification.

•

If the organisation receives substantiated concerns, it can follow
the procedure described in the DDS to resolve the concern(Appendix 1, 4). In case the concern is solved, and the organisation
can demonstrate that the material does not come from illegal
sources, the material can be placed on the market.

•

Where an organisation discovers, or is informed about, asubstantiated concern, and the investigation as per Appendix 1, 4
shows that controversial sources have entered the production
process, or have been sold with PEFC claims, then theorganisation should invoke its nonconformity process andprocedure (under PEFC ST 2002 2020 4.2.1 c) vi) and take theappropriate steps to prevent placement on the market, or manage
the consequences.

•

Only material within the scope of the certificate and to which therisk to originate in controversial sources has been assessed andresulted in negligible risk according to the PEFC DDS
requirements can be claimed as PEFC controlled sources.

66

Appendix 1: PEFC Due Diligence System (DDS) for the avoidance of material from controversial sources
1. General requirements
1.1 In order to help ensure that activities conducted by the organisation under the scopeof this standard conform to all applicable timber legality legislation, including trade andcustoms laws, and to minimise the risk that the procured material originates incontroversial sources, the organisation shall operate a Due Diligence System (DDS), in
accordance with the following elements of this standard.
1.2 The PEFC DDS shall be implemented for all input forest and tree based material
covered by the organisation’s PEFC chain of custody and PEFC product groups, withthe exception of recycled material.

•

See also guidance to 3.26, PEFC chain of custody.

•

The terms “gathering information” and “access to information” areused through the standard to name the same step of the DDS.

•

Supplies including species that are listed in the CITES appendices 1,
2 or 3 should be accompanied by the applicable export permit(s)and/or licenses. For more information consult the CITES website.
The CITES website also includes a searchable database including all
species listed in the CITES website.

Note: The DDS can be implemented by an organisation for forest and tree based
products from forests under its own management.
1.3 The organisation shall implement the PEFC DDS in three steps relating to:

gathering information
risk assessment
management of significant risk supplies

1.4 The organisation procuring raw material originating from species listed in Appendix I
to III of CITES shall comply with applicable legislation relating to CITES.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

67

2. Access to information
2.1 In order to enable the organisation to implement the PEFC DDS, the organisation
shall have access to the following information from its supplier(s):a) Identification of tree species included, or list of tree species potentially included, inthe material/ product by their common name and/or their scientific name whereapplicable.

•

The organisation has established a procedure (e.g., a writtenagreement with the supplier’s commitment to provide theinformation), which ensures that the information required under
Appendix 1, 2.1 is supplied, if requested.

•

If an organisation receives a request for the information, theinformation needs to be provided to the PEFC customer,
independently of whether the material is certified or not. If theorganisation does not have the information, it needs to pass on therequest to the relevant supplier(s), as per the procedure mentioned
above.

•

During the audit process, the certification body should verify if theorganisation has established a procedure to ensure access to theinformation. In addition, the certification body should verify whether
the organisation has received requests from their customers and ifthey have, they have been able to provide the information.

•

Suppliers’ self-declarations are not a substitute for due diligence. A
self-declaration from the suppliers can be a useful tool for an
organisation to arrange the access to information and get the
supplier’s commitment to provide supply chain information and toallow on-site inspections. A typical self-declaration may consist of
all the following elements:b) Country of harvest of the material and where applicable sub-national region and/or
concession of harvest.
Note 1: Access to the scientific name of species is required in cases where the usageof a common name could pose a risk of wrong identification of the species.
Note 2: Usage of a trade name of species is considered as equivalent to the common
name in cases where all species covered by the trade name have an equivalent risk oforiginating in controversial sources.
Note 3: Access to the sub-national level of the material origin is required in cases
where sub-national regions within one country do not represent an equivalent risk
relating to the controversial sources.
Note 4: The term “concession of harvest” refers to a contract for harvest in ageographically defined forest area.
Note 5: The term “country/region” is further used throughout this clause to identify acountry, a sub-national region or a concession of harvest of the material/product origin.

(a) A written statement that, to the best of the supplier’s knowledge,
the supplied material does not originate from controversial
sources.
(b) A written commitment to provide information on the tree species
and geographical origin (country / region / concession) of the
supplied raw material that is necessary information for theorganisation’s risk assessment.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

68

(c) A written commitment that, if the supplier’s supplies are
considered as significant risk, the supplier will provide theorganisation with necessary information to identify the forest
management unit(s) of the raw material and the whole supply
chain relating to the significant risk supply.
(d) A written commitment that, if the supplier’s supplies are
considered as significant risk, the supplier will enable theorganisation to carry out a second-party or a third-party
inspection of the supplier’s operation as well as operations of theprevious suppliers in the chain, and;(e) A written commitment that, if the supplier’s supplies are
considered as significant risk, the supplier will implement
corrective measures as part of the organisation’s verification
programme.
•

When sourcing from countries with a CPI/WJP index lower than thethreshold, it is highly recommended to consult the tables 2 and 3 inadvanced in order to collect any additional information that may berequired for the risk assessment and risk management, such as
forest area and whole supply chain related to the significant risk (asper PEFC ST 2002, Appendix 1, 5.1.1).

•

The information provided can include multiple tree species andmultiple sources of origin. It is not necessary to specify the exact
contents or shares of the different species and/or origins.

•

Where it is difficult to give the exact information on tree species andorigin (e.g., in paper and panel production) the information can
include all potential species and origins. This information should
include the species that could normally be included in the product. It
is not the purpose to include species that may have a risk ofaccidentally ending up in the product.
- Example: a panel manufacturer normally purchases a mixture of
Spruce, Pine, and Birch. However, in its production process it is
not able to exactly specify the composition for each produced
batch. The information he provides may include all three species
even if a specific batch would only include two of those species.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

69•

Note 3: Information about sub-national level is particularly importantwhen the country as a whole might indicate “significant risk” but the
governance level differs at sub-national level between regions.
Certain regions of the country may be known to be effective inpreventing illegal harvesting. As such, material from one region may
be accepted as having a negligible risk, but material from the otherregions would still have a significant risk. In such cases, thecondition to accept the material is to have the information on theregion of origin.

•

Risk assessment is the second step in the DDS, following
information gathering (access to information).

•

Input material received under a PEFC certified claim or a PEFC
controlled sources claim from a supplier with a valid PEFC chain ofcustody certificate is exempt from the risk assessment. Being
exempt from the risk assessment does not mean that thesematerials are exempt from the PEFC DDS as a whole. All otherrequirements of Appendix 1 still apply, when relevant.

•Further, the organisation that imports material with a PEFC claim
from the country of harvest is expected to verify compliance withlegislation on trade and customs of the country of harvest in so far
as the forest sector is concerned.

2.2 In order to enable PEFC certified and uncertified entities further down the supply
chain to implement a DDS, the organisation shall, upon request, provide the information
specified in 2.1 of this appendix for material passed on with a PEFC claim. If theorganisation does not possess the requested information, the request shall be passed
on to relevant supplier(s) of the organisation.

3. Risk assessment
3.1 The organisation shall carry out a risk assessment, assessing the risk of procuring
raw material from controversial sources for all input forest and tree based material
covered by the organisation’s PEFC chain of custody, with the exception ofmaterial/products delivered with a PEFC claim by a supplier with a PEFC recognised
certificate, as this material can be considered as having “negligible risk” of originating incontroversial sources.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use70•Whenever one of the characteristics of a supply by the same
supplier changes, e.g., another country of origin, another tree
species, another type of product, a crisis or war in the region from
where the material is supplied, the supply should be considered as a‘new’ supply by this supplier and the DDS should be revised.

•

When a supplier certified against a PEFC-endorsed system-specificchain of custody standard (see clarification to definition 3.26 PEFC
chain of custody) is providing certified material to a client certified
against the international PEFC ST 2002:2002 Chain of Custody
standard, they should use either the PEFC ST 2002:2020 chain ofcustody claims, or both the PEFC ST 2002:2020 chain of custody
claim combined with the equivalent claim of the PEFC-endorsed
chain of custody system-specific standard (dual claim). See also
clarification to requirements for 3.7 PEFC claims.

•

General approach for carrying out the risk assessment.

3.2 The organisation’s risk assessment shall result in the classification of material into
“negligible” or “significant” risk category.
3.3 The organisation’s risk assessment shall be based on the indicators for risk at origin
and supply chain level listed in tables 1- 3 below.
3.4 Where the organisation’s risk assessment identifies indicators specified in table 1,
the organisation may consider the material as having “negligible risk” to originate incontroversial sources, and conclude the risk assessment without having to consider theindicators outlined in tables 2 and 3.
3.5 Where the organisation’s risk assessment does not identify indicators specified intable 1, the risk assessment shall be continued against indicators outlined in tables 2
and 3; and where any of these indicators apply, the organisation shall consider thematerial as having “significant risk” to originate in controversial sources.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

71

Table 1: List of indicators for negligible risk•

If an indicator in Table 1 can be applied, the delivery can beclassified as negligible risk, given that there are no substantiatedconcerns.

•

The organisation should check the validity of the declaration/claimon the certified status made by the supplier against therequirements of the concerned scheme. Further, the organisation
should be able to provide evidence that the certification scheme
includes:Indicatorsa) Supplies declared as certified against a forest certification system (other than PEFC
endorsed), addressing the activities covered by the term controversial sources,
supported by a forest management, chain of custody or fibre sourcing certificate issued
by a third-party certification body.

- third party certification of forest management or chain of custodywhich covers activities defined by the term controversial
sources. To do so, organisations should conduct a gap analysis
between the PEFC definition for controversial sources and thethird-party certification coverage of this term, according to its
requirements; and,- a verification mechanism that non-certified raw material does not
originate from controversial sources where percentage-based
claims apply.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use•

Examples of PEFC non-endorsed forest certification schemes:
Forest Stewardship Council, etc.

•

The organisation accepting the material has the final responsibility
to ensure that the accepted PEFC non-endorsed certification
scheme meets the requirements for negligible risk. The
certification body needs to consider the above as part of the audit.

•

If the organisation receiving the material cannot formally justify
that the material was certified against another third-party forest
certification system, this indicator would not apply to consider the
supply as negligible risk.

72b) Supplies verified by governmental or non-governmental verification or licensing
mechanisms other than forest certification systems, addressing the activities covered by
the term controversial sources.

•

The organisation should be able to provide evidence on the scopeof the verification or licensing mechanism. To do so, organisations
should conduct a gap analysis between the PEFC definition forcontroversial sources and the governmental or non-governmental
or licensing mechanism coverage of this term, according to its
requirements•

The organisation should prove that the kind of verification is
sufficient to prove compliance with the scope.

•

The organisation accepting the material has the final responsibility
to ensure that the accepted governmental or non-governmental or
licensing mechanism meets the requirements for negligible risk.
The certification body needs to consider the above as part of theaudit.

•An example of verification and licensing mechanisms:- SFI 2022 Fiber Sourcing Standard- SFI 2022 Certified Sourcing Standard•

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

If the organisation receiving the material cannot formally justify
that the material was by covered governmental or nongovernmental or licensing mechanism, this indicator would not
apply to consider the supply as negligible risk.

73c) Supplies supported by verifiable documentation that clearly identifies:i.

country of harvest and/or sub-national region where the timber was harvested, where
the latest Transparency International (TI) Corruption Perception Index (CPI) score ishigher than 50, or where the latest World Justice Project (WJP) Rule of Law Index ishigher than 0,5, andii. trade name and type of product as well as the common name of tree species and,
where applicable, its full scientific name, andiii. all suppliers within the supply chain, andiv. the forest area of the supply origin, andv. documents, including contractual agreements and self-declarations, or other reliable
information indicating that products do not originate from controversial sources.

•c) i. When the two indices are at odds, it is sufficient that one
indicator needs to be met.

•c) v. Examples of other reliable information:- Forest operations and harvesting, including biodiversity
conservation and conversion of forest to other use; managementof areas with designated high environmental and cultural values;
protected and endangered species, including requirements of
CITES
 documentation of ownership/rights to land use
 contract or concession agreements official audit reports
 environmental clearance certificates approved harvest plans coupe closure reports
 codes of conducts
 publicly available information demonstrating rigorous
legislative supervision and timber tracking and control
procedures
 official documents issued by competent authorities in acountry of harvest
 environmental impact assessments
 environmental management plans environmental audit reports
 forest inventory reports policies or commitments from the organisation confirmingthat they do not trade with GMOs
 (CITES) export license
 To check protected areas, Protected Planet (UNEP-WCMC)
can also be checked- Payment of taxes and royalties
 contracts
 bank notes VAT documentation
 official receipts

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use74

- Trade and customs, in so far as the forest sector is concerned contracts
 bank notes, trade notes import licenses, export licenses
 official receipts for export duties
 export ban lists
 export quota awards [TRAFFIC, WWF’s Global Forest &Trade Network Common Framework for Assessing
Legality of Forestry Operations, Timbe Processing andTrade Annex; European Commission, Guidance document
for the EU Timber Regulation”, CITES,
http://www.cites.org/eng/disc/how.php]- Health and labour issues relating to forest workers
 evidence of payment of salaries (payslips and benefits) incompliance with national official scale employment
contracts
 regulations on working hours etc
 training records
 policies in place to prevent abusive practices or undue
disciplinary procedures- Indigenous peoples’ and third parties’ property, tenure and use
rights environmental impact assessments
 environmental management plans environmental audit reports
 social responsibility agreements specific reports on tenure and rights claims and conflicts
 Signed and/ or registered collective bargaining
agreements
 International framework agreements
 Other certificates that recognise the ILO conventions

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

75

Table 2: List of indicators for significant risk at origin level•

The rows a) - i) are elements of 3.7, controversial sources. The rows
underneath each element, numbered with Roman numerals (i, ii, iiietc.) provide the indicators used for the risk assessment for thiselement. Where more than one indicator is listed per element, allindicators should be applied.

•

Risk identification is conducted for each of the indicators. The
indicators that are found as “significant risk” will need to be
managed according to Section 5. Management of significant risk
supplies.

•

The TI CPI is presented at www.transparency.org•

World Justice Project (WJP) Rule of Law Index is presented atwww.worldjusticeproject.org•

When CPI=50 the index can be considered over 50.

•

When WJP=0,5 it can be consider over 0,5.

•

Alternative index application: Several other indices delivering
information about the level of governance, deviating in some details,
exist. TI itself e.g., provides alternative information sources. Such anindex accepted by TI could be an alternative to the TI CPI.
Alternative indices should be priorly agreed with the PEFC Council(as per footnote 4, page 27 of the PEFC ST 2002:2020). PEFC
certificate holders or PEFC National Governing Bodies can send arequest to the PEFC International Secretariat at technical@pefc.org.

•

When the two indices are at odds, it is sufficient that one indicatorneeds to be met.

Indicatorsa) Activities not complying with applicable local, national or international legislation onforest management, including but not limited to forest management practices; nature andenvironmental protection; protected and endangered species; property, tenure and landuse rights for indigenous peoples, local communities or other affected stakeholders;
health, labour and safety issues; anti- corruption and the payment of applicable royalties
and taxes.
i.

The latest Transparency International (TI) Corruption Perception Index (CPI) score of
the country is lower than 50 or the latest World Justice Project (WJP) Rule of Law
Index of the country is lower than 0,5.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

76

ii. The country/region is known as a country with low level of forest governance and law
enforcement.

•

Some examples of information sources below:- The Governance of Forests Initiative (GFI) Indicator Framework- Environmental Investigation Agency- Global Witness- FLEGT country profiles- FLEGT Voluntary Partnership Agreement Library (CIFOR)- Anti-Corruption Knowledge Hub (Transparency International)- Forest Governance and Legality (Chatham House)- Eldis (Institute of Development Studies - IDS)
- Bribery in international business (OECD)- Transparency International Anti Bribery Globe- Quality of Governance Data & Quality of Governance Maps
(Quality of Government Institute)•

In general, a lot of indexes and assessment tools specify
governance on the country level. The organisation should in the firstplace base the risk assessment on the country level, unless it hasother evidence that provides more details on a specific region
and/concession. It is assumed that timber importers have somebasic knowledge on regional differences e.g., about different
Malaysian regions.

iii. Tree species included in the material/product is known as species with prevalence ofactivities covered by the term controversial sources (a) or (b) in the country/region.

•

The IUCN Red List of Threatened Species CITES.org may be one of
the references for this indicator.

iv. The country is covered by UN, EU or national government sanctions restricting theexport/import of such forest and tree based products.

•

The United Nations Security Council fact sheet publication on UN
sanctions may be one of the references for this indicator.

•

Another two options are: EU Sanctions Map and Global Trade Alert.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

77b) Activities where the capability of forests to produce a range of wood and non-woodforest products and services on a sustainable basis is not maintained or harvesting levels
exceed a rate that can be sustained in the long term.
i.

According to publically available data, such as FAO Forest Resource Assessments,
the amount of annual harvest of industrial roundwood exceeds the amount of annual
increment of growing stock of the country/ region of origin.

•

FAO Forest Resource Assessment is just one example.
Organisations could also use other reliable information publicly
available. Other sources for some of the information required by thisindicator may be:- STIX- UNECE- European Environment Agency- Forest Trendsc) Activities where forest management does not contribute to the maintenance,
conservation or enhancement of biodiversity on landscape, ecosystem, species or
genetic levels.
d) Activities where ecologically important forest areas are not identified, protected,
conserved or set aside.
i.

The Environmental Performance Index (EPI) score for “Biodiversity & Habitat” of thecountry is lower than 50. Where no EPI index exists for a certain country, otherindicators may be utilised, such as legislation addressing controversial sources
elements c and d, combined with evidence of reliable enforcement of legislation (TI
CPI score >50, or WJP Rule of Law score >0.5).

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use•

The scope for Biodiversity & Habitat of the EPI can be found here:
https://epi.yale.edu/epi-results/2022/component/bdh•

When EPI=50 the index can be considered over 50.

78e) Activities where forest conversions occur, in other than justified circumstances where
the conversion:i. is in compliance with national and regional policy and legislation applicable for land
use and forest management; andii. does not have negative impacts on ecologically important forest areas, culturally andsocially significant areas, or other protected areas; andiii. does not destroy areas of significantly high carbon stock; andiv. makes a contribution to long-term conservation, economic, and/or social benefits.
i.

The country/region has been identified as having had a net loss of forest area >1%
over the most recent ten years of available data, according to publicly available data
or information, such as provided by the FAO.

•

Examples of resources:- FAO- FAOSTAT- World Resources Institute (WRI)- Global Forest Watchii.

In the country/ region the net area with conversions from forests to forest plantations
exceeds the forest area increase of the country/region, according to publicly available
data or information, such as provided by the FAO.

f) Activities where the spirit of the ILO Declaration on Fundamental Principles and Rights
at Work (1998) is not met.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

79

i.

Substantiated studies demonstrate that the ILO Declaration on Fundamental
Principles and Rights at Work (1998) is not respected in the country.

•

As source of information, organisations can check on the ILO
website if the country has ratified all the fundamental ILO
conventions related to work and related ILO reviews per country.

•

Additionally, the following websites are sources of information:- Building and Wood Worker's International (BWI)- ILOSTAT (ILO)- Amnesty International Annual Reports- Universal Human Rights Index (UHRI)- Human Rights Watchg) Activities where the spirit of the United Nations Declaration on the Rights ofIndigenous Peoples (2007) is not met.
i.

1) Substantiated studies demonstrate that the spirit of the United Nations Declarationon the Rights of Indigenous Peoples (2007) is not met in the country.

•

Here there are some examples of websites with information related
to the UNDRIP:- IWGIA strategy- COICA- United Nations Declaration on the Rights of Indigenous Peoples- Amnesty International Annual Reports- International Work Group for Indigenous Affairs (IWGIA)- Legal Framework and Constitutional Recognition of Indigenous
Peoples (FAO)- Special Rapporteur on the rights of indigenous peoples (UN)h) Conflict timber.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use•

Organisations are strongly recommended to consider UN GA
Special Emergency Session Resolutions. When such conflicts arise,organisations are expected to have a pro-active approach.

80

i.

The country / region has a prevalence of armed conflict according to publicly
available data sources such as Fragile State List.

•

When looking for indications of fragile states, you can examine both
sources: the Fragile State List (which is called the World Bank
Fragile State List) and the Fragile States Index.

•

This can be covered with a list of potential species that could be
included in the product.

i) Genetically modified trees.
i.

According to publicly available data genetically modified forest and tree basedorganisms are produced in the country/region and placed on the commercial
market.

Table 3: List of indicators for significant risk at supply chain level

Indicatorsa) Countries/regions where the products have been traded are unknown.
b) Species in the product are unknown.
c) Evidence of illegal practices concerning controversial sources by any company in the
supply chain.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

81

3.7 The risk assessment shall be carried out for the first delivery of every individual
supplier, or for several suppliers, with the same characteristics listed in 2.1 of thisappendix, and the same applicability of indicators according to tables 1-3 above.
Note: Where deliveries from suppliers from the same region share the samecharacteristics listed in 2.1, and the same applicability of indicators according to tables
1-3, the risk assessment can be implemented as an assessment for a whole region.

•

When applying a DDS for several suppliers with the samecharacteristics, the scope of the DDS should be clearly defined. In
addition to the tree species (as per Appendix 1, 2.1), an example ofsame characteristics would be same land tenure risk indicator,
harvesting contractors, etc.

•

To avoid performing multiple identical risk assessments where theonly variable is the name of the suppliers, the organisation canconduct the risk assessment for multiple deliveries from a specificgeographical area.

•

The geographical area on which the risk assessment is based
should be clearly defined. In principle, there is no limitation to thesize of the area as long as all the area represents consistent risk.
For example, the area could be a certain region within one country, acountry as a whole, or a certain region across or spanning multiple
countries.

•

Whenever one of the characteristics of a supply by the same
supplier changes, e.g., another country of origin, another tree
species, another type of product, a crisis or war in the region from
where the material is supplied, or the administration from a country
gets involved in a war, the supply should be considered as a ‘new’
supply by this supplier and/or the risk assessment should be
performed or revised, as applicable.

3.8 For all material that is subject to the organisation’s risk assessment, the organisation
shall keep an updated list of characteristics listed in 2.1 of this appendix and indicators
according to tables 1-3 for supplies of individual suppliers and suppliers that share thesame characteristics.
3.9 The risk assessment shall be reviewed annually and if necessary revised , and whenchanges regarding the characteristics listed in 2.1 of this appendix occur.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use82

4. Substantiated concerns
4.1 The organisation shall ensure that substantiated concerns about the potential origin ofmaterial covered by the organisation’s DDS in controversial sources are promptly
investigated, starting no later than ten workdays as of identification of the substantiatedconcern.

•This clause applies to all materials within the scope of the PEFC
DDS, including material delivered with PEFC claims and exempt
from risk assessment.

•

As per the definition of “substantiated concern”, a substantiatedconcern is information supported by proof or evidence, indicatingthat forest and tree based material originates in controversial
sources. Substantiated concerns can be communicated to theorganisation either by third parties, or the organisation itself
becomes aware of the concern. They are expected to be managed
according to the requirements of the standard (chapter 4 ofAppendix 1). The organisation is not obliged to pro-actively
request comments on the existence or absence of substantiatedconcerns.

4.2 If the concern cannot be resolved by the organisation’s investigation, the risk of therelevant material being from controversial sources shall be determined as “significant” andmanaged in accordance with clause 5 of this appendix.

5. Management of significant risk supplies
5.1 General
5.1.1 For supplies identified as having “significant risk”, the organisation shall request
the supplier to provide additional information and evidence that allows the organisation
to classify the supply as having “negligible risk”. The organisation shall request the
supplier to:a) Provide the organisation with necessary information to identify the forest area(s) of
the raw material and the whole supply chain relating to the “significant risk” supply.
b) Enable the organisation to carry out a second party or a third party inspection of
the supplier’s operation as well as operations of the previous suppliers in the chain.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use•

The management of significant risk supplies is necessary if theorganisation wishes to accept supplies for which it determines asignificant risk in the risk assessment. The purpose of this step isthe mitigation of the significant risk to the level of negligible risk,
based on additional information provided by the supplier.

•

The risk assessment will have revealed the specific areas ofsignificant risk. The supplier needs to provide additional information
to enable the organisation to revise the risk level from significant tonegligible.

83Note: These procedures can be ensured e.g. by contractual agreements or a written
self-declaration by the supplier.

•

The risk mitigation measures need to be applied specifically for therisks that have been identified as being significant as part of the risk
assessment.

•

On-site inspection should focus on the associated risks that havebeen identified in previous steps. The purpose of the on-site
inspection is to collect information and evidence that allows theorganisation to classify the supply as having “negligible risk”.

•

On-site inspections also aim to verify if agreed corrective measures
have been implemented effectively and the risks have been
managed.

5.1.2 The organisation shall establish a second or third party verification programme forsupplies classified as “significant risk”. The verification programme shall cover:a) identification of the whole supply chain and forest area(s) of the supply’s originb) on-site inspection as appropriatec) corrective measures as required
5.2 Identification of the supply chain
5.2.1 The organisation shall require, from all suppliers of “significant risk” supplies,
detailed information on the whole supply chain and forest area(s) of the supply’s origin.
5.2.2 In cases where the supplies can be verified as “negligible risk” according to theindicators in table 1 at one step in the supply chain the organisation is not required to
track the whole supply chain to the forest area, except in case of substantiatedconcerns, which shall be addressed as outlined in appendix 1, clause 4.
5.2.3 The information submitted shall allow the organisation to plan and execute on-site
inspections.
5.3 On-site inspections
5.3.1 The organisation’s verification programme shall include on-site inspections ofsuppliers delivering “significant risk” supplies. The on-site inspections can be carried out
by the organisation itself (second party inspection) or by a third party on behalf of theorganisation. The organisation may substitute the on-site inspection with documentation
review where the documentation provides sufficient confidence in the material origin in
non-controversial sources.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use84

•

The on-site inspection program focuses on suppliers. From all
significant risk supplies by one supplier the organisation shouldtake a sample to be verified during the on-site inspection.
Hence:- The sampling is based on all significant risk supplies by one
supplier.

•If the organisation has received significant risk supplies by multiple
suppliers a sample is determined for every single supplier:- Identical shipments/supplies by the same supplier can beconsidered as one supply.

5.3.2 The organisation shall demonstrate that personnel carrying out inspections has
sufficient knowledge and competence in the local business, cultural and social customs,
and applicable treaties, conventions legislation, governance and law enforcement,
relevant to the origin of “significant risk” supplies and to the risk(s) identified.
5.3.3 The organisation shall determine a sample of “significant risk” from the supplier tobe verified by the verification programme. Identical deliveries by the same supplier shallbe considered as a single supply. The size of the annual sample shall be at least thesquare root of the number of “significant” risk supplies per one year: (y=√x), rounded up
to the nearest whole number. Where the previous on-site inspections proved to beeffective in fulfilling the objective of this document, the size of the sample may be
reduced to y=0.8 √x, rounded up to the next whole number.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

85

5.3.4 The on-site inspections shall cover:a) The direct supplier and all previous suppliers in the supply chain in order to assess
compliance with the supplier claims on the origin of the raw material.
b) The forest owner / manager of the forest area of the supply origin, or any otherparty responsible for management activities on that forest area, in order to assess
their compliance with legal requirements.
5.4 Corrective measures
5.4.1 The organisation shall define written procedures for implementing corrective
measures for non- compliance for suppliers identified by the organisation’s verification
programme.
5.4.2 The range of corrective measures shall be based on the scale and seriousness of
the risk that forest and tree based product(s) may be from controversial sources andshall include at least one or more of the following:a) Clear communication of the risk identified with a request for addressing the risk
identified within a specific timeline so as to ensure that forest and tree based
product(s) from controversial sources is not supplied to the organisation.
b) Requiring suppliers to define risk mitigation measures relating to compliance withlegal requirements in the forest area(s) or efficiency of the information flow in the
supply chain.
c) Cancellation or suspension of any contract or order for forest and tree based
product(s) until the supplier can demonstrate that appropriate risk mitigation
measures have been implemented.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use86

6. No placement on the market
6.1 Forest and tree based material/ products from unknown sources or fromcontroversial sources shall not be included in a PEFC product group.

6.2 Where it is known to the organisation that forest and tree based materials/products
not covered by the organisation’s PEFC chain of custody originate in illegal sources(controversial sources, 3.7a), it shall not be placed on the market.

•

In order to maintain their chain of custody certificates, if anorganisation becomes aware that they are sourcing from illegal
sources, they cannot place the material on the market, until thesubstantiated concerns are resolved, regardless of whether the
product is or is not within the scope until the chain of custody. Thisrequirement goes beyond the material under the scope of the PEFC
chain of custody.

6.3 Where the organisation has received substantiated concerns that forest and tree
based materials/products not covered by the organisation’s PEFC chain of custodyoriginate in illegal sources (controversial sources, 3.7a), it shall not be placed on themarket until the concern has been resolved in accordance with clause 4 of thisappendix.

•

As per 7.1.2.c, the organisation needs to define, document andimplement a commitment and a procedure, also covering forest andtree based material/products not covered by the organisation’s
PEFC chain of custody, ensuring that where it is known to theorganisation, or where it has received substantiated concerns, that
forest and tree based material/products originates in illegal sources(controversial sources, 3.7a), the material is not be placed on themarket until the concern has been resolved in accordance with
Appendix 1, 4.

•

Where an organisation identifies, or is informed about, asubstantiated concern, and the investigation as per Appendix 1, 4
shows that controversial sources have entered the production
process, or have been sold with PEFC claims, then the organisation
should invoke its nonconformity process and procedure (under
PEFC ST 2002 2020 4.2.1 c) vi) and take the appropriate steps toprevent placement on the market, or manage the consequences incompliance with this ST.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

87

Appendix 2: Implementation of the chain of custody standard by multi-site organisations
Normative Appendix
1. Introduction
The aim of this appendix is to establish guidance for the implementation of the PEFC
chain of custody requirements in an organisation with a network of sites, thus ensuringon the one hand, that the assessment provides adequate confidence in the conformity of
the chain of custody, and on the other, that the certification of the chain of custody ispractical and feasible in economic and operative terms.

•

See clarification to definition 3.19 Multi-site organisation.

Certification of multi-site organisations also allows implementation and certification of thechain of custody in a group of typically small independent companies.
This appendix only includes requirements for implementation of the chain of custodyrequirements that are applicable to organisations with multiple production locations.

2. Eligibility criteria for the multi-site organisation
2.1 The multi-site organisation is defined as an organisation having an identified central
function (normally, and hereafter referred to as a “central office”) at which certain
activities are planned, controlled and managed and a network of local offices orbranches (sites) at which such activities are fully or partially carried out.
2.2 The multi-site organisation does not need to be a unique entity, but all sites shallhave a legal or contractual link with the central office and be subject to a common chainof custody that is subject to continuous surveillance by the central office. This meansthat the central office has the right to implement corrective actions when needed at any
site. Where applicable, this should be laid down in the contract between the central
office and the sites.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

882.3 The multi-site organisation may cover:•a) Organisations operating with franchises or companies where the sites are linked
through a common ownership, management or other organisational link.

- The sites are linked through a common ownership, management,or other organisational link. This includes examples like a trading
company with several (inter)national sales outlets, or a group of
printing houses that has a shared purchasing and orderprocessing management.

b) Groups of independent legal enterprises established and functioning for the
purposes of the chain of custody certification (producer group).
Note: Membership in an association is not covered by the term “management or otherorganisational link”.

- A group of independent legal enterprises established andfunctioning for the purpose of chain of custody certification(producer group). In practice, this type of multi-site is often
referred to as “producer group certification”. The central office orgroup entity is usually, but not necessarily, an external consultant
referred to as the “group manager”.
•

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

The multi-site organisation may cover:examples of different types of multi-site organisations:89

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

90•

Producer group:

2.4 A producer group is a network of typically small independent enterprises that haveassociated together for the purpose of obtaining and maintaining chain of custodycertification. The central office may be an appropriate trade association, or any otherproperly experienced legal entity that is either nominated for the purpose by a group ofintending members or offers a group service managed for the purposes of andconsistently with this standard. The central office can also be administered by one
member of the group.
Note: The central office in the case of the producer group can be called the “group
entity” and sites can be called “group members”.
2.5 A site is a location at which activities relating to the organisation’s chain of custody
are carried out.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

91

2.6 The producer group is limited to participation of sites that are domiciled in a single
country and that:•

In case that a participant in a producer group exceeds the limit of 50
employees / 10,000,000 € turnover after joining the producer group,
the participant needs to leave the producer group after the second
audit in a row where at least one of the limits is exceeded.

•

Organisations with more than one physical site are eligible to join
producer groups, provided that each of the site complies with therequirements. Each of the sites will be considered as a participant of
the producer group.

a) have no more than 50 employees (full-time employees equivalent),b) have a turnover of maximum of 10,000,000 EUR, or equivalent

3. Requirements for multi-site organisations
3.1 General
3.1.1 The organisation’s chain of custody shall be centrally administered and be subject
to central review. All the relevant sites (including the central administration function)
shall be subject to the organisation’s internal audit programme and shall have been
audited in accordance with that programme prior to the certification body starting its
assessment.
3.1.2 It shall be demonstrated that the central office of the organisation has establisheda chain of custody in accordance with this standard and that the whole organisation(including all the sites) meets the requirements of this standard.
3.1.3 The organisation shall be able to demonstrate its ability to collect and analyse datafrom all sites, including the central office authority and its ability to initiate changes in the
chain of custody operating in the sites if required.
3.2 Function and responsibilities of the central office

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

92

3.2.1 The central office shall:a) Represent the multi-site organisation in the certification process, including
communication and relationship with the certification body.
b) Submit an application for the certification and its scope, including a list ofparticipating sites.
c) Ensure contractual relationship with the certification body.
d) Submit to the certification body a request for extension or reduction of thecertification scope, including coverage of participating sites.
e) Provide a commitment on behalf of the whole organisation to establish andmaintain a chain of custody in accordance with the requirements of this standard.
f)Provide all the sites with information and guidance needed for effective
implementation and maintenance of the chain of custody in accordance with thisstandard; The central office shall provide the sites with the following information oraccess to the following information:-

A copy of this standard and any guidance relating to the implementation of therequirements of this standard.

-

PEFC Trademarks Rules and any guidance relating to their implementation.

-

The central office’s procedures for the management of the multi-siteorganisation.

-

Conditions of the contract with the certification body relating to the rights of thecertification body or accreditation body to access the sites’ documentation andinstallations for the purposes of evaluation and surveillance, and disclosure of
information about the sites to a third party.

-

Explanation of the principle of the mutual responsibility of sites in the multi-site
certification.

-

Results of the internal audit programme and the certification body’s evaluationand surveillance and relating corrective and preventive measures applicable toindividual sites.

-

The multi-site certificate and any of its parts relating to the scope of thecertification and coverage of sites.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

93

Note: The term “mutual responsibility” means that nonconformities found in one site or
the central office may result in corrective actions to be performed at all sites; an increase
in internal audits or withdrawal of the multi-site certificate.
g) Provide organisational or contractual connection with all the sites, which shall
include commitments by the sites to implement and maintain the chain of custodyin accordance with this standard. The central office shall have a written contract orother written agreement with all the sites which covers the right of the central office
to implement and enforce any corrective or preventive measures and to initiate theexclusion of any site from the scope of certification in case of nonconformities withthis standard.
h) Establish written procedures for the management of the multi-site organisation.
i)

Keep records relating to the central office and sites compliance with therequirements of this standard.

j)Operate an internal audit programme as outlined in 3.2.2.

k) Operate a review of the central office and sites conformity, including review ofresults of the internal audits programme and certification body’s evaluations andsurveillance; shall establish corrective and preventive measures if required; andshall evaluate the effectiveness of corrective actions taken.
3.2.2 Internal audit programme
3.2.2.1 The internal audit programme shall provide for:a) Audit of all the sites (including its own central administration function), on site or
remotely, where a remote verification of the implementation of chain of custody
processes is feasible, prior to the certification body starting its evaluation.

•

3.2.2.1 b) editorial mistake – Audit of any new site prior to thecertification body starting the process of the certification scope
extension.

b) Budit of any new site prior to the certification body starting the process of thecertification scope extension.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

94

3.3 Function and responsibilities of sites
Sites connected to the multi-site organisation shall be responsible for:a) Implementation and maintenance of the chain of custody requirements inaccordance with this standard.
b) Entering into a contractual relationship with the central office, including
commitment on the compliance with the chain of custody requirements and otherapplicable certification requirements.
c) Responding effectively to all requests from the central office or certification bodyfor relevant data, documentation or other information whether in connection withformal audits or reviews or otherwise.
d) Providing full co-operation and assistance in respect of the satisfactory completionof internal audits performed by the central office and audits performed by thecertification body, including access to the sites installations.
e)Implementation of relevant corrective and preventive actions established by thecentral office.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

95

Table 4: Scope of responsibilities for requirements of this standard implemented in the multi-site organisation

Standard requirements

Central officeRequirements for chain of custody process – physical separation method

Site
Yes

Requirements for chain of custody process – percentage method

Yes (if percentage account at multi-site level)

Yes

Requirements for chain of custody process – credit method

Yes (if credit account at multi-site level)

Yes

Responsibilities and authorities

Yes

Yes

General responsibilities

Yes

Yes

Responsibilities and authorities for chain of custodyYes (for d and e)

Yes

Documented procedures

Yes (for a, e, and f)

Yes

Record keeping

Yes (for f and g)

Yes

Yes (only for activities provided)

Yes

Inspection and control

Yes

Yes

Complaints

Yes

Yes

Management system requirements

Resource management
Human resources / personnel
Technical facilities

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

96

5. General guidance for the use of PEFC ST 2001:2020, PEFC Trademarks Rules – Requirements
3. Terms and definitions
For the purposes of this document, the terms and definitions given in PEFC ST 2002, Chain of Custody of Forest and Tree Based Products – Requirements
apply.
ST 2001:2020

Guidance

3.1 Finished product
The product obtained at the end of a manufacturing process, ready to be sold or distributed toconsumers (but not yet sold or distributed).
3.2 Forest and tree based material•

Section 1 of PEFC ST 2002 definition apply.

3.3 Forest and tree based products•

Section 1 of PEFC ST 2002 definition apply.

3.4 Off‑product usage
The use of the PEFC trademarks, other than on‑product usage, that is not referring to a
specific product or the origin of raw material in a PEFC certified forest. See also chapter 5,
Scope of the PEFC trademarks.
3.5 On‑product usage
The use of the PEFC trademarks in reference to the PEFC certified material of a product orthat can be perceived or understood by buyers or the public as referring to PEFC certified
material. On-product usage can be direct (when the PEFC trademarks are placed on tangible
products) or indirect (the trademarks refer to tangible products although they are not placed
directly on the product). See also chapter 5, Scope of the PEFC trademarks

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

97

3.6 PEFC authorised body•

PEFC Council and PEFC authorised body contact details forrequesting a PEFC trademarks usage licence can be foundhere: https://labelgenerator.pefc.org/contact

3.7 PEFC certified material•

Section 1 of PEFC ST 2002 definition apply.

3.8 PEFC certified product•Section 1 of PEFC ST 2002 definition apply.

3.9 PEFC chain of custody•

Section 1 of PEFC ST 2002 definition apply.

3.10 PEFC controlled sources•

Section 1 of PEFC ST 2002 definition apply.

•

Section 1 of PEFC ST 2002 definition apply.

The authorised body is an entity that has permission from the PEFC Council to issue PEFC
trademarks licences and to notify certification bodies on behalf of the PEFC Council. Usually
the authorised bodies are the PEFC National Governing Bodies.

3.11 PEFC labels
The PEFC labels comprise the PEFC logo plus additional elements such as the label name,the message, the website and the frame. The additional elements complement the logo
providing information about what the PEFC logo stands for. The PEFC logo shall be always
used within the PEFC labels. Under certain circumstances described in this document, someelements of the PEFC labels may be omitted in such a way that the final design of the label isthe PEFC logo itself, with no additional elements.
3.12 PEFC National Governing Bodies (PEFC NGBs)
The PEFC National Governing Bodies (PEFC NGB) are independent, national organisations
established to develop and implement a PEFC system within their country. A list of the PEFC
NGBs and their contact details can be found at the PEFC website. PEFC NGBs are often
also the “PEFC authorised body”.
See 3.6.
3.13 PEFC recognised certificate

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

983.14 PEFC trademarks•

The “PEFC” initials are used in declarations, and this makes a
trademark contract mandatory for chain of custody certificate
holders, whether the labels are used or not.

3.15 Recycled material•

Section 1 of PEFC ST 2002 definition apply.

3.16 Retailer•“Retailer” is to be understood in an extended way, as anyorganisation procuring and selling PEFC-certified finishedproducts, and which do not manipulate the products in any way,
because it is not under their scope, such as brand owners.

•

Section 1 of PEFC ST 2002 definition apply.

•

PEFC trademarks users need to use the PEFC Label Generator
to create PEFC logos and labels always.

The PEFC trademarks are symbols that represent the visual identity of PEFC. They are
registered and belong to the PEFC Council. There are two PEFC trademarks:
The initials “PEFC”; andThe PEFC logo. It consists of two trees surrounded by an arrow. The “PEFC” initials standunderneath it. The PEFC logo shall always be used within the PEFC labels (see also 3.11,
definition of PEFC labels).

Entity procuring PEFC certified finished products from PEFC certified companies and sellingthem to consumers.

3.17 Trees outside Forests (TOF)

4. Ownership of the PEFC trademarks
4.1 Ownership4.1.1 The PEFC logo and the PEFC initials are copyrighted material and are internationallyregistered trademarks owned by the PEFC Council. Unauthorised use of this copyrighted
material is prohibited and may lead to legal action.
4.1.2 The PEFC logo and the PEFC initials shall not be used accompanied by any symbols to
indicate that they are registered trademarks, such as the TM or the R.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use99

5. Scope of the PEFC trademarks
5.1 General scope of the PEFC trademarks
5.1.1 The PEFC trademarks and related claims indicate that the forest and tree basedmaterial contained in labelled and/or claimed products comes from sustainably managed
forest, recycled and/or controlled sources.
5.1.2 The PEFC trademarks also show that the company that produces a product labelled or
claimed as certified, is managed in compliance with a set of social requirements and has amanagement system in place.
5.1.3 In addition, the PEFC trademarks communicate an organisation’s affiliation with PEFC
or PEFC certification status.
5.2 Scope of the on‑product usage of the PEFC trademarks
5.2.1 The scope of the on‑product usage of the PEFC trademarks covers:a) Direct on‑product usage of the trademarks referring to the PEFC certified material on
tangible products or on their packaging.

•

5.2.1 c) Another example:“This Mozzarella cheese was smoked using wood fromsustainably managed forests, recycled and controlled sources”b) Indirect on‑product usage through any reference that can be interpreted or understoodas if the product itself is certified or contains PEFC certified material, such as on media
or marketing materials to communicate that the product is PEFC certified.
Example 1: Use of the PEFC trademarks in advertisements, on brochures, websites, or
packing lists referring to actual products to indicate that they are PEFC certified.
Example 2: Reference to the certified status of the supplier or producer of a product ascertified, such as: “This magazine was printed by a PEFC certified printer”, or “this journal
was printed on PEFC certified paper”.
c) Direct or indirect on‑product usage in reference to the PEFC certified material used aspart of the production process of a product. See also 7.1.1.3.
Example: “This brandy was matured in oak barrels from sustainably managed forests,
recycled and controlled sources” or “this plant was grown from seeds from sustainably
managed forests and controlled sources”.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

100

5.2.2 The PEFC trademarks cover the complete forest and tree based product labelled or
claimed and not only one of its parts. The packaging is not considered as part of the product.
The packaging of a PEFC certified product may also include forest or tree based material andmay also be eligible itself to carry the PEFC trademark. If both the product and the packaging
are PEFC certified, the packaging may include two PEFC labels. See also 7.1.1.1.
5.3 Scope of the off‑product usage of the PEFC trademarks
5.3.1 The scope of the off‑product usage of the PEFC trademarks covers any usage of thePEFC trademarks that is not covered under the scope of on‑product usage, such as:a) communication on the PEFC endorsement of forest certification systemsb) communication on certified status (this usage refers to PEFC trademarks under Groups
B and C, according to the description of user groups under bullet 6.3 of this standard)c) communication on PEFC recognition of certificates (certification bodies)d) communication on PEFC accreditation activities (accreditation bodies)e) communication on procurement of PEFC certified products or commitment toprocurement of PEFC certified products (end users of PEFC certified products)
f)communication on membership in, or partnership with, PEFC (members and partners of
PEFC Council and/or PEFC National Governing Bodies)g) communication on projects and initiatives focused on development and promotion of
PEFC systems and certificationsh) other educational and promotional usage of the PEFC trademarks (PEFC Council andnational governing bodies, certified entities, certification bodies, accreditation bodies,
non-certified organisations selling PEFC certified, etc.)i)

communication in general on the availability of PEFC certified products in store and/or
online, without referring to a concrete product or the PEFC certified material included ina product

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use101

6. PEFC trademarks usage requirements
6.1 General
6.1.1 The PEFC trademarks shall be used with correct reference to the PEFC Council, PEFC
members and their systems.

•

PEFC endorsed systems are available on the PEFC website.

6.1.2 The PEFC logo and labels shall be obtained from the PEFC Label Generator.
6.1.3 The PEFC trademarks or any of its elements shall not be used as part of, or integrated
into, other trademarks or labels or in combination with other images, words or symbols in a
way that could create another mark or that could mislead the public as to what the PEFC
trademarks stand for.
6.1.4 The PEFC trademarks shall not be used in a manner that could be misinterpreted or
generate confusion with regard to PEFC systems, or that implies that PEFC participates in,supports, or is responsible for an activity by a certified entity outside the scope of its
certification. The PEFC trademarks shall not be used in a manner that could result inerroneous interpretation or understanding of the entities operations with respect to its PEFC
certificate, or diminished credibility of PEFC.
6.1.5 The PEFC trademarks shall not be used within product brand names, company names
or website domain names, unless explicitly authorised by the PEFC Council.
6.1.6 The PEFC trademarks shall not be used together with other claims, messages or labelsthat can be misunderstood or misleading with regard to the qualities, characteristics, content,
production process, etc. of the product they are accompanying, PEFC certification or PEFC ingeneral.
6.1.7 If other messages, claims or labels are used on the same product as the PEFC
trademarks, it shall be clearly identified which characteristics of the product the PEFC
trademarks refer to.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

102

6.1.8 The PEFC trademarks shall be used only with the messages provided by the PEFC
Council. Any usage of the trademarks not foreseen in the PEFC Council documentation shallbe approved by the PEFC Council.
6.1.9 Any usage of the PEFC trademarks shall be accurate and consistent with applicablelegal requirements and law. Organisations are responsible for compliance with the applicablelegislation when using the PEFC trademarks.
6.1.10 PEFC Council reserves the right to refuse the use of any PEFC trademarks that does
not align with PEFC’s strategic vision and mission.
6.2 PEFC trademarks usage licence
6.2.1 The PEFC trademarks shall be used under the authority of a PEFC trademarks usage
licence that is issued by the PEFC Council or a PEFC authorised body. The PEFC
trademarks usage licence includes the issuance of a unique licence number.
6.2.2 The licence shall be obtained through the signature of a licencing agreement(trademarks usage contract) between the organisation applying for trademarks usage and thePEFC Council or a PEFC authorised body.
6.2.3 The licence number of the organisation using the PEFC trademarks shall accompany
the PEFC trademarks whenever they are used, except for certified organisations when
passing on claims for the implementation of the PEFC chain of custody.
Example: We procure PEFC certified material (PEFC/XX-XX-XX)”.
Note 1: When using the PEFC initials for promotional purposes within a text where PEFC
initials are used more than one time, the PEFC licence number may appear only the first time
the PEFC initials are used. In cases where a PEFC label with the licence number is used next
to the text or in the same page as the text in such a way that the organisation using theinitials is clearly identifiable, the initials may be used without the licence number.
Note 2: When using the PEFC trademarks in press articles or for scientific research articles it
is not necessary to use and/or hold a PEFC licence number.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

103

6.2.4 For the purposes of off-product PEFC trademarks usage, the PEFC Council or thecorresponding PEFC authorised body may issue permission for one-off trademarks usage.
This licence shall be limited to one use. The disclaimer: “Reproduced with the permission of[authorised body]” shall be visibly placed together with the PEFC trademarks.
6.2.5 The PEFC labels may be used exceptionally without the licence number, with priorapproval by the PEFC authorised body that issued the licence, under the following
circumstances:•

The requirements on the minimum size of the PEFC logo (8.2.4)
still apply when this exception is used.

a) where the size of the PEFC label would result in the licence number being illegibleb) the applied technology would not allow the licence number to be used together with the
PEFC labelc) in addition to that, for on‑product usage, where:• the PEFC trademarks with the licence number is used on other parts of the product(e.g. packaging, larger boxes, a leaflet or manual on the product)• the user of the PEFC trademarks can be clearly and unambiguously identified fromother on-product information
6.3 PEFC trademarks users classification
6.3.1 Group A: National Governing Bodies and PEFC authorised bodies
6.3.1.1 The PEFC National Governing Bodies or other PEFC authorised bodies areauthorised to use the PEFC trademarks only for off-product purposes.
6.3.2 Group B: Entities certified against a PEFC endorsed sustainable forest
management (SFM) standard
6.3.2.1 Any entity eligible for SFM certification shall hold a valid forest management certificate
in order to obtain a PEFC trademarks licence.
6.3.2.2 Group B entities with a PEFC recognised certificate are authorised to use the PEFC
trademarks only for off-product purposes, unless they are also certified against the PEFC
Chain of Custody standard.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

104

6.3.2.3 If the certification is suspended, withdrawn or terminated, the PEFC trademarks
licence will be automatically suspended (until the suspension is lifted) or terminated.
6.3.3 Group C: Entities certified against the PEFC International Chain of Custody
standard or a chain of custody standard endorsed by PEFC
6.3.3.1 Any entity eligible for PEFC chain of custody certification shall hold a PEFC
recognised certificate for chain of custody (see definition of PEFC recognised certificate:3.13) that is valid, in order to obtain a PEFC trademarks licence.
6.3.3.2 Group C trademarks users are authorised to use the PEFC trademarks for off and onproduct purposes.
6.3.3.3 If the certification is suspended, withdrawn or terminated, the PEFC trademarks
licence will be automatically suspended (until the suspension is lifted) or terminated.
6.3.4 Group D: Other users
6.3.4.1 Organisations and other entities not classified under PEFC trademarks Groups A, B
and C.
6.3.4.2 Group D covers organisations such as trade and industry associations, retailers,
research and educational institutions, certification bodies, accreditation bodies, governmentalorganisations, NGOs, etc. Group D also covers organisations within the forest and tree based
products chain, where the chain of custody certification does not apply as they are end users
of forest and tree based products or are selling the products with claims and/or labels placedon the product by their suppliers.

•

Group D also covers hotels, schools, or public offices.

6.3.4.3 Group D trademarks users are authorised to use the PEFC trademarks only for offproduct purposes.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

105

6.3.4.4 Retailers under trademarks user Group D that procure PEFC certified finishedproducts and sell the finished products directly to consumers without manipulating the
product in any way, changing the wrapping or mixing the products with non-certified products,
may exceptionally use the PEFC trademarks indirectly on-product (see requirement 5.2.1.b)
to promote PEFC certified products according to the following requirements:•

PEFC’s definition for retailers is to be understood as also
covering brand owners and market placers and allow them toapply 6.3.4.4, whenever they procure PEFC-certified finishedproducts and sell the finished products directly to consumers
without manipulating the product in any way, changing thewrapping, or mixing the products with non-certified products.

•

If several organisations fulfil the definition of “retailer” and therequirements under 6.3.4.4 in a row for the same product, they
are eligible for 6.3.4.4 for this product.

•

Bullet d) by supplier, it means the PEFC-certified product inquestion.

•

PEFC’s definition for retailers is to be understood as also
covering online platform owners and allow them to apply
6.3.4.4, whenever they centralize information of PEFC-certified
finished products, that can be viewed or sold directly to
consumers without manipulating the product in any way,changing the wrapping, or mixing the products with noncertified products.

a) Hold a PEFC trademarks licence for trademarks user Group D.
b) The PEFC promotional label shall be used at least once with the label message: “Theproducts marked with the PEFC trademarks can be provided as PEFC certified”. It shallbe place in a visible place in order for the public to clearly understand and identify what
the PEFC trademarks stand for within the catalogue, brochure or price list.
c) The PEFC trademarks may be used without the organisation’s licence number
throughout the catalogue, brochure or product list next to those products that can beprovided as PEFC certified.
d) The products shall include physically the PEFC trademarks on-product along with thelicence number of the PEFC certified supplier.
e) This first usage shall be approved by the PEFC Council or the PEFC authorised body,and afterwards PEFC Council or the PEFC authorised body shall approve it in anannual basis or issue a new approval whenever the design changes in any way.
f)

The PEFC trademarks shall be always used according to this standard and any other
PEFC related documentation.

Note: As the PEFC trademarks will always appear at least once in the catalogue, brochureor product list, requirement 6.2.5 does not apply to this case.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

106

Table 1: Overview of the usage

PEFC trademarks user

On‑product usage

Off‑product usage

Group A: National Governing Bodies

No

Yes

Group B: Sustainable forest management (SFM) certified entities

No

Yes

Group C: chain of custody certified entities

Yes

Yes

Group D: Other users

No

Yes

Note 1: Group B certificate holders that also hold a PEFC chain of custody certificate and therefore belong also to Group C, can use the PEFC trademarks on-product.
Note 2: Additional off-product messages to be used, for instance, as forest signs, are suggested in Appendix A to be used by trademarks user Group B.
Note 3: For retailers under trademarks user Group D, see also requirement 6.3.4.4.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

107

7. PEFC trademarks technical requirements
7.1 Technical requirements for the usage of the PEFC trademarks on‑product7.1.1 General requirements
7.1.1.1 The product the PEFC trademarks refer to shall be clearly identified. If the productcannot be clearly identified, the label message or at least the name of the product (see 8.3.3)
shall clarify the link between trademarks and product.
Example: If PEFC certified pencils are wrapped in packaging made from forest basedmaterial not PEFC certified, the PEFC label message that accompanies the logo in the
packaging clarifies which product the label refers to, replacing “this product” by “thesepencils” in the label message.

•

It is possible for one PEFC on-product label to cover two or
more certified items. This could be the packaging and the
product, if the same company manufactures both. For
example, “this toy and packaging are from sustainably
managed forests and controlled sources”.

•

It should be clear what the PEFC on-product label refers to(e.g., by adding the products names in the label message). For
example, a non-PEFC certified wooden toy in a PEFC-certified
paper-based packaging. As the logo may refer to the wooden
toy or the packaging, the PEFC logo needs to indicate that it
refers to the packaging and not to the toy.

•

A supplier can produce label with the buyer’s PEFC
trademarks licence number. To do so, they need to have anagreement in place where the certified supplier allows the noncertified (or certified) organisation to use the PEFC trademarks
on product with the supplier's licence number, limited toPEFC-certified products supplied by the supplier to the noncertified (or certified) organisation, and in compliance with any
applicable requirements of the PEFC standards.

7.1.1.2 To determine the percentage of certified material contained in a product to be eligible
to carry the PEFC trademarks, the complete product shall be considered. See also 5.2.2.
Example: A book may carry the PEFC trademarks whenever the complete book (the pages
plus the covers) contains at least 70% of certified material.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

1087.1.1.3 Indirect on‑product usage in reference to the PEFC certified material used as part ofthe production process of a product (as described in 5.2.1, c) shall be approved by the PEFC
Council.
Note: To obtain PEFC Council’s approval, organisations can go through the PEFC authorised
body that issued their licence.
7.1.2 The PEFC on‑product labels
7.1.2.1 The PEFC certified label
7.1.2.1.1 The PEFC certified label is the generic label to be used on-product:

7.1.2.1.2 The PEFC certified label may be used whenever at least 70% of the forest and tree
based material included in the product is PEFC certified material and the content of recycledmaterial is lower than 100%.
Note: Recycled content is included in forest and tree based products material categories.
See definition 3.7.

•

Only certified material is eligible for labelling.

•

The standard does not require certified products to belabelled. The standard considers the labelling of certified
products as an optional tool by which the organisation
communicates the certified product status.

7.1.2.1.3 The label message that shall accompany the PEFC certified label is: “[This product]is from sustainably managed forests, recycled and controlled sources”. The wording [thisproduct] may be replaced by the name of the certified product or the certified material
included in the product to which the label refers, using the PEFC Label Generator. See also
7.1.1.1. and 8.3.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

1097.1.2.1.4 Where the product does not include PEFC certified material from recycled sources,
the label message may be used without the word “recycled”.

7.1.2.1.5 Where the product includes only material from PEFC certified forests, i.e. materialdelivered with the claim “100% PEFC Origin”, the label message may be used with thewording: “[This product] is from sustainably managed forests”.

7.1.2.1.6 For PEFC certified projects, the wording “this product” shall be replaced by “theforest and tree based material used in this project is”. The word “project” may be replaced by
the type of project (pavilion, tower, etc.).

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

1107.1.2.2 The PEFC recycled label
7.1.2.2.1 The PEFC recycled label shall be used when the product includes only recycledmaterial (see 3.15, definition for recycled material). The label name is “PEFC Recycled” andthe label message: “[This product] is from recycled sources”. The wording [this product] may
be replaced by the name of the certified product or the certified material included in the
product to which the label refers, using the PEFC Label Generator.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

111

Table 2: Overview of the options of usage of the PEFC on‑product labels

Label name

PEFC Certified

PEFC Recycled

Requirements of usage

Minimum 70% PEFC certified
material content and less than
100% recycled material content

100% recycled material content

Generic label messages“[This product] is fromsustainably managed forests,
recycled and controlled sources”“[This product] is from recycled
sources”.

“This product” should be
replaced by the name of thecertified product or certified
material when it is not clear towhat the label refers“This product” should be replacedby the name of the certified productor certified material when it is notclear to what the label refers

Where the product does not include
recycled material, the label message
may be used without the word
“recycled”
Where the product only includes
material from PEFC certified
forests, the label message may be
used without “recycled andcontrolled sources”

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

112

7.1.3 The PEFC initials
7.1.3.1 The PEFC initials may be used directly on a product whenever the productcontains a minimum of 70% PEFC certified material.
Example 1: This product was made with PEFC certified wood (PEFC/XX-XX-XXX)
Example 2: This journal was printed on PEFC certified paper (PEFC/XX-XX-XXX)
7.1.3.2 The PEFC trademarks licence number of the organisation shall always be usedwith the PEFC initials whenever the product does not carry a PEFC label with thelicence number in the same product.
7.1.3.3 The certified product or the certified material included in the product to which
the PEFC initials refer shall be clearly identified. When it is not clear what product thePEFC initials refer to, the product shall be specified. See requirement 7.1.1.1.
7.1.3.4 Any usage of the PEFC initials on-product different from that mentioned above
shall be approved by the PEFC Council.
Note: To obtain PEFC Council’s approval, organisations can go through the PEFC
authorised body that issued their licence.

•

Inappropriate usage of the PEFC initials is, for instance, to use thePEFC trademarks on a product with messages different than themessages provided in the PEFC trademarks standard. Examples:- This PEFC certified product is sustainably sourced from happy
forests- PEFC ensures that this product is green

7.1.3.5 The requirements outlined in this section are not applicable for the usage of thePEFC initials with the purpose of passing on chain of custody claims by certified
organisations as described in and in compliance with the PEFC Chain of CustodyStandard, PEFC ST 2002.
7.2 Technical requirements for the usage of the PEFC trademarks off‑product

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

113

7.2.1 The PEFC off‑product label
7.2.1.1 The PEFC promotional label is:

7.2.1.2 The generic label message that shall accompany the PEFC promotional label
is: “Promoting Sustainable Forest Management”.
7.2.1.3 Additional label messages for promotional purposes can be found on the
Appendix A to this standard.
7.2.1.4 The PEFC off-product label messages may be used for promotional purposes
without the PEFC label under the same requirements as the label. In those cases, andwhenever the PEFC label is not used close to the message, the PEFC trademarks
licence number shall be placed next to the message.

•

The PEFC initials can be used for promotional purposes accompanied
by messages provided in the standard. If an organisation wants to use
the PEFC initials as part of a message that’s different to the ones
provided in the standard (Appendix 1), they need to request
authorisation from PEFC. To do so, they need to login in their Label
Generator account and apply for an exceptional usage under the“Your products” section.

7.2.1.5 Organisations holding a PEFC forest management or PEFC chain of custody
recognised certificate (PEFC trademarks user Groups B and C) may use the PEFC
promotional label on:a) Letterheads, catalogues or any other promotional material, as long as there is noambiguity as to what is certified. See also 7.2.1.6.
b) Invoices or delivery documents. The products that are delivered with a PEFC
claim shall be clearly identified.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

114

7.2.1.6 The PEFC label may be used for promotional purposes on non-commercial
products. It shall be clear what the PEFC label refers to on the non-commercial
products. The promotional label message shall be included.
Note: For the usage of the PEFC label on catalogues, brochures or products lists by
non-certified retailers, see 6.3.4.4.
7.2.2 The PEFC initials
7.2.2.1 The usage of the PEFC initials off-product is allowed under the same
conditions and requirements as the PEFC promotional label. It shall always be
accurate and refer to PEFC in the correct terms.

8. Graphic requirements of the PEFC labels
8.1 Elements of the PEFC label

A

C
D

B

E

F

8.1.1 PEFC logo (A)8.1.1.1 PEFC logo consists of two trees surrounded by an arrow and the “PEFC” initials
placed underneath it.
8.1.2 PEFC trademarks licence number (B)
8.1.2.1 In order to identify the organisation using the PEFC trademarks, the PEFC logo
shall be used together with the organisation’s PEFC licence number. See requirement
6.2.1.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

115

8.1.3 Label name (C)8.1.3.1 The label name communicates the meaning of the logo.
8.1.3.2 The official PEFC label names are in English. Translations shall be obtained
from the PEFC Label Generator.
8.1.3.3 The PEFC label may include the label name in more than one language.
Different options are provided in the PEFC Label Generator.
8.1.4 Label message (D)8.1.4.1 The label message communicates the meaning of the logo.
8.1.4.2 The official PEFC label messages are in English. Translations of the official
label messages into other languages shall be obtained from the PEFC Label
Generator.
8.1.4.3 The PEFC label may include the label message in more than one language.
Different options are provided in the PEFC Label Generator.
8.1.5 PEFC website (E)8.1.5.1 The PEFC Council website www.pefc.org may be replaced with the website of a
PEFC authorised body.
8.1.6 PEFC label frame (F)8.1.6.1 When using the frame, the frame shall always respect the proportions anddimensions within the different elements of the label.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

116

8.2 Graphic specifications•

When an organisation would like to use the PEFC trademarks (either
the logo or the PEFC initials) in a different way than the standard way(e.g., in a different colour than green, black, or white, in a different
size, or as part of a label message that is not mentioned on Appendix
1 of PEFC ST 2001), they can request an exceptional usage from
PEFC. Requests are to be made through their PEFC Label Generator
account, in the labels section of the "Your products" page.

•

Green is to be understood as Pantone 368 or RGB 128, 186, 39•

In exceptional cases where the colours don’t match a print job,
exceptional approvals can be granted. When an organisation would
like to use the PEFC trademarks (either the logo or the PEFC initials)
in a different way that the standard way (e.g., in a different colour thangreen, black, or white, a different size, or as part of a label message
that is not mentioned on Appendix 1 of PEFC ST 2001), they canrequest an exceptional usage from PEFC. Requests are to be madethrough their PEFC Label Generator account, in the labels section ofthe "Your products" page.

8.2.1 Colours
8.2.1.1 The PEFC labels may be used in three colours: green, black and white andalways with a single and contrasting colour background.
8.2.1.2 The PEFC label in green shall have the frame in the same green colour, with
the PEFC label name, message and PEFC website in black. For the colours black andwhite, all the elements of the PEFC label shall appear in the same colour. The PEFC
label name for the three labels must be in bold.
Note: For the purposes of describing the graphic specifications, the framed landscapegreen PEFC certified label is used. The same principles apply to all the other labels.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

117

8.2.2 Label orientation
8.2.2.1 The PEFC label may be used in portrait or landscape orientation.

Portrait

Landscape8.2.3 Dimensions
8.2.3.1 The ratio between height and width shall always be maintained. The
proportions between the different elements of the PEFC label shall also be respected.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

118

8.2.4 Minimum size
8.2.4.1 The minimum size of the PEFC label shall be:

8.2.5 Placement
8.2.5.1 Clear space shall surround the PEFC label in order to ensure that it remains
uncluttered and is easily recognisable. The minimum amount of clear space shall beequivalent to the height of the letter “P” of the PEFC logo used in the label.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

1198.3 Optional usage of the label
8.3.1 The following elements may optionally be omitted from the PEFC labels:
Table 3: Optional elements of the PEFC labels

PEFC certified
label

PEFC recycled
label

PEFC off‑productlabel

PEFC logo

No

No

No

Label name

Yes

No

N/A

Label message

Yes *

Yes*

Yes*

PEFC website

Yes

Yes

Yes

Frame

Yes

Yes

Yes

* The usage shall always comply with the requirement 7.1.1.1. See also requirements
8.3.2 and 8.3.3.
8.3.2 When using the PEFC labels without the message, the label may include thename of the product, as in the example below.
8.3.3 When it is not clear what the PEFC label refers to (see requirement 7.1.1), thelabel message may be replaced by the name of the product.
8.3.4 The PEFC label can be used without the label message for promotional purposes
whenever it is clear from the context in which the label appears what PEFC stands for.
8.3.5 Where the design does not allow the usage of the normal PEFC label designs,
the PEFC label may be optionally used as follows, with prior approval by the PEFC
authorised body that issued the licence. When used for on-product purposes, theproduct or material the PEFC label refers to shall be clear. When used for promotional
purposes, it shall be clear what PEFC stands for.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

120a) With the PEFC logo split into the two trees surrounded by an arrow and thetrademarks licence number and placed beside each other. The minimum size of
this format of the PEFC label shall ensure that the licence number is readable.

b) With the PEFC logo split into the two trees surrounded by an arrow and the PEFC
initials, and the trademarks licence number underneath the PEFC initials. The
minimum size of this format of the PEFC label shall ensure that the PEFC initials
and licence number are readable.

8.4 Modifications•

PEFC does not require prior approval of trademarks usage, wheneverthey are used according to the standard and as obtained from theLabel Generator.

8.4.1 The PEFC labels obtained from the PEFC Label Generator shall not be altered or
re-created.
8.4.2 Using the PEFC label in non-standard colours or any other adjustments requires
prior approval by the PEFC Council.
Note: To obtain PEFC Council’s approval, organisations can go through the PEFC
authorised body that issued their licence.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

121

Appendix 1 (normative): Alternative promotional label messages
Table 4: Alternative promotional label messages

Trademarks user group

MessageGroup B•

Promoting Sustainable Forest Management•[Company name] has a PEFC sustainable forest management certificate•[Company name] manages this forest according to PEFC certification requirements•

Our forest management is PEFC certified•

Promoting Sustainable Forest Management•[Company name] has a PEFC certified chain of custody•[Company name] offers PEFC certified products•

By sourcing PEFC, [we/company name] are supporting sustainably managed forests globally•

By sourcing PEFC [wood/paper/packaging], [we/company name] are supporting
sustainably managed forests globally•

The PEFC logo on our products ensures that our [wood/paper/ packaging] comes fromsustainably managed forests, recycled and controlled sources. Every purchase of a PEFClabelled product makes a difference for forests and forest communities across the world.

•

Promoting Sustainable Forest Management•[Certification body] is accredited for PEFC forest management certification•[Certification body] is accredited for PEFC chain of custody certification•[Certification body] is accredited for PEFC forest management and chain of custodycertification•

Promoting Sustainable Forest Management•[Accreditation Body name] provides PEFC forest management accreditation•[Accreditation Body name] provides PEFC chain of custody accreditation•[Accreditation Body name] provides PEFC forest management and chain of custodyaccreditation

Group CGroup D:certification bodies

Group D:accreditation bodies

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

Guidance122Group D:
non-certified organisations
procuring PEFC certified
finished productsGroup D:PEFC International
stakeholder members

Group D:any other organisations
belonging to Group D thatare not mentioned above•

Promoting Sustainable Forest Management•[Company name] offers PEFC certified products•

By sourcing PEFC, [we/company name] are supporting sustainably managed forests globally•

By sourcing PEFC [wood/paper/packaging], [we/company name] are supporting
sustainably managed forests globally•

The PEFC logo on our products ensures that our [wood/paper/packaging] comes fromsustainably managed forests, recycled and controlled sources. Every purchase of a PEFClabelled product makes a difference for forests and forest communities across the world.

•

Promoting Sustainable Forest Management•[Company name] is a PEFC Stakeholder member•

By sourcing PEFC, [we/company name] are supporting sustainably managed forests globally•

By sourcing PEFC [wood/paper/packaging], [we/company name] are supporting sustainably
managed forests globally•

The PEFC logo on our products ensures that our [wood/paper/packaging] comes fromsustainably managed forests, recycled and controlled sources. Every purchase of a PEFClabelled product makes a difference for forests and forest communities across the world.

•

Promoting Sustainable Forest Management

Note 1: Organisations belonging to more than one group may use the label messages for any of the user group they belong (for instance, international stakeholder
members that are also certified companies can use either the label messages described for Group D: stakeholder members, or Group C: certified companies).
Note 2: The wording between [ ] is to be replaced by the corresponding option. For example, if an organisation procures PEFC certified wood, the label willsay: “The PEFC logo on our products ensures that our wood comes from sustainably managed forests, recycled and controlled sources”.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

123

6. General guidance for the use of PEFC ST 2003:2020, Requirements for Certification Bodies operating
Certification against the PEFC International Chain of Custody Standard
3. Terms and definitions
For the purposes of this standard, the relevant definitions given in ISO/IEC 17000, ISO/IEC 17065, ISO 19011, ISO/IEC Guide 2 and PEFC ST 2002 apply,
together with the following definitions:
ST 2003:2020

Guidance

3.1 Audit
Systematic, independent and documented process for obtaining objective evidence andevaluating it objectively to determine the extent to which the audit criteria are fulfilled.
Note: The term “audit” used in this document is equivalent to the term “evaluation” used in
ISO/IEC 17065.
3.2 Certification decision makerA person or a group of persons (e.g. a committee) that has not been involved in the audit
process and is assigned by the certification body to make the certification decision.
3.3 Chain of Custody standard
PEFC ST 2002, Chain of Custody of Forest and Tree Based Products – Requirements.
3.4 Client organisation
Organisation, including a multi-site organisation, that is applying for chain of custody, or
whose chain of custody has been certified.
Note: The term “client organisation” used in this document is equivalent to the term
“supplier” used in ISO/ IEC 17065.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

124

3.5 Major nonconformity
The absence of, or failure to implement and maintain, one or more requirements of the
Chain of Custody standard, that may result in a systemic risk to the function andeffectiveness of the chain of custody and/or affect confidence in the client organisation’s
claims on certified raw material.
Note: A major nonconformity may be an individual nonconformity, or a number of minor
but related nonconformities that when considered in total are judged to constitute a major
nonconformity.
3.6 Minor nonconformity
A single failure to fulfil the requirements of the Chain of Custody standard that may resultin no systemic risk to the function and effectiveness of the chain of custody and/or affectconfidence in the supplier’s claims on certified raw material.
3.7 Observation
An audit finding that does not indicate nonconformity. It may be identified by the audit
team as an opportunity for improvement.
3.8 PEFC authorised body
The PEFC authorised body is an entity that has permission from the PEFC Council toissue PEFC trademarks licences and to notify certification bodies on behalf of the PEFC
Council. Usually the authorised bodies are the PEFC National Governing Bodies.
3.9 PEFC National Governing Bodies (PEFC NGBs)
The PEFC National Governing Bodies (PEFC NGBs) are independent, nationalorganisations established to develop and implement a PEFC system within their country.
A list of the PEFC NGBs and their contact details can be found at the PEFC website.
PEFC NGBs are often also the PEFC authorised body. See 3.8.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

1253.10 Reviewer
A person or a group of persons (e.g. a committee) that has not been involved in the audit
process and is assigned by the certification body to review all the information and results
related to the audit.
3.11 Technical expert
Person who provides specific knowledge or expertise to the audit team. The technicalexpert is not considered an auditor.

4. General requirements
The criteria against which the client organisation’s chain of custody is evaluated are those outlined in the latest version of the Chain of Custody standard and of
the PEFC Trademarks standard.
Note: The latest version of the Chain of Custody standard and the PEFC Trademarks standard, their amendments and corresponding transition periods, areavailable from the PEFC website www.pefc.org.
4.1 Legal and contractual matters
All the requirements given in clause 4.1 of ISO/IEC 17065:2012(E) apply.
4.1.1 Where the certification body makes use of the PEFC logo on the certification
document, or for any other purposes linked to the PEFC certification scheme, the use shall
only be carried out based on a valid licence issued by the PEFC Council or another entity
authorised by the PEFC Council, and in accordance with the PEFC Trademarks standard.
4.1.2 The certification body shall make clear to the client organisation that the PEFC logo
on the issued certificate only refers to the client organisation’s compliance with the PEFC
certification scheme and does not provide the client organisation with the right to use thePEFC trademarks.
Note: The client organisation with a valid PEFC chain of custody certificate can only use
the PEFC trademarks with a unique PEFC trademarks licence number for “on-product” aswell as “off-product” purposes, based on a PEFC trademarks usage licence contract
issued by the PEFC Council or another entity authorised by the PEFC Council and inaccordance with the PEFC Trademarks standard.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

126

4.2 Management of impartiality•

It is assumed that certification bodies do not to engage in corrupt
practices.

•

In the case where the certification body and the certified company
are based in different countries then both legislations areapplicable.

•

The requirement aims at considering any applicable legislation.

All the requirements given in clause 4.2 of ISO/IEC 17065:2012(E) apply.
4.3 Liability and financing
All the requirements given in clause 4.3 of ISO/IEC 17065:2012(E) apply.
4.4 Non-discriminatory conditions
All the requirements given in clause 4.4 of ISO/IEC 17065:2012(E) apply.
4.5 Confidentiality
All the requirements given in clause 4.5 of ISO/IEC 17065:2012(E) apply.
The certification body shall inform the client organisation that it is obliged to provide
information to the PEFC Council and/or a PEFC National Governing Body, and the range
and usage of information to be provided. The certification body shall have the writtenconsent of the client organisation for the information disclosed to the PEFC Council and/or
the PEFC National Governing Body. This written agreement shall be in compliance withany data protection legislation applicable in the countries in which the client organisationand the certification body are based.

- e.g., GDPR applies whenever an organisation is collecting
personal information of European citizens, independently on
where the organisation is based. If the accreditation body andthe certification body are based in two different and non-EU
countries, but are collecting information about EU citizens,
GDPR also applies.

4.6 Publicly available information
All the requirements given in clause 4.6 of ISO/IEC 17065:2012(E) apply.

5. Structural requirements
All the requirements given in clause 5 of ISO/IEC 17065:2012(E) apply.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

127

6. Resource requirements
6.1 Certification body personnel
6.1.1 General
All the requirements given in clause 6.1.1 of ISO/IEC 17065:2012(E) apply.
6.1.1.1 Personnel involved in the certification activities
6.1.1.1.1 The certification body shall ensure that all personnel carrying out the key
activities, such as contract review, auditing, granting of certification, monitoring of auditors,
etc. have the relevant and appropriate knowledge and competencies corresponding tothese activities.
6.1.1.1.2 Gender equality should be promoted.

• There are different ways to promote gender equality. Eachcertification body should document how they are going to do it. An
index can be an option to measure progress.

6.1.1.2 Auditors
The certification body shall have a documented process to ensure that auditors havepersonal attributes, knowledge and skills in accordance with clauses 7.1, 7.2.1, 7.2.2,
7.2.3.1, 7.2.3.2 and 7.2.3.4 of ISO 19011:2018.
6.1.1.2.1 Education
6.1.1.2.1.1 The certification body shall ensure that auditors have the knowledge
corresponding to at least a secondary education that includes or is supplemented withcourses related to forest and/or tree based and related industries where the auditor(s)conducts chain of custody audits.
Note: Secondary education is the part of the national education system that comes after
the primary or elementary stage, but that is completed prior to entrance to tertiary
education, e.g. university or similar educational institution.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

128

6.1.1.2.1.2 The specific education relating to forest and/or tree based and relatedindustries can be substituted by working experience in these sectors if the certificationbody can demonstrate it is equivalent to the required education.
Note: Forest and/or tree based and related industries include, for example, activities
relating to manufacturing, research, education, standards development, forest
industry/product associations, forest law and regulation, transport, distribution andrecycling or transport and storage of forest and/or tree based products.
6.1.1.2.2 Working experience
6.1.1.2.2.1 For a first qualification of an auditor, the certification body shall ensure that theauditor has a minimum of three years of full-time related working experience in the forest
and/or tree based and related industries.
Note: Forest and/or tree based and related industries include, for example, activities
relating to manufacturing, research, education, standards development, forest
industry/product associations, forest law and regulation, transport, distribution andrecycling or transport and storage of forest and tree based products.
6.1.1.2.2.2 The number of years of total work experience may be reduced by one year, if
the auditor has completed a tertiary education appropriate and relevant to forest and/or
tree based and related industries.

•

Tertiary education, is any level of education pursued beyond highschool, e.g., university, college

Note: Tertiary education, also referred to as third stage, third level, and post-secondary
education, is the educational level following the completion of a school providing asecondary education.
6.1.1.2.2.3 The number of years of total work experience may be reduced by one year if
the auditor has performed, as auditor-in-training, four chain of custody audits under theleadership of a qualified auditor, in addition to the chain of custody audits required as audit
experience under 6.1.1.2.5.1.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

129

6.1.1.2.3 PEFC chain of custody training•

A recognised Chain of Custody training entails: completing the fullinitial training provided by a recognized trainer, passing theknowledge test (80% pass mark) and receiving a certificate from
PEFC International/Council.

•

Status (freelance/employee) of the qualified auditor tasked toobserve the auditor-in-training is not relevant.

The certification body shall ensure that new auditors have received initial training on the
PEFC system and the Chain of Custody standard, that is recognised by the PEFC
Council.
Note: The PEFC website www.pefc.org provides further information on training options.
6.1.1.2.4 Audit training
The certification body shall ensure that auditors have successfully completed training inaudit techniques based on ISO 19011.
6.1.1.2.5 Audit experience
6.1.1.2.5.1 For a first qualification of an auditor, the certification body shall ensure that theauditor within the last three years has performed, as auditor-in-training, chain of custody
audits for at least four organisations under the leadership of a qualified auditor, including
at least two PEFC chain of custody audits. The number of chain of custody audits-intraining can be reduced to two PEFC chain of custody audits for auditors that are qualified
for chain of custody standards, ISO 9001 or ISO 14001 in forest and/or tree related
sectors.
6.1.1.2.6 Competencies
6.1.1.2.6.1 The certification body shall ensure that auditors demonstrate ability to apply
knowledge and skills in the following areas:a. The objectives and core processes of the PEFC system including the requirementsfrom the PEFC Sustainable Forest Management standard (PEFC ST 1003) coveredin the PEFC chain of custody definition of controversial sources, (PEFC ST 2002,
clause 3.6 paragraphs b, c, d and e).
b. Audit principles, procedures and techniques (see 7.2.3.2.a of ISO 19011:2018): toenable the auditor to apply those appropriate to different audits and ensure that
audits are conducted in a consistent and systematic manner.
c.

Organisation situations (see 7.2.3.2.c of ISO 19011:2018), including organisationalsize, structure, functions and relationships, general business processes and related

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

130

terminology, and cultural and social customs such as knowledge of the clientorganisation working language, or language that the certification body and client canagree on: to enable the auditor to comprehend the organisation’s operational context.
d. Applicable international legislation and country specific forest governance and law
enforcement system relevant to forest and tree based raw material procurement andavoidance of raw material from controversial sources: to enable the auditor tocomprehend the client organisation’s contractual relationships with suppliers andevaluate the client organisation’s procedures for avoidance of raw material fromcontroversial sources. Knowledge and understanding of this area shall cover:i. contracts and agreements, including labour contracts and or collective
bargaining agreements
ii. forest governance and law enforcement system of countries of the uncertified
raw material origin, including those covering social, health and safety issues ofworkersiii. international conventions relating to worker rights (ILO core conventions)iv. international treaties and conventions relating to the trade of forest and tree
based products
6.1.1.2.6.2 The certification body shall ensure that auditors demonstrate ability to apply
terminology, knowledge, understanding and skills in the following areas of the PEFC chainof custody:
a. principles and requirements of the Chain of Custody standard (PEFC ST 2002)
b. products (including non-wood forest products and products from recycled material),
processes and practices in the specific sector, applied raw material flow,
measurements and control measuresc.

the application of management systems to forest and tree based and relatedindustries and interaction between their components

d. information systems and technology for authorisation, security, distribution andcontrol of documents, data and records
e. application of PEFC trademarks and other product labels and claims

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

131

f.

application of the measures to avoid procurement of raw material from controversial
sources, including the relevant risk assessment methodology and indicators

g. social, health and safety requirements
6.1.1.2.6.3 The certification body shall maintain evidence of annual monitoring of chain ofcustody auditors, applying methods such as reviewing audit reports or client organisations’
feedback, etc. based on the frequency of their usage and the level of risk linked to theiractivities, and periodic witness audits.
In particular, the certification body shall review the competence of its personnel in the lightof their performance in order to identify training needs.
6.1.1.3 Audit team
The audit team shall comprise auditor(s) fulfilling the requirements defined in 6.1.1.2 andgender balance should be considered.
6.1.1.3.1 Technical experts
In some cases, technical experts may be required to support the required auditor
competency in a particular technical area by providing appropriate technical expertise.
Technical experts shall be independent from the auditee, and their names and affiliations
shall be included in the audit report.
6.1.1.4 Reviewer and certification decision maker
The certification body shall ensure that the reviewer and the certification decision makermeet the following requirements. If the reviewer and/or the certification decision maker arecomposed by a group of people, at least one of the members meets the following
requirements.
Note: The reviewer and the certification decision maker can be the same person. Seenote to clause 7.6.2 of ISO/IEC 17065:2012(E).
6.1.1.4.1 Education

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

132

6.1.1.4.1.1 The certification body shall ensure that the reviewer and certification decision
maker have the knowledge corresponding to at least a secondary education that includes
or is supplemented with courses related to forest and/or tree based and related industries.

•

Secondary education is the second stage traditionally found informal education, beginning about age 11 to 13 and ending usuallyat age 15 to 18 e.g., high school.

Note: Secondary education is the part of the national education system that comes after
the primary or elementary stage, but that is completed prior to entrance to tertiary
education, e.g. university or similar educational institution.
6.1.1.4.1.2 The specific education relating to forest and/or tree based and relatedindustries can be substituted by working experience in these sectors if the certificationbody can demonstrate it is equivalent to the required education.
Note: Forest and/or tree based and related industries include, for example, activities
relating to manufacturing, research, education, standards development, forest
industry/product associations, forest law and regulation, transport, distribution andrecycling or transport and storage of forest and tree based products.
6.1.1.4.2 Working experience
6.1.1.4.2.1 To qualify as a reviewer or certification decision maker, the certification bodyshall ensure a minimum of three years full-time related working experience in conformity
assessment.
6.1.1.4.2.2 The number of years of total work experience may be reduced by one year, if
the reviewer or certification decision maker has completed a tertiary education appropriate
and relevant to forest and/or tree based and related industries.
Note: Tertiary education, also referred to as third stage, third level, and post-secondary
education, is the educational level following the completion of a school providing asecondary education.
6.1.1.4.2.3 A qualified PEFC chain of custody auditor shall be considered as alreadymeeting the minimum working experience required.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

133

6.1.1.4.3 PEFC chain of custody training
The certification body shall ensure that the reviewer and certification decision maker havereceived initial training on the PEFC system and the Chain of Custody standard, that isrecognised by the PEFC Council.
Note: The PEFC website www.pefc.org provides further information on training options.
6.1.1.4.4 Audit training
The certification body shall ensure that the reviewer and certification decision maker havesuccessfully completed training in audit techniques based on ISO 19011.
6.1.1.4.5 Audit experience
6.1.1.4.5.1 For a first qualification of a reviewer or a certification decision maker, thecertification body shall ensure that the reviewer or certification decision maker, within thelast three years, have observed at least one PEFC chain of custody audit.
6.1.1.4.6 Competencies
6.1.1.4.6.1 The certification body shall ensure that the reviewer and certification decision
maker demonstrate ability to apply knowledge and skills in the following areas:a. The objectives and core processes of the PEFC system including the requirementsfrom the PEFC Sustainable Forest Management standard (PEFC ST 1003) coveredin the PEFC chain of custody definition of controversial sources, (PEFC ST 2002,
clause 3.6 paragraphs b, c, d and e).
b. Audit principles, procedures and techniques (see 7.2.3.2.a of ISO 19011:2018).
c.

Organisation situations (see 7.2.3.2.c of ISO 19011:2018), including organisationalsize, structure, functions and relationships, general business processes and related
terminology, and cultural and social customs.

d. Applicable international legislation and country specific forest governance and law
enforcement system relevant to forest and tree based raw material procurement andavoidance of raw material from controversial sources. Knowledge and understandingof this area shall cover:

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

134

i. contracts and agreements, including labour contracts and or collective
bargaining agreements
ii. forest governance and law enforcement system of countries of the uncertified
raw material origin, including those covering social, health and safety issues ofworkersiii. international conventions relating to worker rights (ILO core conventions)iv. international treaties and conventions relating to the trade of forest and tree
based products
6.1.2 Management of competence for personnel involved in the certification process
All the requirements given in clause 6.1.2 of ISO/IEC 17065:2012(E) apply.
6.1.2.1 The certification body shall ensure that qualified reviewers, certification decision
makers and auditors, every two calendar years, have participated in a refresher training in
chain of custody of forest and tree based products that is recognised by the PEFC
Council.

•

Participating means completing the full refresher training provided
by a recognized trainer, passing the knowledge test (80% passmark), and receiving a certificate from PEFC International.
Information on the different training programmes can be found on
the PEFC website.

•

The two PEFC chain of custody audits can be audits against asystem-specific chain of custody standard endorsed by PEFC
against PEFC ST 2002:2020. The list of standards endorsed by
PEFC against this version can be found in this document, as partof the guidance provided to definition 3.26, PEFC Chain of
Custody.

Note: The PEFC website www.pefc.org provides further information on training options.
6.1.2.2 When there is a new issuance of the Chain of Custody standard or/and the PEFC
Trademarks standard, the certification body shall ensure that qualified reviewers,
certification decision makers and auditors have participated in refresher training
recognised by the PEFC Council that covers the new version of the standards, before
starting operating against them.
Note: The PEFC website www.pefc.org provides further information on training options.
6.1.2.3 For maintaining the qualification of the auditor, the certification body shall ensurethat the auditor has performed a minimum of five external audits in chain of custody
standards, ISO 9001 or ISO 14001 in forest and/or tree based and related sectors per
year, where the sum of these audits should cover at least seven days of audit work,
including at least two PEFC chain of custody audits.
Note: The seven days of audit work may include reporting time.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

135

6.1.2.4 In exceptional circumstances, such as statutory leave or long term illness, auditors
unable to comply with 6.1.2.3 shall perform at least two PEFC chain of custody audits
under the leadership of a qualified auditor.
6.1.2.5 Reviewers and certification decision makers shall observe at least one PEFC
chain of custody audit per calendar year.
6.1.3 Contract with the personnel
All the requirements given in clause 6.1.2 of ISO/IEC 17065:2012(E) apply.
6.2 Resources for evaluation
All the requirements given in clause 6.2 of ISO/IEC 17065:2012(E) apply.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use136

7. Process requirements
7.1 General•

Certification bodies should have feedback mechanisms available forstakeholders relevant for the certified organisation as part of thecertification process.

•

The certification body should have in place mechanisms to identify
companies (including the client organisation) sanctioned forengagement in corrupt practices relevant to the forest sector.

All the requirements given in clause 7.1 of ISO/IEC 17065:2012(E) apply.

7.1.1 Additionally to ISO/IEC 17065:2012(E) clause 7.1.3, the certification body may
provide publicly available documents, such as guidance, clarifications, andinterpretations published by the PEFC Council or a PEFC National Governing Body.
7.2 Application
All the requirements given in clause 7.2 of ISO/IEC 17065:2012(E) apply.
7.2.1 The certification body shall obtain from the client organisation, as a minimum, thefollowing information and documentation as a part of the application for certification:a) corporate entity, name, address and legal statusb) documented procedures of the client organisation as defined in the Chain of
Custody standardc) descriptive identification of the products covered by the PEFC chain of custody
sufficient to identify product groupsd) sites covered by the PEFC chain of custody in the case of multi-site certification (asdefined in the Chain of Custody standard)
Note: The information does not have to be obtained at the moment of first contact withthe client organisation, but at least before activities under clauses 7.3 and 7.4 are carriedout.
7.2.2 The certification body shall obtain from the client organisation, as a minimum, for
products covered by the PEFC chain of custody, the following information relating to theapplication of the optional requirements of the Chain of Custody standard, for each site
and/or product group as applicable:a) chain of custody method

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use137b) intended application of the PEFC trademarks
Note: The information does not have to be obtained at the moment of first contact withthe client organisation, but at least before activities under clauses 7.3 and 7.4 are carriedout.
7.2.3 The certification body shall obtain from the client organisation sufficient information
to assess if the application is to be treated as a transfer of certification instead of a new
application. See also requirement 7.4.10.
7.3 Application review
All the requirements given in clause 7.3 of ISO/IEC 17065:2012(E) apply.
7.3.1 The certification body shall carry out a review of the client organisation’s
documentation (see 7.2.1 b) prior to the audit, to determine the conformity of the
documentation with the certification criteria.

•

The certification body should have in place mechanisms to identify
companies (including the client organisation) sanctioned forengagement in corrupt practices relevant to the forest sector.

7.4 Audit
All the requirements given in clause 7.4 of ISO/IEC 17065:2012(E) apply.
7.4.1 The certification body shall have documented procedures to ensure that an audit
plan is established for each audit, to provide a basis for agreement regarding the
conduct and scheduling of the audit activities. The audit plan shall be communicated andthe dates of the audit shall be agreed upon in advance with the client organisation.
Note: Guidance for preparing the audit plan is provided by ISO 19011:2018, clause
6.3.2.
7.4.2 In the case of multi-site certification, the audit plan shall list the sites to be visitedas part of the sample. The certification body shall refer to the normative Appendix 3.
7.4.3 The certification body shall have documented procedures for selecting andappointing the audit team, including the audit team leader.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use138

Note: Guidance for selecting the audit team and audit team leader is provided by ISO
19011:2018, clauses 5.5.4.
7.4.4 The purpose of the audit is to:•During the audit, it is to be understood that the auditor checks thebalance between the material received and the material sold. See
also guidance to 6, Chain of custody method, under chapter 4 of thisguidance.

•

Example of data that is required to be collected:a) Determine the conformity of the client organisation’s:i. chain of custody process with the requirements of the Chain of Custody standard
and its effective implementation
ii. management system with the requirements of the Chain of Custody standard andits effective implementation- company name- contact pointiii. chain of custody process with requirements for the avoidance of procuring raw
material from controversial sources where applicable (PEFC DDS requirements)
and its effective implementation- email address- company turnoveriv. usage of the PEFC trademarks with the PEFC Trademarks standard and its
effective implementation and that the trademarks licence contract, which shall besigned between the client organisation and the PEFC Council or a PEFC
authorised body in order for the client organisation to be allowed to use the PEFC
trademarks, is valid- Chain of custody method- products covered by the certificate, according to PEFC productcategories- when the species defined the product, also the species or
potential species that the product may include

Note: The usage of the PEFC trademarks and PEFC claims is to be evaluated at thetime of the surveillance and recertification audits. At initial audits, any proposed orintended use of the PEFC trademarks and PEFC claims is to be evaluated.

- if more than one site, address, and contact point for each site, andchain of custody methods and product groups specified by siteb) Collect data as required by the PEFC notification contract.
7.4.5 The certification body shall conduct the audit following the relevant guidance
provided in ISO 19011:2018, clause 6.4. In general, audits (initial, surveillance andrecertification) shall be conducted on-site, except in those cases where requirements
7.4.6 or 7.9.2 of this standard apply, where certification bodies may decide to conduct
remote audits.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use•

The certification body should also consider stakeholder
consultation to collect information relevant to the audit objectives,
scope and criteria as required by ISO 19011:2018, clause 6.4.6

139

7.4.6 For client organisations that operate without physical possession, audits may be
conducted remotely with the use of ICT tools in accordance with IAF MD 4. The
certification body shall demonstrate that the full scope of the audit can be covered using
ICT tools.

•

When conducting audits against more than one certification system
in one go, the minimum four-hour audit for PEFC purposes remains
in place, increasing those four hours accordingly to cover the
additional systems.

Note 1: Client organisations that operate with physical possession but have not sold any
physical product with a PEFC claim since the previous audit, are not eligible to beaudited remotely according to this requirement.

•

Note 1: Regardless of whether the organisation sold any material
under claims, there are other aspects that still need to be audited.

Note 2: For cases where client organisations have not procured raw material and havenot sold any product with a PEFC claim since the last audit, requirement 7.9.2 of thisstandard may apply.
7.4.7 The certification body shall have documented procedures for determining audit
time, and for each client organisation the certification body shall determine, with input
from the audit team, the time needed to plan and accomplish a complete and effective
audit of the client organisation’s PEFC chain of custody. The audit time determined by
the certification body, and the justification for the determination, shall be recorded. The
minimum time for the on-site audit is four hours, this shall not include reporting activities,
unless under specific conditions where it can be justified and documented.
7.4.8 The certification body shall have documented procedures for sampling within theaudit in accordance with the guidance provided in ISO 19011:2018, A.6.
7.4.9 In determining the audit time and sampling within the audit, the certification bodyshall as a minimum, consider the following aspects:a) the requirements of the Chain of Custody standardb) size and complexity of the client organisation’s operations within the scope of thePEFC chain of custodyc) extent of supplies that could create a significant risk of procuring raw material fromcontroversial sourcesd) extent of PEFC trademarks usage activities

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

140e) any outsourcing of any activities included in the scope of the organisation’s chainof custodyf)

the results of any prior audits, including those of client organisation’s management
systemsg) number of sites and multi-site considerations
7.4.10 In the case of transfer of certification, the certification body shall operateaccording to ISO/IEC 17065 clause 7.4.5 and IAF MD2:2017.
7.4.11 The audit report shall include at least the information specified in Annex 4.

•

Editorial mistake “Annex 4” replace with “Appendix 4”•

Nonconformities that relate to an infringement of legislation should
be classified as a major nonconformity.

7.4.12 On request, the certification body shall send a copy of the audit report and othernecessary audit records requested by PEFC, in English language, to the PEFC Council
and/or a PEFC National Governing Body, in accordance with 4.5.
7.5 Review
All the requirements given in clause 7.5 of ISO/IEC 17065:2012(E) apply.
7.6 Certification decision
All the requirements given in clause 7.6 of ISO/IEC 17065:2012(E) apply.
7.6.1 Audit findings shall be classified as major nonconformities, minor nonconformities
and observations.
7.6.2 Before granting initial certification, as a minimum, major and minor nonconformities
shall be corrected and the corrective action(s) verified by the certification body.
7.6.3 Before granting recertification, as a minimum, major nonconformities shall becorrected and the corrective action(s) verified by the certification body.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

141

7.6.4 Major and minor nonconformities identified in the audits shall result in corrective
action(s) by the client organisation resolving the nonconformities. The corrective action
plan, including a timeframe, shall be reviewed and accepted by the certification body.
The time period for completion of the corrective action(s) for major nonconformities
identified in surveillance audits and their verification by the certification body shall follow
the rules of the certification body but not exceed three months. Corrective action(s) for
minor nonconformities identified during recertification and surveillance audits shall beverified no later than during the next audit.
7.7 Certification documentation
All the requirements given in clause 7.7 of ISO/IEC 17065:2012(E) apply.
7.7.1 The certification document shall include at least the following information:a) identification of the certification body•

The updated list of products covered under the scope of certain
certificate is published on the PEFC website.

b) name and address of the client organisation, and where applicable its sites/legal
entities, whose chain of custody is subject to certification
Note 1: The name and address of the client organisation may be the name and addressof a legal entity where no PEFC chain of custody activities are taking place (e.g. amailbox address). The name and address of the client organisation whose chain ofcustody is subject to certification shall be included on the certification document as well.
Note 2: In the case of PEFC chain of custody certification for specified projects, or‘project certification’ (refer to PEFC GD 2001, Annex 1), “name and address” refers to
the name and address of the controlling entity. The name of the project can be includedin the scope of the project certificate.
c) type of certificate (individual, multi-site or producer group)d) scope of the certification granted (see 7.7.2)e) the PEFC logo with the certification body’s PEFC trademarks licence numberf)accreditation mark of the accreditation body (including accreditation number whereapplicable)

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use142g) the date of granting, extending or renewing certification and the expiry date orrecertification due date (see 7.7.6). The effective date on a certification document
shall not be before the date of the certification decision
7.7.2 The scope of certification shall include the following information:a) reference to PEFC ST 2002, Chain of Custody of Forest and Tree Based Products– Requirements, and where relevant the national identification of this standard as
adopted by a PEFC endorsed national forest certification system
Note: The identification of the Chain of Custody standard shall refer to the version of the
Chain of Custody standard against which the audit was carried out and that was valid at
the time when the certification was granted.

•

For producer group certificates, it is mandatory to indicate thescope per participant, and date when the participants start to becertified.

•

When the species determined the product, e.g., if the scope of thecertificate is oak furniture, pine furniture would not be under thescope, species should also be reported to PEFC and listed as part ofthe certificate.

b) reference to PEFC ST 2001, PEFC Trademarks Rules – Requirements, and where
relevant the national identification of this standard as adopted by a PEFC endorsed
national forest certification system
Note: The identification of the PEFC Trademarks standard shall refer to the version of
the PEFC Trademarks standard against which the audit was carried out and that was
valid at the time when the certification was granted.
c) applied chain of custody methodd) products covered by the chain of custody, according to the PEFC productcategories
Note: In the case of PEFC chain of custody certification for specified projects, or ‘projectcertification’ (refer to PEFC GD 2001, Annex 1), the name of the project can be includedin the scope of the project certificate.
7.7.3 Where the scope of the certification is included in an appendix to the certificate, thecertificate shall include a reference to the appendix, and the appendix shall beconsidered as part of the certificate and be provided whenever the certificate isrequested.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

143

7.7.4 The number of the certificate shall be comprised, in this order, by: the abbreviationof the certification body name (the same abbreviation shall be used for any PEFC
certificates issued), followed by a dash (-), the abbreviation of the Chain of Custody
standard: PEFC-COC, followed by another dash (-), and the corresponding number
given by the certification body to the certificate.

•

According to requirement 7.7.4 of PEFC ST 2003:2020, the PEFC
certificate number contains four pieces of information: AAAAACCPEFC-COC-######(-#):
1. AAAAACC: The abbreviation of the certification body. "AAAAA" is avariable length upper-case abbreviation of the certification body thatissued the certificate. It only contains upper case English alphabet
characters (A-Z) without any spacing. "CC" is the ISO 3166 Alpha 2country code (https://www.iso.org/obp/ui/#search) used todifferentiate national certification body offices from their central
office. PEFC International will contact certification bodies to provide
them with an abbreviation and a timeframe to come back to theSecretariat in case of any challenges. The current abbreviations canbe found on the PEFC website in the certification body searchengine, under the certification body corresponding section.

Note: Two certification bodies cannot have the same abbreviation.

2. PEFC-COC
3. ######: The numeric identification of the certified entity.
4. (-#) Optionally, the numeric identification of the site for multi-siteand producer group certificates. The brackets () should not be
included in the certificate number, they are for indication only. For
example: XXXX-PEFC-COC-1111-01•

Regarding the numeric identification of the certified entity and of thesite (points 3 and 4 above) the participants of the WG agreed that:- It is up to the certification body to decide on the numeric
identification, in terms of length and digits, of the certified entityand also of the optional numeric identification of the site for multisite and producer group certificates.

•

For producer groups it is highly recommended to issue subcertificate numbers for each participant.

7.7.5 The certification body shall issue the certification document in English, any otherlanguage as appropriate and agreed upon working languages.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

144

7.7.6 The certification shall be granted for a maximum of five years.
7.7.7 Certification bodies shall immediately inform the relevant PEFC National
Governing Body, or the PEFC Council where the PEFC National Governing Body does
not exist, when certification is granted, suspended, terminated, withdrawn, its scope ischanged or any other changes affecting the certification or the information thatcertification bodies shall report to PEFC.
7.8 Directory of certified products
All the requirements given in clause 7.8 of ISO/IEC 17065:2012(E) apply.
7.9 Surveillance
All the requirements given in clause 7.9 of ISO/IEC 17065:2012(E) apply.
7.9.1 The surveillance audits shall be carried out annually. The certification body shallcarry out at least four surveillance audits before the expiry date of the certificate.
Note 1: Annually means once every twelve months, plus or minus three months.
Note 2: If the certificate is valid for less than five years, the number of surveillance audits
can be reduced accordingly.
7.9.2 The on-site surveillance audit may be replaced by other audit techniques, such as
documentation and records review, and the period between on-site surveillance audits
shall not exceed two years (plus three months) where:a) the certification body can justify that the audit techniques used deliver sufficientconfidence in the certified entity’s compliance with the certification criteria; andb) no nonconformity was raised during the previous initial, surveillance orrecertification audit; andc) the client organisation procurement does not include significant risk supplies; andPEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

145d) the client organisation provides the certification body with all the records required
to be kept by the Chain of Custody standard or a list of all the records that allow
the certification body to establish an independent sampling; ore) the submitted records provide sufficient evidence that the client organisation orclient organisation’s site has not procured raw material and has not sold any
product with a PEFC claim since the last audit.
7.10 Changes affecting certification
All the requirements given in clause 7.10 of ISO/IEC 17065:2012(E) apply.
7.11 Termination, reduction, suspension or withdrawal of certification
All the requirements given in clause 7.11 of ISO/IEC 17065:2012(E) apply.
7.11.1 If certification is terminated, suspended or withdrawn, the certification body shallinform the client organisation that any further use of PEFC trademarks and claims is notallowed. In case of suspension, the certification body shall monitor whether the client isin compliance.
7.12 Records
All the requirements given in clause 7.12 of ISO/IEC 17065:2012(E) apply.
7.13 Complaints and appeals•

In addition to surveillance audits, the certification body may conduct
additional short-notice audits in cases of substantiated concerns.

•

Definitions for complaints and appeals can be found on ISO/IEC
17000

•

As part of this notification, the certification body should provide
information about the actions that it intends to undertake, timeline,
and any other relevant information.

All the requirements given in clause 7.13 of ISO/IEC 17065:2012(E) apply.

7.13.1 The certification body shall notify the PEFC Council, within 30 days, of any
substantiated claims of noncompliance with certification requirements by clientorganisations, or complaints against client organisations it receives or about which it
becomes aware.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

146

7.13.2 The certification body shall provide the PEFC Council and the corresponding
PEFC National Governing Body with summary reports for resolved complaints andappeals against the PEFC certified client organisations received by the certification
body, including at minimum:•

This report should be provided on an annual basis.

a) identification of the appellant/ complainant (subject to disclosure)b) identification of the client organisationc) subject of the complaintd) summary of the complaint handling processe) outcome/resolution of the complaint

8. Management system requirements
8.1 Internal audits of the certification body
8.1.1 On request, the results of annual internal audits, limited to the performance ofPEFC chain of custody certification activities, shall be provided to the PEFC Council or
PEFC National Governing Body.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

147

Appendix 1 (normative): PEFC notification of certification bodies
The certification body operating the PEFC recognised chain of custody certification shallbe notified by the PEFC Council or other PEFC authorised body for the specific country
in which it operates.
The PEFC notification requires that the certification body shall have a valid accreditation
recognised by the PEFC Council (see Annex 2 of this document). The certification bodyshall provide the PEFC Council, or the relevant PEFC authorised body, with information
on granted certifications as specified by the PEFC Council or the relevant PEFC
authorised body.
Note: The information on granted certifications includes (but it is not limited to)
identification of theclient organisation, scope of the granted certifications and the client organisation’s
turnover where used for determination of the PEFC notification fee.
The PEFC notification may require the certification body to pay a PEFC notification fee
as specified by the PEFC Council or the relevant PEFC authorised body.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

148

Appendix 2 (normative): Accreditations accepted by the PEFC Council for PEFC notification
The PEFC Council requires that chain of custody certification shall be carried out bycertification bodies who are accredited by accreditation bodies that are signatories ofthe Multilateral Recognition Arrangement (MLA) for product certification of IAF or IAF’s
Regional Accreditation Groups such as European co-operation for Accreditation (EA),Inter American Accreditation Cooperation (IAAC), Asia Pacific Accreditation
Cooperation Incorporated (APAC), Southern African Development Community
Cooperation in Accreditation (SADCA), African Accreditation Cooperation (AFRAC) and
ARAB Accreditation Cooperation (ARAC).
The scope of the accreditation shall explicitly cover PEFC ST 2002, Chain of Custody ofForest and Tree Based Products – Requirements and PEFC ST 2001, PEFC
Trademarks Rules – Requirements in its valid version as presented at the PEFC
website www.pefc.org.
The scope of accreditation shall also explicitly state ISO/IEC 17065, PEFC ST 2003 andother requirements against which the certification body has been assessed.
The accreditation certificate shall be available in English and any other language, as
necessary.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

149

Appendix 3 (normative): Multi-site chain of custody certification
1. Introduction
1.1 This appendix is for the audit and certification of PEFC chain of custody in clientorganisations with a network of sites, to ensure that the audit provides adequate
confidence in the conformity of the client organisation’s chain of custody with the Chainof Custody standard across all sites listed in the scope of the certificate and that theaudit is practical and feasible in both economic and operative terms.
2. Eligibility criteria for the multi-site client organisation
2.1 Eligibility criteria for the multi-site client organisation, including definitions, areincluded in Appendix 2 to the Chain of Custody standard.
2.2 In addition to requirements of Appendix 2 to the Chain of Custody standard, themulti-site client organisation shall demonstrate its ability to collect and analyse data(including but not limited to items below) from all sites including the central office and its
authority over all sites and its authority to initiate change if required:a) chain of custody documentation and chain of custody changesb) management reviewc) complaintsd) evaluation of corrective actionse) internal audit planning and evaluation of the resultsf)different legal requirements in relation to the avoidance of raw material fromcontroversial sources

2.3 With reference to Appendix 2 of the Chain of Custody standard, a multi-site clientorganisation, which is established as a group of independent legal entities only for the
purpose of obtaining and maintaining chain of custody certification, shall only consist of
typically small enterprises.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

150

3. Eligibility criteria for the certification body
3.1 General
3.1.1 The certification body shall provide information to the client organisation about theeligibility criteria laid down herein and in Appendix 2 to the Chain of Custody standard
before starting the audit process, and should not proceed with the audit if any of theeligibility criteria for the multi-site organisation are not met. Before starting the audit
process, the certification body should inform the client organisation that the certificate
will not be issued if, during the audit, nonconformities in relation to these eligibility criteria
are found.
3.2 Contract review
3.2.1 The certification body’s procedures shall ensure that the initial contract review
identifies the complexity and scale of the activities covered by the chain of custodysubject to certification and any differences between sites as the basis for determining thelevel of sampling.
3.2.2 The certification body shall identify the central function of the client organisationthat is its contractual partner for the performance of the certification. The agreement
shall allow the certification body to carry out the certification activities at all sites of themulti-site client organisation.
3.2.3 The certification body shall analyse, in each individual case, to what extent sites ofan organisation have similar raw material flow that enables the chain of custody to be
applied in a similar manner. The similarity of the sites included in the multi-site clientorganisation shall be taken into consideration when applying the sampling procedures.
3.2.4 The certification body shall retain a record to demonstrate that the required
activities in 3.2.1, 3.2.2 and 3.2.3 have been implemented.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

151

3.3 Audit
3.3.1 The certification body shall have documented procedures to deal with audits under
its multi-site procedure. Such audit procedures, including documentation and records
review, on-site audits, etc., shall establish the way the certification body satisfies itself,inter alia, that the chain of custody requirements are actually applied to all the sites andthat all the criteria in the Chain of Custody standard, including its Appendix 2, are met.
3.3.2 If more than one audit team is involved in the audit of the network, the certificationbody shall designate a unique audit leader whose responsibility is to consolidate thefindings from all the audit teams and to produce a synthesis report.
3.4 Nonconformities
3.4.1 When nonconformities are found at any individual site, either through the clientorganisation’s internal auditing or from auditing by the certification body, an investigation
shall take place to determine whether the other sites may be affected. Therefore, thecertification body shall require the client organisation to review the nonconformities todetermine whether they indicate an overall chain of custody deficiency applicable to allsites or not. If they are found to do so, corrective action should be performed both at thecentral office and at the individual sites. If they are found not to do so, the clientorganisation shall be able to demonstrate to the certification body the justification for
limiting its follow-up action to the individual sites.
3.4.2 The certification body shall require evidence of these actions and may increase its
sampling frequency until it is satisfied that control is re-established.
3.4.3 For initial and recertification audits, at the time of the decision making process, if
any site has a nonconformity, certification shall be denied to the whole multi-site clientorganisation pending satisfactory corrective action.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

152

3.4.4 It shall not be admissible that, in order to overcome the obstacle raised by theexistence of a nonconformity raised by the certification body at a single site, the clientorganisation seeks to exclude from the scope the “problematic” site during thecertification process.
3.5 Certificates3.5.1 One single certificate shall be issued with the name and address of the central
office of the client organisation. A list of all the sites that the certificate relates to shall be
issued, either on the certificate itself or in an appendix or as otherwise referred to in thecertificate. The scope or other reference on the certificate shall make clear that thecertified activities are performed by the network of sites in the list. The appendix or otherreference is an integral part of the certificate and shall not be separated from thecertificate.
3.5.2 If the individual sites are applying different chain of custody methods, theapplication of the Chain of Custody standard shall be clearly stated in the certificate andany appendix for the individual sites.
3.5.3 A sub-certificate may be issued to the client organisation for each site covered by
the certification, on condition that it contains the same scope, or a sub-scope of that
scope, and includes a clear reference to the main certificate. The sub-certificate shall
include a statement saying “the validity of this certificate depends on the validity of themain certificate”. In cases where the sub-certificate includes also a sub-certificate
number, it shall be linked to the certificate number and be included in the certificate as
per 3.5.1.

•

For producer groups it is highly recommended to issue subcertificate numbers for each participant.

3.5.4 The certificate will be withdrawn in its entirety, if the central office or any of thesites does not/do not fulfil the necessary criteria for the maintaining of the certificate (see
3.2 above).

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

153

3.5.6 Additional sites may be added by the certification body to an existing certificate
between audits provided it is within the scope of the certificate. The number of sites that
may be added between audits is limited to 100% of the existing sites at the previous
audit. The following requirements shall be met:a) The certification body shall be informed by the client organisation in advance of theclient organisation’s desire to add new sites between audits to be covered by thechain of custody certificate and shall be provided with the number of sites.
b) The certification body shall obtain from the client organisation the chain of custody
procedures covering the additional sites, including the applied chain of custodymethod and the products covered by the chain of custody.
c) The certification body shall obtain the internal audit report for the site(s) being
considered for inclusion in the certificate.
d) The certification body shall review results of the internal audit and determine if
additional information is needed while considering the request of the clientorganisation.
e) Based on the result of the review in (d), the certification body shall determine if an
on-site audit of the additional site(s) is required or if the review as per (b), (c) and(d) shows sufficient evidence that the sites can be added.
f)

If an on-site audit is not required before adding the additional site(s) to the chain ofcustody certificate, these new site(s) shall be subject to on-site visit no later than
the next scheduled audit. The certification body may determine whether a sampleof the new sites is required based on chapter 4.

Note: For those cases where the standard allows remote audits (see requirement 7.4.6),
the on-site audit can be replaced by a remote audit.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use154

4. Sampling for on-site audits
4.1 Methodology
4.1.1 The certification body can apply sampling of sites for on-site audits where the site
sampling is appropriate to gain sufficient confidence in the compliance of the multi-siteclient organisation with the chain of custody requirements. The certification body shall beable to demonstrate its justification for the selection of sites for the on-site audits toensure that all differences across the sites and implementation of chain of custody havebeen assessed.
4.1.2 The sample shall be representative concerning differences in site processes andactivities that are subject to the chain of custody certification. The sample shall be
determined separately for sites using different chain of custody methods (physicalseparation, percentage or credit methods).
Note: “Determined separately” means that the sample is determined after the sites are
separated.
4.1.3 The sample shall be determined separately if sites were added between audits andno on-site audit was required (as per Appendix 3, subclause 3.5.6, paragraph e).
Note 1: “Determined separately” means that the sample is determined after the sites are
separated.
Note 2: Subclause 4.1.2 also applies to 4.1.3.
4.1.4 The sample should be partly selective based on the factors set out below andpartly non selective, and should result in a range of different sites being selected, without
excluding the random element of sampling.
4.1.5 At least 25% of the sample should be selected at random.
Note: In the context of risk based auditing, the selection of sites should avoid visiting
sites from the previous sample, unless it is justified by the identified risk. This may leadto sampling where less than 25% of the sample could be selected at random.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

155

4.1.6 Taking into account the criteria mentioned hereafter, the remainder of the sample
should be selected so that the differences among the sites selected over the period ofvalidity of the certificate is as large as possible.
4.1.7 The site selection criteria shall include among others the following aspects:a)results of internal audits or previous certification auditsb) records of complaints and other relevant aspects of corrective and preventive
actionc) significant variations in the size of the sites and in production processes of the sitesd) variations in the applied chain of custody methodse) modifications since the last certification auditf)geographical dispersiong)sites added since the last external audit

4.1.8 This selection does not have to be done at the start of the audit process. It can also
be done once the audit at the central office has been completed. In any case, the central
office shall be informed of the sites to be part of the sample. This can be on relatively
short notice, but should allow adequate time for preparation for the audit.
4.1.9 The central office shall be audited during every initial, surveillance andrecertification audit as a part of the sample.
4.2 Size of sample
4.2.1 The certification body shall have documented procedures for determining thesample to be taken when auditing sites as part of the audit and certification of a multi-siteclient organisation. This should take into account all the factors described in thisappendix.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

156

4.2.2 In the event that application of the certification body’s procedure results in asmaller sample than would result from the application of the guidance set out below, thecertification body shall record the reasons justifying this and demonstrate that it isoperating in accordance with its approved procedure.
4.2.3 The minimum number of sites to be visited per audit shall be for:-

Initial audits and sites added since the last audit where no on-site audit was
required (as per subclause 3.4.5, paragraph e): the square root of the total numberof sites, rounded up to the next whole number:y= √x
y = number of sites to be visited•

Editorial mistake:- a) Initial audits and sites added since the last audit where no onsite audit was required (as per subclause 3.5.6, paragraph e):…
- Note: For sites added since the last audit where no on-site audit
was required (as per subclause 3.5.6, paragraph e), the reduction
factors cannot be used.

x = total number of sites-

Surveillance audits: the square root of the total number of current sites reduced bya factor 0.6, rounded up to the next whole number:

y=0.6 √xy = number of sites to be visitedx = total number of sites-

Recertification audits: the square root of the number of current sites, rounded up to
the next whole number:y= √xWhere the central office did not receive any major nonconformities over the certification
cycle, the size of the sample could be reduced by a factor 0.8, rounded to the upper
whole number:
y=0.8 √xy = number of sites to be visitedx = total number of sites
Note: For sites added since the last audit where no on-site audit was required (as per
subclause 3.4.5, paragraph e), the reduction factors shall not be used.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

157

4.2.4 The size of sample shall be increased where the certification body’s risk analysis of
the activities covered by the multi-site client organisation subject to certification indicatesincreased risk due to factors like:a) size of the sites and number of employeesb) complexity and variations of raw material flow and chain of custody methodsc) variations in the application of chain of custody methods and definitions of the raw
material origind) level of risk of procurement of raw material from controversial sourcese) records of complaints and other relevant aspects of corrective and preventive
actionf)

any multinational aspectsg) results of internal and external auditsh) the type of multi-site (multi-site or producer group)
4.3 Audit times
4.3.1 The certification body shall be able to demonstrate its justification for the time spenton multi-site audits in terms of its overall policy for allocation of audit time.
4.3.2 The minimum audit time to spend for each individual site as a part of the initial,
surveillance and recertification audits is the same as for the audit defined in clause 7.4.7.
Reductions can be applied to take into account the clauses of the Chain of Custody
standard that are not relevant to sites and are only examined at the central office.
4.3.3 No reduction is permitted for the central office.

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

158

Appendix 4 (normative): Minimum content of audit reports
1. Front page
2. Description of client organisation
3. Description of client organisation’s PEFC chain of custody, including:c) management systemd) parts of the organisation and/or sitese) processes/activities including outsourcing
f)product groups and their products covered by the PEFC chain of custody, including
for each site and/or product group as applicable:
i. chain of custody methodii. intended application of the PEFC trademarks

4. Scope of the audita) applied certification criteria from ST 2002 and ST 2001, including for each productgroup and/or site as applicable:
i. chain of custody method
ii. the PEFC trademarks rulesiii. PEFC Due Diligence System requirementsb) sites visitedc) for remote audits:i. justification for conducting audit remotely
ii. applied techniques and their justificationd) for multi-site audits:i. calculation of the sample size according to clause Appendix 3, 3.2.3
ii. justification of the samplingiii. audited sites

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

159

5. Audit findingsa) presentation of findings demonstrating conformity or nonconformity to all theapplicable clauses of the certification requirementsb) issued corrective actions and time frames for reporting of corrective actions andclose-out•

The certification body is not obliged to include a “checklist” withall applicable requirements in the audit report, but therequirements where nonconformities were issued need to be
identified. It is up to certification body how to comply with thisnormative appendix.

c) evaluation of previously issued corrective actionsd) recommended certification decision

PEFC GD 2001:2022 – Chain of Custody and related standards – Guidance for Use

160

PEFC Council
ICC Building C1, Route de Pré-Bois 20, 1215 Geneva 15, Switzerland
t +41 22 799 45 40 f +41 22 799 45 50 e info@pefc.org www.pefc.org