Overview of

Certification Process and Procedures

Chain of Custody

FSC® Accredited - FSC-ACC-002

 Basic Process

• Application
• Pre-assessment visit (optional for COC)
• Audit – 5 year certificate
• Annual (usually) surveillance visits

FSC® Accredited - FSC-ACC-002

 Fundamental approach

• FSC Standards  Woodmark Checklist

• Main part of the process is an assessment
against the standard, using a checklist
• Standard– performance based
• Evaluation of systems, procedures, practices

FSC® Accredited - FSC-ACC-002

 Application

• Initial enquiry
• Guidance document and Application form goes
to applicant. If applicant wishes to proceed with
process, form completed with basic information.
• Information reviewed by Woodmark staff,
estimate given.
• contracts signed
• pre-assessment visit arranged if required and
Lead Auditor appointed.

FSC® Accredited - FSC-ACC-002

 Application

• Woodmark contact auditor

– Last report final
– Job instructions
– New report draft

• Confirm acceptance

• Contact client within 2 weeks

• Set up audit
– Refer to job sheet for timings (ideally within 4 weeks)
• Send audit plan to Company
– Let us know date or any queries

FSC® Accredited - FSC-ACC-002

 Pre-assessment
objectives

• Collect information about the company,

particularly if wishing to use Controlled Wood
standard
• Identification of chain of custody system to be
used
• Initial evaluation to identify probable non-
compliances and key issues
• Inform managers/organisation of requirements

FSC® Accredited - FSC-ACC-002

 Main Assessment
objectives

• Evaluate whether company meets FSC

applicable standards
• identify any non-compliances
Outputs:
• Report with objective evidence recorded against
each part of standard
• Record of non-compliances noted at audit
• Recommendation for certification (but this is
Woodmark decision)
FSC® Accredited - FSC-ACC-002
 Audit

– Opening meeting
– Audit of documents and records
– Audit of the site(s) and processes
– staff interviews
– Control of tracking and tracing
– Completion of checklists/standards
– Closing meeting

FSC® Accredited - FSC-ACC-002

 Reporting / outputs

• Main outputs are completed WM

standard/checklist and list of CARs
• Standard/checklist is the documented ‘guts’ of
the inspection
• Report is used for reviewing at Woodmark
• Woodmark may ask further questions
• Certification decision taken by Woodmark

FSC® Accredited - FSC-ACC-002

 Outcomes

• Cannot say at the end of an audit whether the

client has ‘passed or failed’.
• Process not finished – Woodmark review
• Potential Corrective Actions identified
• Final outcome will be issuance of certificate with
or without Corrective Actions, or Pre-conditions
to issuing a certificate.

FSC® Accredited - FSC-ACC-002

 Surveillances

• Evaluate against the standard, plus:

– Non compliances that remain outstanding after the
previous visit
– All issues raised as “observations” at the previous
visit
– Any changes to policy or management practices
– The implications of any changes to the scope of the
certificate
– Any management issues that might be affected by a
change of the FSC standard
– Use of the FSC Trademarks

FSC® Accredited - FSC-ACC-002