You are on page 1of 9

2017-05-26

Requirements for Certification Bodies operating Certification


against the PEFC International Chain of Custody Standard

PEFC ST 2003:2012 Second Edition

Questions and Answers

PEFC Council

World Trade Center 1, 10 Route de lAroport


CH-1215 Geneva, Switzerland
Tel: +41 (0)22 799 45 40, Fax: +41 (0)22 799 45 50
E-mail: info@pefc.org, Web: www.pefc.org
PEFC Council 2015

Copyright notice
PEFC Council 2015
This PEFC Council document is copyright-protected by the PEFC Council. This document is freely
available from the PEFC Council website or upon request.
No part of this document covered by the copyright may be changed or amended, reproduced or
copied, in any form or by any means for commercial purposes without the permission of the PEFC
Council.
The only official version of this document is English. Translations of this document can be provided
by the PEFC Council or PEFC National Governing Bodies. In case of any doubt the English version
is binding.

PEFC ST 2003:2012 Second Edition, Questions and Answers 2


PEFC Council 2015

REFERENCE QUESTION ANSWER


General Do we need to apply the new The requirements are mandatory for all
requirements to all auditors or do auditors carrying out PEFC chain of
they apply only to auditors assessed custody audits.
after the issue date of the standard?
A few specific clarifications apply for the
existing auditor bas (auditors operating
before 16th July 2012 in PEFC chain of
custody audits).
General Can the existing auditor base be used The requirements are mandatory for all
under the new standard? auditors carrying out PEFC chain of
custody audits.

A few specific clarifications apply for the


existing auditor base (auditors operating
before 16th July 2012 in PEFC chain of
custody audits).
General Does PEFC ST 2003:2012 refer to PEFC For chain of custody auditors carrying out
GD 2001:2011 Section 2: Guidance project chain of custody certification PEFC
for the implementation of PEFC Chain ST 2003:2012 is a mandatory document as
of Custody for specified projects? In well.
other words - are we expected to
follow 2003:2012 for Project
Certification? If not then what is the
appropriate accreditation standard?
General Is there any intention from PEFC to Currently PEFC refers to IAF MD 2:2007
develop a certificate transfer (www.iaf.nu). Presumably PEFC will
procedure in the accreditation develop someday a PEFC specific version.
standard? Certificate migration is
becoming a quite frequent case and
currently the old certificate must be
terminated and new one issue by
succeeding Certification Body.
6.1.1.2.1 Education within forest based Strict handling for "new auditors" (as of
industries can be replaced by work 16th July 2012).
experience within these
sectors. Does auditing such industries The following clarification for the existing
equate to work experience? auditors (before 16th July 2012):
If the CB is using a procedure to identify
the aspects as defined in 6.1.1.2 of the
standard for individual auditors and can
deliver proof of evidence regarding the
competence of the auditor, the
accreditation body can accept these
auditors on a case by case decision. Such
a procedure can be used only, if one part
of the requirements is not met by the
auditor (education or working
experience).

PEFC ST 2003:2012, Questions and Answers 3


PEFC Council 2015

REFERENCE QUESTION ANSWER


6.1.1.2.1 Is it acceptable to consider the high Generally yes. It depends on the extent of
number of PEFC audits they already the auditing, the number of the audits.
have carried out as well as training The accreditation body has to decide on a
received by our CB on PEFC and FSC case by case basis whether the auditor or
auditing as sufficient evidence to rather his activities can be regarded as
demonstrate its equivalence to the equivalent. A full proof of the activities /
required education? track record shall be available.

FSC chain of custody experience can be


considered, but the auditors shall be
trained for PEFC specific aspects.
6.1.1.2.2 Could you please explain how PEFC Currently PEFC does not recognize any
could recognise our internal PEFC COC training program from PEFC external
education programme? organisations.
PEFC offers a "Training Recognition
Program" as of June 2014. This program
enables the participating CBs to
implement an internal training concept,
always limited to two years, recognized by
PEFC Council.

6.1.1.2.2 Also is it required to do this training Yes, training is required independent from
every two years regardless if PEFC a revision.
COC standard has changed or not?
6.1.1.2.2 Will PEFC Asia Promotions provide the PEFC International will offer trainings on a
training programs regularly? continuous basis and support regional or
national initiatives for offering trainings as
well.
6.1.1.2.2 Is there any way to save those who No. Since trainings will be offered
could not attend the program? (Such worldwide on a continuous basis the
as internal training by those who requirement is mandatory for everybody.
attended PEFCAP program) PEFC International will also provide online
training from October 2014 at the latest.
6.1.1.2.2 Attending to training is not always PEFC International will also provide online
possible for some people. They may training from October 2014 at the latest.
have funeral or things like that.
Therefore there must be a way for
these people to be trained. Things
like webinar may be a good tool.
Could you consider about it?

PEFC ST 2003:2012, Questions and Answers 4


PEFC Council 2015

REFERENCE QUESTION ANSWER


6.1.1.2.4 Requires full time experience the Strict handling for "new auditors" (as of
forest based industries. What is 16th July 2012).
meant by full time? Full time
employment or would for instance The following interpretation for the
being a consultant or an auditor also existing auditors (before 16th July 2012):
be acceptable. If auditing experience If the CB is using a procedure to identify
is acceptable, will this also apply to the aspects as defined in 6.1.1.2 of the
auditors that do by example 5 audits standard for individual auditors and can
in a year. deliver proof of evidence regarding the
competence of the auditor, the
accreditation body can accept these
auditors on a case by case decision. Such
a procedure can be used only, if one part
of the requirements is not met by the
auditor (education or working
experience).
6.1.1.2.4 What does a first qualification mean? Strict handling for "new auditors" (as of
Our CB has auditors that are ISO 16th July 2012).
14001 and 9001 auditors currently
but just starting out to be PEFC Chain The following interpretation for the
of Custody auditors. If they are existing auditors (before 16th July 2014):
already auditors of various other If the CB is using a procedure to identify
standards would that not mean that the aspects as defined in 6.1.1.2 of the
they are qualified? standard for individual auditors and can
deliver proof of evidence regarding the
competence of the auditor, the
accreditation body can accept these
auditors on a case by case decision. Such
a procedure can be used only, if one part
of the requirements is not met by the
auditor (education or working
experience).
6.1.1.2.4 Our CB has an instance where I Requirement 6.1.1.2.4 refers to a period
currently have an auditor in training of time and not to a number of audits.
in New Zealand and need to know if, Number of audits is relevant in 6.1.1.2.5
in your opinion, the requirement for 3 Audit experience. These two aspects
years of full time experience in forest work experience and audit experience
based and related industries has been have to be covered separately. How audit
met. The auditor has been involved as experience in ISO 9001 or ISO 14001 can
an observer on 3 Surveillance audits partly replace audit experience in chain of
and has participated as an auditor on custody is also described in 6.1.1.2.5. ISO
3 other surveillances for the AFS 4707 14001 and 9001 experience cannot fully
standard which is the Australian replace the required chain of custody
standard endorsed by PEFC. All these audit experience.
audits have been through XYZ. His
training to date was completed in
February of this year prior to the new
standard being released.

PEFC ST 2003:2012, Questions and Answers 5


PEFC Council 2015

REFERENCE QUESTION ANSWER


6.1.1.2.4 Finally I need to know how stringent PEFC is very stringent. Nevertheless, the
is PEFC going to be on the standard is using the wording "forest
requirement for an auditor to have a based and related industries". That means
minimum of 3 years of full time forest that pulp mills as well as printers are
based and related industries. I covered by the definition.
currently have a Chemical From specific experience results a
Engineer/P.Eng and an Economist restriction of the industries which can be
both certified as ISO 14001 auditors. covered by the auditor. Being qualified for
My P.Eng is also a Lead ISO 9001 a pulp mill does not mean being qualified
auditor while my Economist conducts for sawmills.
GHG verification audits as well. I find
it difficult to rationalize why a forestry
related background is needed for a
CoC in a pulp mill (better suited for a
chemical engineer) or a printer or a
recycler. These 2 auditors have
already started to do observation
audits with me while I have been
conducting PEFC ST audits. Again
training started prior to the new
standard release.
6.1.1.2.5 The wording of the original Basic purpose of the education and
requirement does not seem to experience requirements in PEFC ST 2003
exclude auditors experiences in FSC is to exclude "PEFC COC auditors by
or MSC audits. In fact, our CB is afraid occasion".
that we do not have enough number
of PEFC clients for our auditors to Nevertheless, PEFC recognizes that
satisfy this requirement and that experience in other chain of custody
other CBs may interpret that this standards is helpful to understand and
requirement does not exclude audit the PEFC Chain of Custody Standard.
auditors experiences in audits of
other certification schemes than Hence, experience in other chain of
PEFC, such as FSC, MSC, etc. custody standards can be accepted if the
auditor additionally can deliver proof of
evidence for participation in a PEFC
recognized training explicitly covering
- PEFC's DDS (chapter 5)
- PEFC's social, health and safety
requirements (chapter 9)
- Specification of the PEFC claims
(Appendix 1)
6.1.1.2.5 Is it possible to count FSC COC audits See above.
into the required minimum two
audits?

PEFC ST 2003:2012, Questions and Answers 6


PEFC Council 2015

REFERENCE QUESTION ANSWER


6.1.1.2.5 For regaining qualification to conduct Yes, a PEFC auditor has to perform two
PEFC-COC-Audits, for example after a audits under the leadership of a qualified
long illness or maternity leave, does a auditor.
PEFC-auditor has to perform two
audits under the leadership of a
qualified auditor, according to the
standard 2003:2012, indicator
6.1.1.2.5?

In our opinion it would be sufficient


he has to participate in an education
program to be up date, as required in
6.1.1.2.2. Since PEFC-auditor has got
working experience (in our case over
years) and it would be not in
proportion to compare him with a
beginner.
6.1.1.2.6.1 b) Auditor must show ability in cultural Language proficiency is a basic
and social customs of the precondition for the auditor, but it is not
client. Would language proficiency sufficient.
suffice? For the understanding of an
organisations operational context some
broader experience of the business
environment of an organisation is
necessary.
It's sufficient if the experience is available
by working with an audit team.

6.1.1.2.6.1 c) Knowledge and skills in the applicable The last statement is not correct. Bullet
legal requirements. This will have to point c explains why it is necessary to
be tailor made for each country and a have this knowledge!
CB will have to find a way to ensure
compliance with this. Not clear why No legal compliance audit required. The
auditors need to know legal requirement refers to chain of custody
requirements related to forest related issues (and the specific context).
governance. This is a huge field that E.g. relevant for risk assessment.
bears no relationship to CoC.
6.1.1.2.6.1 c) What is the purpose of the The auditor is expected to carry out the
requirement to have knowledge and DDS according to the PEFC Chain of
skills relating to forest governance Custody Standard. Some basic knowledge
and laws in countries where about forest governance and laws are
uncertified materials originate from? necessary, otherwise a correct DDS is
Is the auditor expected to make a hardly possible.
judgement on the legality of
uncertified material? And, if so, is the
auditor expected to communicate
their knowledge to the Certificate
Holder?

PEFC ST 2003:2012, Questions and Answers 7


PEFC Council 2015

REFERENCE QUESTION ANSWER


6.1.1.2.6.2 b) Knowledge and skills for products and This requirement shall be read in context
practices in the specific forest based especially with 6.1.1.2.1, 6.1.1.2.3,
sector. Would audit experience be 6.1.1.2.4, 6.1.1.2.5.
acceptable or do they need to have The sector specific context is clearly
work experience. If so, would this stated in the requirement.
have to be in the specific sector?
6.1.1.2.6.2 c) What management systems" are No reference to a specific management
referred to here? Not clear what is system.
required. It is required that the auditors understand
how management systems in general
work and how they are used in forest
based and related industries (e.g. 9001,
14001, lean, OHSAS).
7.2.1 Why the requirement 7.2.1 b) has PEFC expects that the CoC standard is
appeared in the accreditation fully implemented before the audit takes
standard? Most of companies from place.
timber and paper sector apply for
PEFC COC certification in the matter The following differentiation can be
of urgency without any extensive applied: the "request for a proposal" is
knowledge of PEFC ST 2002:2010 nor different from the formal application for
prepared documented PEFC COC certification. The application for
procedures/manual. By the time they certification may be include all steps
are being audited they gather all before the formal certification process
necessary knowledge, prepare starts. The points mentioned under 7.2.1
documents and train the key and 7.2.2 must be clarified/available
personnel. Please explain why the when the organization assigns the CB with
organisation is not able even to apply the certification audit.
without the documented system?
The main objective for PEFC is to prevent
that the CB does not start with the
certification process before the company
is properly prepared. If this would be the
case, there is a certain risk that the CB
starts with consulting and therewith a
potential conflict of interest occurs.
7.6.2 Is it not allowed to issue/reissue Yes. Same for Annex 3, 2.3.3.
certificate when any nonconformity,
even minor nonconformity, was
found in the course of initial
certification or re-certification?
7.7.2 b) In case of percentage based method No, just specify whether certified to
is it necessary to further specify physical separation or percentage based.
"average percentage" or "volume
credit"?
Annex 3 2.4.5 Is it possible that the client It requires surveillance/assessment
organisation performs internal audit activity prior to adding a new site to a
and add new sites between the multi-site certification. This could be on-
surveillances? site auditing, but also remote auditing
based on the records of the internal
auditing of the new site, for example.

PEFC ST 2003:2012, Questions and Answers 8


PEFC Council 2015

REFERENCE QUESTION ANSWER


What the CB choses depends on the CBs
own procedures. So, adding the new site
based only on an internal audit would not
be sufficient, as the
surveillance/assessment activity by the CB
would be missing, but an on-site audit is
not required neither.
Annex 3 2.4.5 Is it correct that new sites only can be It requires surveillance/assessment
added as a result of an audit and does activity prior to adding a new site to a
this also apply to groups? In case of multi-site certification. This could be on-
groups we have often a system were site auditing, but also remote auditing
the group management is adding new based on the records of the internal
sites without audit from the CB and auditing of the new site, for example.
the new sites are sampled in a What the CB choses depends on the CBs
separate stratum at next own procedures. So, adding the new site
surveillance. based only on an internal audit would not
be sufficient, as the
surveillance/assessment activity by the CB
would be missing, but an on-site audit is
not required neither.

PEFC ST 2003:2012, Questions and Answers 9

You might also like