chain of custody certification annual surveillance audit ... · ra-cert division headquarters 65...

RA-Cert Division Headquarters 65 Millet St. Suite 201

Richmond, VT 05477 USA Tel: +1 802-923-3737 Fax: +1 802-434-3116

www.rainforest-alliance.org

Audit Managed by:

United States Regional Office

65 Millet Street Richmond Vermont Tel: 646-863-8713

Fax: N/A Contact person: Laura St. Peter

Email: [email protected]

Rainforest Alliance is an FSC® accredited certifier

CoC-33 – 14 April 2017

Chain of Custody Certification Annual Surveillance Audit 2017

Report for:

CMPC USA, Inc. in

Atlanta, Georgia, USA

Report Finalized: November 13, 2017 Audit Dates: July 14, 25 & August 22,

2017 Audit Team: Laura St. Peter, Lead

Auditor Arturo Burgos, Auditor

Type of Certificate Single CoC

Certificate code(s): RA-COC-006998

Certificate issued: August 20, 2014 Report based on the following Standard(s):

FSC-STD-40-004 V3-0; FSC-STD-50-001 V1-2

Organization Contact: Danny Bagley Address: 1040 Crown Pointe Pkwy

Suite 800 Atlanta, Georgia 30338

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Table of Contents 1 INTRODUCTION ............................................................................................................................................ 3 2 AUDIT CONCLUSIONS ................................................................................................................................. 3 3 AUDIT PROCESS .......................................................................................................................................... 5 APPENDICES ......................................................................................................................................................... 7 Appendix A: ORGANIZATION DETAILS ............................................................................................................... 7 1 Contacts .......................................................................................................................................................... 7 2 Certificate Scope ............................................................................................................................................ 7 3 FSC Annual Administration Fee (AAF) ......................................................................................................... 11 4 Certification Schemes Organization is Verified Against ............................................................................... 11 Appendix B: AUDIT AND NONCONFORMANCE FINDINGS ............................................................................. 12 1 Audit Background ......................................................................................................................................... 12 2 Evaluation of Open Nonconformity Reports (NCRs) .................................................................................... 12 3 Volume Summary Data ................................................................................................................................ 13 Appendix C: STANDARD CHECKLIST (Chain of Custody FSC-STD-40-004 V3-0) ........................................... 14 Apéndice D: LISTADO DE VERIFICACIÓN DE ESTÁNDAR (Cadena de Custodia FSC-STD-40-004 V3-0)..... 25 Appendix E: STANDARD CHECKLIST (Trademark Use) ................................................................................... 36 Appendix F: CHECKLIST (Outsourcing FSC-STD-40-004 V3-0) ........................................................................ 40 Appendix G: LIST OF REPORT EXHIBITS ......................................................................................................... 44 Appendix H: CONVERSIONS .............................................................................................................................. 45

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1 INTRODUCTION The purpose of this report is to document conformance with the requirements of Forest Stewardship Council® (FSC®) Chain of Custody by CMPC USA, Inc., hereafter referred to as “Organization”. The report presents the findings of Rainforest Alliance auditors who have evaluated Organization systems and performance against the applicable standard(s). Section 2 below provides the audit conclusions and any necessary follow-up actions by the Organization through corrective action requests. Rainforest Alliance evaluation reports are kept confidential with the exception of Appendix A, section 2. This information is posted on FSC’s website and other relevant websites that post certificate details. The Rainforest Alliance founded its previous SmartWood program in 1989 to certify responsible forestry practices and has grown to provide a variety of auditing services. Rainforest Alliance certification and auditing services are managed and implemented within its RA-Cert Division. All related personnel responsible for audit design, evaluation, and certification/verification/validation decisions are under the purview of the RA-Cert Division, hereafter referred to as Rainforest Alliance or RA. Chain-of-custody refers to the complete systems and procedures that allow for the tracking of a forest product from the logs traded by a forest manager or broker, to primary or secondary processing, to the wholesalers or retailers who bring the final product to the marketplace. The Rainforest Alliance is accredited by the Forest Stewardship Council (FSC). FSC/Rainforest Alliance Certified organizations may purchase, process, and/or sell certified wood from other FSC-certified organizations. Dispute resolution: If Rainforest Alliance clients encounter organizations or individuals having concerns or comments about Rainforest Alliance and our services, these parties are strongly encouraged to contact the local Rainforest Alliance regional office or the RA-Cert Division headquarters directly. Formal complaints or concerns should be sent in writing.

2 AUDIT CONCLUSIONS

2.1 Auditor Recommendation and Certification Decision

Based on Organization’s conformance with Rainforest Alliance and FSC Chain of Custody requirements and the auditor recommendation, Rainforest Alliance makes the following recommendation:

Certification approved:

Upon acceptance of NCRs issued below

Certification not approved:

<Select One>

Additional comments and justification:

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2.2 Summary of NCRs and OBS

NCR Number (NCR XX/XX)

Status Standard Reference Timeline

01/17 OPEN FSC-STD-40-004 V3, Requirement 1.1b Next surveillance audit

01/16 CLOSED FSC-STD-40-004 V2-1; 5.2.2 N/A

01/15 CLOSED FSC-STD-40-004 V2-1; 12.1.1 FSC-DIR-40-004, Advice 40-004-01; 2.1

N/A

01/14 CLOSED FSC-STD-40-004 V2-1, section 1.2.1, and 10.1. FSC-DIR-40-004, ADV 40-004-08

N/A

Observation Number (OBS XX/XX)

Status Standard Reference Timeline

OBS 01/17 N/A FSC-STD-40-004 V3, Requirement 1.7 N/A

2.4 Nonconformity Reports (NCRs)

Note: NCRs describe evidence of Organization nonconformances identified during audits. NCRs include defined timelines for the Organization to demonstrate conformance. MAJOR NCRs issued during assessments/ reassessments shall be closed prior to issuance of certificate. MAJOR NCRs issued during surveillance audits shall be closed within timeline or result in suspension.

NCR#: 01/17 NC Classification: Major Minor x

Standard & Requirement: FSC-STD-40-004 V3, Requirement 1.1b

Report Section: Appendix C, Section 1.1

Description of Nonconformance and Related Evidence:

Organization has made some references to complaints procedures and timber legality procedures, however not all required elements the standard requires was included. See Exhibit A

Corrective Action Request: Organization shall implement corrective actions to demonstrate conformance with the requirement(s) referenced above.

Note: Effective corrective actions focus on addressing the specific occurrence described in evidence above, as well as the root cause to eliminate and prevent recurrence of the nonconformance.

Timeline for Conformance: By the next annual surveillance audit

NCR Evaluation Type On-site Desk Review

Evidence Provided by Organization:

PENDING

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Findings for Evaluation of Evidence:

PENDING

NCR Status: OPEN

Comments (optional):

2.5 Observations

Note: Observations are issued for the early stages of a problem which does not of itself constitute a nonconformance, but which the auditor considers may lead to a future nonconformance if not addressed by the organization; observations may lead to direct nonconformances if not addressed.

OBS 01/17 Reference Standard & Requirement: FSC-STD-40-004 V3, Requirement 1.7

Description of findings leading to observation: Organization has verbally committed to participate in transaction verification process, but does not have a documented procedures in place.

Observation: Organization should ensure they have a documented procedure for all applicable requirements of the standard.

2.6 Additional Notes on Audit Findings

Organization has a solid FSC CoC management system in place and all staff were very knowledgeable of the FSC CoC standard requirements. All requested paperwork was easy to locate and available for review.

2.7 Actions Taken by Organization Prior to Report Finalization

2.8 Notes for Next Audit

3 AUDIT PROCESS

3.1 Audit Team

Auditor(s) Qualifications

Laura St. Peter Laura St. Peter has been with Rainforest Alliance since 2011 and has completed the Forest Stewardship Council Lead Auditor Training Course and ISO 9001 Auditor training in October of 2012. She holds a Bachelor of Science degree in Environmental Studies from Bemidji State University. She is currently a Certification Services Associate, managing

COC-33 14Apr17

a portfolio of approximately 60 Chain of Custody clients across the United States, and is the FSC Trademark point of contact for North America.

Arturo Burgos Ingeniero Forestal con amplia experiencia en manejo de Plantaciones y en auditorias del sistema de certificación FSC, en Argentina, Colombia, Chile, Ecuador y Venezuela. Actual representante de Rainforest Alliance RA-Cert para Chile. Auditor líder ISO 14001.

3.2 Audit Overview

Note: The table below provides an overview of the audit scope and auditors. See standard checklist appendix for specific details on people interviewed and audit findings per site audited.

Site(s) Date(s) Length of Audit

CMPC USA, Inc., Oficinas Santiago de Chile. Agustinas 1343, P. 4, Santiago

14 de julio de 2017 4 horas

CMPC USA, Inc. Central Office (phone) August 22, 2017 1 hour prep

2 hour phone audit

4 hour report writing

3.3 Description of Overall Audit Process The auditor met with Danny Bagley, primary contact for CMPC USA via phone on August 22, 2017. Audit began with an opening meeting to review the audit plan. The audit process was described and a brief history of the Organization was given. After the opening meeting, auditor interviewed various staff about Organization's CoC procedures. A closing meeting was held to discuss the findings during the phone audit and to discuss the report review process. La auditoría de seguimiento se desarrolló en las siguientes etapas: -Reunión de inicio, esta se desarrolló con la presencia del responsable de la COC en CMPC USA, oficina en Santiago - Chile y personal relevante de la COC -Revisión del Plan de Auditoría. -Revisión del alcance del certificado, cambio de estándar, para ello se reviso su sistema documentado de control e implementación del estándar FSC-STD-40-004 V3-0. -En las entrevistas al personal de puestos críticos, se verifico la implementación de su sistema de control, a la vez se verificaron los siguientes documentos o registros: • Manual de COC de Cadena de Custodia, • Control del sistema de COC, Transferencia, • Registros de volúmenes adquiridos y stock, • Sistema de Facturación y Ventas -Reunión de Cierre; participaron el responsable y personal relevante de la COC, se indicaron los pasos hasta el cierre del proceso.

COC-33 14Apr17

APPENDICES Appendix A: ORGANIZATION DETAILS 1 Contacts

1.1 Primary Contact for Coordination with Rainforest Alliance

Primary Contact, Position: Danny Bagley, General Manager

Address: 1040 Crown Pointe Pkwy

Suite 800

Atlanta, Georgia 30338

Tel/Fax/Email: tel: (770) 551-2646

fax: (866) 402-8361

email: [email protected]

1.2 Billing Contact

Same as shown for 1.1

1.3 Online Certificate Contact

Note: upon certification, the FSC web site posts and maintains contact details as well as FSC product group and certificate scope information at www.info.fsc.org

Field Text Has this Info Changed? (N/A for Assessments)

Contact, Title: Same as 1.1 Yes No

Address: Yes No

Tel/Fax/Email: Yes No

Web site: http://www.cmpc.cl/ Yes No

1.4 Sales/Marketing Contact

Same as shown for Primary Contact

2 Certificate Scope

2.1 Scope Details:

Scope Item Check all that apply to the Certificate Scope Change in Scope

(N/A for Assessments)

http://www.info.fsc.org/

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Certificate Type: Single Multi-site Group

Approved Standards:

FSC-STD-40-004 V3; FSC-STD-50-001;

Primary Activity: Broker/trader without physical possession

Input Material Categories:

FSC 100% FSC Mix FSC Recycled

FSC CW

Controlled Material

Post-consumer Reclaimed

Pre-consumer Reclaimed

System for FSC Claims:

Transfer Percentage Credit

FSC Claims FSC 100% FSC Mix X% FSC Mix Credit

FSC Recycled X%

FSC Recycled Credit

FSC Controlled Wood

Controlled Wood Verification Program:

Low risk sources Sources with unspecified risk

New districts approved for controlled material inputs:

Outsourcing: FSC-certified Subcontractors Non-certified Subcontractors

Outsourcing of the complete production process

High risk subcontractor site(s) included

Trademark Use: FSC On-product Labeling

FSC Promotional RAC Seal

Specify FSC Product Groups added or removed:

Comments: Organization is being audited to FSC-STD-40-004 V3 with this audit

2.2 Number of Sites included in this Certificate: 1

2.3 Identify Sites that Qualify for Desk Audits (no physical possession): CMPC USA, Inc

2.4 Type of Legal Entity (of certificate holder): Corporation

2.5 Jurisdiction of Primary Legal Entity: Georgia

2.6 General Overview of the Organization:

CMPC USA is a broker/trader without physical possesstion that purchases products mainly from CMPC Maderas. CMPC USA distributes a majority of their product lines to large retailers, including Home Depot. CMPC Maderas and CMPC USA are indirect subsidiaries of Empresas CMPC S.A. corporation. CMPC Maderas has it's own CoC certificate with Rainforest Alliance and is included as a high-risk subcontractor on CMPC USA's certificate. CMPC USA handles all North American sales and CMPC Maderas handles all inventory, training, logistical planning, accounting, receipt verification, supplier verification and CoC document revision. Due to the extent of the activities outsourced to CMPC Maderas, this outsourcing relationship is considered high risk. Once an order is placed with CMPC USA, CMPC Maderas will invoice CMPC USA, then pull product from inventory and ship overseas to one of the 12 warehouses contracted out by CMPC USA. Eight of their 12 contracted warehouses keep inventory of CMPC product. The remaining 4 do not, and are therefore considered part of the transportation process. All products are labeled and bundled. No bundles are broken apart or mixed. The

COC-33 14Apr17

product will stay in the warehouse until a release order is given, at which point it is pulled and shipped to the final destination. At the 2014 Assessment, the auditor concluded that all subcontracted warehouses are low risk, and will therefore not need on-site visits in the future.

2.7 Details per Site:

Table 1: Site Details

Site

+ Legal Entity + FSC Identifier (if applicable)

Address

Tel/Fax/Email Type of Operation # of Workers

(Approximate)

Annual Turnover for

AAF (USD)

CMPC USA, Inc. See 1.1 above Broker without physical possession

12 in USA

20 in Chile

Class 6

Table 2: FSC Product Group Details

Site Inputs to FSC Product Groups FSC Product Groups

Product Type

(FSC-STD-40-004a)

CMPC USA- Atlanta, GA FSC Mix

Chemical pulp, bleached

FSC Mix

Pulpa de Celulosa Kraft blanqueada

P 1.3

FSC Mix

Chemical pulp, unbleached

FSC Mix

Pulpa de Celulosa Kraft No blanqueada

P 1.4

FSC Mix

Uncoated Paperboard

FSC Mix

Uncoated Paperboard

P 3.1

FSC Mix

Coated Paperboard

FSC Mix

Coated Paperboard

P 3.2

FSC Mix & FSC 100%

Wood Chips

Eucalyptus - Eucalyptus spp.

Radiata Pine - Pinus radiata

Slash Pine - Pinus elliottii

Loblolly Pine - Pinus taeda

FSC Mix & FSC 100%

Wood Chips

Species same as inputs

W 3.1

FSC Mix Impregnated/treated wood

Eucalyptus - Eucalyptus spp


FSC Mix Impregnated/treated wood


W4

FSC Mix

Solid Wood



FSC Mix

Solid Wood


W5

COC-33 14Apr17

FSC Mix

Solid Wood Boards



FSC Mix

Solid Wood Boards


W 5.2

FSC Mix

Raw Wood for Parquet Flooring



FSC Mix

Raw Wood for Parquet Flooring


W 5.7

FSC Mix

Finger Jointed Wood



FSC Mix

Finger Jointed Wood


W 9.1

FSC Mix Credit Glued Laminated Timber (GLULAM)



FSC Mix Credit Glued Laminated Timber (GLULAM)


W 9.6

FSC Mix

Laminboard



FSC Mix

Laminboard


W 8.1.1

FSC Mix & FSC 100%

Mouldings

Radiata Pine - Pinus radiata Slash pine - Pinus elliottii

Loblolly pine - Pinus taeda;

Caribbean Pine - Pinus caribaea;

Gregg’s Pine - Pinus greggii; Thinleaf pine - Pinus maximinoi; Eggcone pine - Pinus oocarpa;

Maritime Pine - Pinus pinaster;

Tecun Uman Pine- Pinus tecunumanii x Pinus caribaea var hondurensis

FSC Mix & FSC 100%

Mouldings


W 11.8

FSC Mix Frames



FSC Mix Frames


W 16.1

COC-33 14Apr17

In place of Table 2, product details are found in “CoC Annual Reporting”, Exhibit (Audits Only)

In place of Tables 1 and 2, Multi-site/Group details are found in “CoC Site Details” template, Exhibit

3 FSC Annual Administration Fee (AAF)

Note: The FSC Annual Administration Fee (AAF) is determined based on the Organizational and certificate structure per FSC-POL-20-005 “FSC Annual Administration Fee Policy”. Turnover includes all wood / wood fiber based products and is requested per site in Table 1 above to facilitate an accurate and consistent AAF for the certificate. The AAF is updated each year based on the current FSC AAF policy.

3.1 FSC AAF Type Category: Trader Single

3.2 FSC AAF Class:

Check Per Total Turnover

in Table 1

AAF Size Class

Annual Turnover ($USD)

Class 1 < 200,000

Class 2 200,000 – 1,000,000

Class 3 > 1 – 5 Million




Class 7 > 500 – 1,000 Million

Class 8 > 1,000 – 2,000 Million

Class 9 > 2,000 – 3,000 Million

Class 10 > 3,000 – 5,000 Million

Class 10 + > 5,000 Million

Group/Multi-site with Traders and Processors

Comments:

AAF size class has changed since last audit

Comments:

4 Certification Schemes Organization is Verified Against

None (in addition to FSC) ISO 9000 ISO 14000

PEFC SFI Other:

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Appendix B: AUDIT AND NONCONFORMANCE FINDINGS

1 Audit Background

1.1 Audit Period (Date Range Audit Covers): August 2016 - June 2017

1.2 Has the management system changed since the previous evaluation:

Note: if the management system has changed significantly a new “Evaluation of Management System” from the “Assessment Analyses” Appendix is required.

Yes No

If yes, briefly review the changes:

1.3 Have there been any complaints, disputes, or allegations of nonconformance with the standards raised against the Organization during the audit period:

Yes No

If yes, reference standard and criteria where corresponding findings are found in the report:

1.4 Has the organization sold any products with FSC claims since the previous evaluation?

Note: Answers of no shall be recorded within the FSC database.

Yes No

N/A (for assessments)

2 Evaluation of Open Nonconformity Reports (NCRs)

Note: this section indicates the Organization’s actions to comply with NCRs that have been issued during or since the last audit. Failure to comply with a minor NCR results in the NCR being upgraded to major; the specified follow-up action is required by the Organization or involuntary suspension will take place.

Status Categories Explanation

Closed Operation has successfully met the NCR.

Open Operation has either not met or has partially met the NCR.

Check if N/A (there are no open NCRs to review)

3 Volume Summary Data

Annual volume summary data shown in Exhibit D

Annual volume summary data presented using Rainforest Alliance “CoC Annual Reporting” template.

Annual volume summary data presented in a format prepared by the Organization (see below).

If the Organization has used its own format, the auditor shall confirm the following is included:

Date prepared 12-month audit period for volume data is used

INPUTS

Input data is presented per FSC product group with material category identified

Quantity received Quantity used for production

N/A

Quantity of inputs in stock at the time of preparation

N/A

Measurement Units

OUTPUTS

Output data is presented per FSC product group with 40-004a product type identified

Quantity of outputs in stock at the time of preparation

N/A

Quantity Sold Measurement Units

Comments and/or nonconformances found with volume summary:

Auditor confirmed that Organization prepared the annual volume summary shortly before their audit.

COC-33 14Apr17

Appendix C: STANDARD CHECKLIST (Chain of Custody FSC-STD-40-004 V3-0)

1 Evaluation of Site: CMPC USA, Atlanta Georgia - Phone audit

Primary Responsible Person:

(Responsible for control system at site(s))

Danny Bagley, General Manager

Terry Garcia

Auditor(s): Laura St. Peter

People Interviewed, Titles: Danny Bagley, General Manager (CMPC USA)

Terry Garcia, Logistics Manager (CMPC USA)

Monica Casanueva, International Sales Administration Manager (CMPC Maderas)

Allie, (CMPC Maderas)

Brief Overview of Audit Process for this Location:

See 3.3 above

Has Organization taken Physical Possession of FSC-certified Materials:

(Assessments without possession require notification to Rainforest Alliance as soon as FSC materials are on-site)

Yes No

N/A (for audits)

Has Site sold any products with FSC claims since the previous evaluation? Yes No

N/A (for assessments)

Comments:

2 FSC Sales

Type(s) of Customers for FSC Product Groups:

Broker/distributors Manufacturers Retailers Printers

End-users Other: Home Depot

Comments: The organization sells a majority of their product to large retail locations in the US (Home Depot).

3 Standard Checklist The following section summarises the Organisation’s compliance with FSC Chain of Custody (CoC) requirements. This checklist is directly based on the FSC CoC standard FSC-STD-40-004 Chain of Custody Certification V3 EN. FSC standard requirement numbers are identical with the checklist numbers below.

Part I: Universal Requirements

Standard Requirement Compliance

1. CoC management system

1.1 The organization shall implement and maintain a CoC management system adequate to its size and complexity to ensure its continuous conformity to all applicable certification requirements, including the following:

Yes No

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a) appoint a management representative who has overall responsibility and authority for the organization’s conformity to all applicable certification requirements;

b) implement and maintain up-to-date documented procedures covering the certification requirements applicable to the scope of the certificate;

c) define the key personnel responsible for the implementation of each procedure; d) train staff on the up-to-date version of the organization’s procedures to ensure their

competence in implementing the CoC management system; e) maintain complete and up-to-date records of the documents that are relevant to

demonstrate the organization’s conformity with all applicable certification requirements which shall be retained for a minimum period of five (5) years. At a minimum, the organization shall keep records of the following documents as applicable to the certificate scope: procedures, product group lists; training records; purchase and sales documents; material accounting records; annual volume summaries; trademark approvals; records of suppliers, complaints, and outsourcing; control of nonconforming products; verification program records for reclaimed material, and records related to a due diligence program for controlled material and FSC Controlled Wood.

[Exhibit required]

Findings: Auditor confirmed through interview with Danny Bagley and document review that Organization has implemented and maintained a CoC management system:

A.) Danny Bagley has been appointed as the management representative and has overall responsibility and authority for Organization's certification.

B.) Danny Bagley is responsible for maintaining Organization's CoC procedures, which cover most applicable certification requirements. Organization has made some references to complaints procedures and timber legality procedures, however not all required elements the standard requires was included. See NCR 01/17 andSee Exhibit A.

C.) Key personnel are described within Organization's procedures in Exhibit A.

D.) Danny Bagley trains staff who are involved in Organization's CoC processes at least once per year.

E.) Organization retains records for at least 5 years. All documents requested by the auditor were made available for review, including procedures, training records, purchase and sales documents, annual volume summaries, trademark approvals and outsourcing agreements. Organization did not receive any complaints during past audit period.

1.2 The organization shall apply the eligibility criteria specified in Part IV to define its eligibility for single, multisite, or group CoC certification

Yes No

Findings: The organization shall apply the eligibility criteria specified in Part IV to define its eligibility for single, multisite, or group CoC certification

1.3 The organization shall commit to the FSC values as defined in FSC-POL-01-004 by signing a self-declaration that the organization is not directly or indirectly involved in the following activities:

a) illegal logging or the trade in illegal wood or forest products; b) violation of traditional and human rights in forestry operations; c) destruction of high conservation values in forestry operations; d) significant conversion of forests to plantations or non-forest use; e) introduction of genetically modified organisms in forestry operations; f) violation of any of the ILO Core Conventions, as defined in the ILO Declaration on

Fundamental Principles and Rights at Work, 1998

Yes No

Findings: Auditor confirmed through interview and document review with Danny Bagley that Organization is committed to the values of FSC and has signed the self-declaration, which was viewed on site. Auditor did not observe any evidence contrary to the values of the FSC.

1.4 The organization shall commit to occupational health and safety (OHAS). At a minimum, the organization shall appoint an OHAS representative, establish and implement procedures adequate to its size and complexity, and train its staff on OHAS.

Yes No

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NOTE: Other certifications and enforcement of local legislation on OHAS that cover the elements required in Clause 1.4 may be used as evidence of conformity to this requirement (i.e. the organization may be considered as automatically meeting Clause 1.4.).

Findings: Auditor verified through interview that Organization has established health and safety procedures and they have a designated Safety Committee. Organization has a safe work environment policy, "common sense" measures are taken, lifting requirements are in place as well as OSHA requirements. All new hires go through a health and safety training during orientation. Annual training with biannual fire evacuation protocols are in place.

1.5 The organization shall ensure that complaints received regarding the organization’s conformity to the requirements applicable to the scope of the organization’s CoC certificate are adequately considered, including the following:

a) acknowledge receipt of the complaint to the complainant within two (2) weeks of receiving the complaint;

b) investigate the complaint and specify its proposed actions in response to the complaint within three (3) months. If more time is needed to complete the investigation, the complainant and the organization’s certification body shall be notified;

c) take appropriate actions with respect to complaints and any deficiencies found in processes that affect conformity to the certification requirements;

d) d. notify the complainant and the organization’s certification body when the complaint is considered to be successfully addressed and closed.

Yes No

Findings: Auditor confirmed through interview with Danny Bagley that organization ensures complaints received regarding their conformance to applicable standard requirements by implementing procedures. However, not all requirements in a - d above were documented in their procedures. See related findings in 1.1b above and related NCR 01/17. See Exhibit A

1.6 The organization shall have procedures in place to ensure that any non-conforming products are identified and controlled to prevent their unintended sale and delivery with FSC claims. Where non-conforming products are detected after they have been delivered, the organization shall undertake the following activities:

a) notify its certification body and all affected direct customers in writing within five business days of the non-conforming product identification, and maintain records of that notice;

b) analyse causes for occurrence of non-conforming products, and implement measures to prevent their reoccurrence;

c) cooperate with its certification body in order to allow the certification body to confirm that appropriate actions were taken to correct the non-conformity.

Yes No

Findings: Auditor confirmed through interview with Danny Bagley that Organization has procedures in place to deal with non-conforming products. See Exhibit A,

1.7 The organization shall support transaction verification conducted by its certification body and Accreditation Services International (ASI), by providing samples of FSC transaction data as requested by the certification body

Yes No

Findings: Auditor confirmed through interview with Danny Bagley that Organization will support and participate any transaction verificaiton conducted by Rainforest Alliance or ASI. See OBS 01/17


2. Material sourcing

2.1 The organization shall maintain up-to-date information about all suppliers who are supplying materials used for FSC product groups, including names, certification code (if applicable), and materials supplied.

Yes No

Findings: Auditor confirmed through interview with Danny Bagley and document review that Organization maintains information about all suppliers supplying materials used for FSC product groups. See Exhibit C

2.2 In order to confirm any changes that might affect the availability and authenticity of the supplied products, the organization shall regularly verify the validity and product groups

Yes No

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scope of the certificates of their active FSC-certified suppliers through the FSC certificate database (info. fsc.org).

NOTE: Other FSC platforms synchronized with the FSC certificate database (i.e. the trademark portal and the OCP) may support the organization’s conformity to this requirement by sending automatic notifications to the organization in the case of a change in the certificate scope of its suppliers.

Findings: Auditor confirmed through interview with Danny Bagley and document review that Organization checks the scope and validity of their FSC certifeid suppliers at least annually.

2.3 The organization shall have procedures in place to check the supplier’s sale and/or delivery documentation to confirm that:

a) the supplied material type and quantities are in conformity to the supplied documentation;

b) the FSC claim is specified; c) the supplier’s FSC Chain of Custody or FSC Controlled Wood code is quoted for material

supplied with FSC claims.

Yes No

Findings: Auditor confirmed through interview with Danny Bagley that supplier documentation is checked for a - c above. Auditor also confirmed this by reviewing procedures in Exhibit A and by sampling supplier invoices and delivery documentation, all which contained required information. Supplier invoices are not sent to the CMPC office in Atlanta. The verification of supplier invoices is done in Chile (CMPC Maderas). An item code/description is assigned for every material purchase specific to FSC. Upon receipt, responsible CMPC Maderas employees in Chile will check the PO against the supplier invoice for claim and code & description. Danny Bagley confirmed that he can obtain invoices through network support in Chile.

2.4 The organization shall ensure that only eligible inputs and the correct material categories are used in FSC product groups as defined in Table B.

Yes No

Findings: Auditor confirmed through interview with Danny Bagley and document review that Organization ensures only eligible inputs and correct material categories are using in Organization's FSC products.

2.5 Organizations sourcing non-FSC-certified reclaimed material for use in FSC product groups shall conform to the requirements of FSC-STD-40-007.

Yes No

N/A

Findings: Organization does not source reclaimed material.

2.6 Organizations sourcing non-FSC-certified virgin material for use in FSC product groups as controlled material shall conform to the requirements of FSC-STD-40-005.

Yes No

N/A

Findings: Organization does not source controlled material.

2.7 Organizations that reclaim materials from primary or secondary processing at their own site may classify the material as the same or lower material category as the input from which it was derived. Materials reclaimed from secondary processing may also be classified by the organization as pre-consumer reclaimed material, except materials that are discarded by a manufacturing process but that can be reused on site by being incorporated back into the same manufacturing process that generated it.

Yes No

N/A

Findings: Organization is a broker with no physical possession.

2.8 The organization may classify material held in stock at the time of the main evaluation by the certification body and material received between the date of the main evaluation and the issue date of the organization’s CoC certificate as eligible input, provided that the organization is able to demonstrate to the certification body that the materials meet the FSC material sourcing requirements.

Yes No

N/A

Findings: This is not a main assessment for organization.


COC-33 14Apr17

3. Material handling

3.1 In cases where there is risk of non-eligible inputs entering FSC product groups, the organization shall implement one or more of the following segregation methods:

a) physical separation of materials; b) temporal separation of materials; c) identification of materials.

Yes No

N/A

Findings: Auditor confirmed through interview with Danny Bagley and document review that Organization separate material by temporal separation. CMPC USA is a sales office and does not take physical possession of any product. Organization hires subcontracted warehouses to store material for them once it arrives at various ports throughout the US. It was confirmed during their 2014 assessment that these subcontracted warehouses have sufficient inventory management systems in place in order to keep the material segregated from other non-FSC material from other companies. Also, the material is packaged and labeled and in easily identifiable units.


4. FSC material and products records

4.1 For each product group or job order, the organization shall identify the main processing steps involving a change of material volume or weight and specify the conversion factor(s) for each processing step or, if not feasible, for the total processing steps. The organization shall have a consistent methodology for calculating conversion factor(s) and shall keep them up to date.

NOTE: Organizations that produce custom manufactured products are not required to specify conversion factors before manufacturing, but they shall maintain production records that enable conversion factors to be calculated.

Yes No

N/A

Findings: Organization does not transform the product.

4.2 The organization shall maintain up-to-date material accounting records (e.g. spreadsheets, production control software) of materials and products in the scope of the FSC certificate, including:

a) inputs: purchase document number, date, quantities, and material category including the percentage or credit claim (if applicable);

b) outputs: sales document number, date, product description, quantities, FSC claim, and applicable claim period or job order;

c) FSC percentage calculations and FSC credit accounts.

Yes No

Findings: Auditor confirmed through interview with Dan Bagley and document review that Organization has established a material accounting record in accordance with standard requirements. Auditor verified that the system ensures that quantities produced/sold are compatible with quantities of inputs and that requirements A - C are being met. The organization has an electronic tracking system in place that can be followed from the time of purchase to the end of a sale. Each job is linked throughout purchase, shipping, storage and sale with a specific PO #. Each FSC stock also has a unique item # that references in their system the stock name, supplier information, description of the product, and the material category of the product.

4.3 Organizations that are certified to FSC and other forestry certification schemes and that have inputs and outputs that simultaneously carry claims from these schemes shall demonstrate that the quantities of products are not inappropriately counted multiple times.

NOTE: This can be done by establishing a single accounting record for these materials which clearly identifies the quantities of materials and products and the respective certification claim(s) applied to outputs. When this is not possible, the organization should enable the certification body’s assessment of this requirement by other means.

Yes No

N/A

Findings: Organization is certified to PEFC standards, however have adequate measures in place to ensure material is not double counted. This is achieved by assigning a specific number to each order, so it is received against the certification scheme identifed in the order number.

COC-33 14Apr17

4.4 The organization shall prepare reports of annual volume summaries (in the measurement unit commonly used by the organization), covering the period since the previous reporting period, demonstrating that the quantities of output products sold with FSC claims are compatible with the quantities of inputs, any existing inventory, their associated output claims, and the conversion factor(s) by product group.

NOTE: Organizations that make custom manufactured products (e.g. woodworkers, building contractors, construction companies) may present the annual FSC summary reports as an overview of the job orders or construction projects instead of by product group.

[Exhibit required for Audits and Reassessments. In case of multi-sites, exhibits shall be collected for each site]

Yes No

Findings: Auditor confirmed through interview with Danny Bagley that Organization prepares reports of annual volume summaries, which demonstrates the quantities of output products sold with FSC claims are compatible with quanitities of inputs, including existing inventory, by product group. See Exhibit D, AVS


5. Sales

5.1 The organization shall ensure that sales documents (physical or electronic) issued for products sold with FSC claims include the following information:

a) name and contact details of the organization; b) information to identify the customer, such as name and address of the customer (except

for sales to end consumers); c) date when the document was issued; d) product name or description; e) quantity of products sold; f) the organization’s FSC certificate code associated to FSC-certified products and/ or FSC

Controlled Wood code associated to FSC Controlled Wood products; g) a clear indication of the FSC claim for each product item or the total products as specified

in Table C.

Yes No

Findings: Auditor verified through interview with and document review of a sampling of invoices that items a-g listed above were included on all invoices. All sales invoices include CMPC USA’s Atlanta office address. Assigned CMPC Maderas employees are responsible for invoicing CMPC USA clients. A packing list with the same information as required in 5.1 is created as well and is sent with the invoice. The BOL is sent by respective subcontracted warehouses and contains a delivery order number that can link to the invoice. The BOL does not include a claim or code as verified by the auditor through document review.

5.2 Organizations at the end of the supply chain selling FSC finished and labelled products (e.g. retailers, publishers) may omit the percentage or credit information in sales documentation (e.g. using “FSC Mix” claim only instead of “FSC Mix 70%” or “FSC Mix Credit”). In this case, however, this information is lost and subsequent organizations in the supply chain are not permitted to use or reinstate the percentage or credit information related to these products.

Yes No

N/A

Findings: Organization is aware of this requirement.

5.3 If the sales documentation issued by the organization is not included with the shipment of the product and this information is relevant for the customer to identify the product as being FSC certified, the related delivery documentation shall include the same information as required in Clause 5.1 and a reference linking it to the sales documentation.

Yes No

Findings: See related findings in 5.1 above.

5.4 The organization shall ensure that products sold with an FSC 100%, FSC Mix, or FSC Recycled claim on sales documentation do not carry any labels from other forestry certification schemes.

Yes No

COC-33 14Apr17

NOTE: FSC-certified product may simultaneously carry the FSC claim and the claim of other forestry certification schemes on sales and delivery documents, even if the product is FSC labelled.

Findings: Organization is aware of this requirement.

5.5 Organizations may identify products exclusively made of input materials from small or community producers by adding the following claim to sales documents: “From small or community forest producers”. This claim can be passed on along the supply chain by certificate holders.

Yes No

N/A

Findings: Organization does not use input materials from small or community producers.

5.6 The organization may only sell products with the ‘FSC Controlled Wood’ claim on sales and delivery documents if the products are raw or semi-finished products and the customer is FSC certified.

Yes No

N/A

Findings: Organization does not make FSC Controlled Wood claims.

5.7 If the organization is unable to include the FSC claim and/or certificate code in sales or delivery documents, the required information shall be provided to the customer through supplementary documentation (e.g. supplementary letters). In this case, the organization shall obtain permission from its certification body to implement supplementary documentation in accordance with the following criteria:

a) there shall exist clear information linking the supplementary documentation to the sales or delivery documents;

b) there is no risk that the customer will misinterpret which products are or are not FSC certified in the supplementary documentation;

c) where the sales documents contain multiple products with different FSC claims, each product shall be cross-referenced to the associated FSC claim provided in the supplementary documentation.

Yes No

N/A

Findings: Organization is able to fit all required FSC information on invoices and delivery documents.

5.8 Organizations that sell custom manufactured FSC products (e.g. woodworkers, building contractors, construction companies) that do not list the FSC-certified products on the invoice as required by Clause 5.1 may issue supplementary documents to the invoices issued for construction or other related services. The supplementary document shall include the following:

a) reference information sufficient to link the service invoice(s) to the supplementary document;

b) a list of the FSC-certified components used with the related quantities and FSC claims; c) the certificate code of the organization.

Yes No

N/A

Findings: Organization does not sell custom manufactured products.

5.9 The organization may opt to downgrade an FSC output claim as presented in Figure A. The FSC label shall correspond to the FSC claim made on sales documents, except in the case of retailers selling finished and labelled products to end-consumers.

NOTE: Products that are 100% made of reclaimed materials can only be claimed as FSC Recycled.

Yes No

N/A

Findings: Organization is aware of this requirement, but does not downgrade claims.


6. Compliance with timber legality legislation

6.1 The organization shall ensure that its FSC-certified products conform to all applicable timber legality legislation. At a minimum, the organization shall:

Yes No

COC-33 14Apr17

a) have procedures in place to ensure the import and/or export of FSC-certified products by the organization conform to all applicable trade and customs laws (if the organization exports and/or imports FSC products);

b) upon request, collect and provide information on species (common and scientific name) and country of harvest (or more specific location details if required by legislation) to direct customers and/or any FSC-certified organizations further down the supply chain that need this information to comply with timber legality legislation. The form and frequency of providing this information may be agreed upon between the organization and the requester; NOTE: If the organization does not possess the requested information on species and country of origin, the request shall be passed on to the upstream suppliers until the information can be obtained.

c) ensure that FSC-certified products containing pre-consumer reclaimed wood (except reclaimed paper) being sold to companies located in countries where timber legality legislation applies either:

i. only include pre-consumer reclaimed wood materials that conform to FSC Controlled Wood requirements in accordance with FSC-STD-40-005; or

ii. inform their customers about the presence of pre-consumer reclaimed wood in the product and support their due diligence system as required by applicable timber legality legislation.

NOTE: Organizations applying option c (i) above may apply the requirements for co-products outlined in FSC-STD-40-005.

Findings: Auditor confirmed through interview with Danny Bagley and document review that Organization has proceudres in place to ensure a - b above are met for any imported inputs or exported outputs of FSC certified products, c is not applicable. However, there are only some references to timber legality procedures, however not all required elements in a and b above were included. See related findigns in 1.1b above and NCR 01/17. See Exhibit A, addendum 13.

Part II: Control of FSC Claims

NOTE: Examples on the application of the product group and FSC control system requirements are provided in Annexes A and B, respectively.


7. Establishment of product groups for the control of FSC claims

7.1 The organization shall establish product groups for the purpose of controlling FSC output claims and labelling. Product groups shall be formed by one or more output products that:

a) belong to the same product type in accordance with FSC-STD-40-004a; b) are controlled according to the same FSC control system.

Yes No

Findings: Auditor confirmed through interview with Danny Bagley and document review that Organization has established product groups for controlling FSC output claims and labelling. This is maintained on their product group schedule in Exhibit B. Requirements a and b above are being met.

7.2 The following additional conditions apply for the establishment of product groups under the percentage and/or credit system:

a) all products shall have the same conversion factor. If not, they may still be grouped under the same product group, but the applicable conversion factors shall be applied to the corresponding products for the calculation of the amount of output products that can be sold with FSC percentage or FSC credit claims;

b) all products shall be made of the same input material (e.g. pine lumber) or same combination of input materials (e.g. a product group of veneered particle boards, where all products are made of a combination of particle board and veneer of equivalent species).

Yes No

N/A

COC-33 14Apr17

NOTE: An input material and/or species of wood of a product group may be substituted by another material and/or species provided that they are equivalent. Variations of material or product dimension or shape are accepted within the same product group. Different types of wood pulp are considered as equivalent input materials.

Findings: Organization operates on the transfer system.

7.3 The organization shall maintain an up-to-date list of product groups specifying for each:

a) the product type(s) of the output products in accordance with FSC-STD-40-004a; b) the applicable FSC claims for the outputs. The organization may also indicate products

that are eligible to carry the FSC Small and Community Label if the organization wants this information to be public in the FSC certificate database;

c) the species (including scientific and common names), where the species information designates the product characteristics.

[Exhibit required]

Yes No

Findings: Auditor verified through document review that Organization maintains a publically available product group schedule with the requirements a - c noted above. Species are included within their prouct group schedule, however are not a defining characteristic of their product groups when sold. See Exhibit B


8. Transfer system

Check if section is not applicable

8.1 For each product group, the organization shall specify claim periods or job orders for which a single FSC claim shall be made.

Yes No

Findings: Auditor verified through interview and document review that Organization operates on a per job order basis and ensures that a single FSC claim is made for each job order.

8.2 For claim periods or job orders in which inputs belong to a single material category carrying an identical FSC claim, the organization shall determine this to be the corresponding FSC claim for the outputs.

Yes No

N/A

Findings: Auditor verified through interview and document review that organization understands that inputs belonging to one material category use the corresponding FSC claim for the outputs.

8.3 For claim periods or job orders in which inputs of different material categories or associated percentage claims or credit claims are combined, the organization shall use the lowest FSC claim per input volume as the FSC claim for the outputs, as indicated in Table D.

Yes No

N/A

Findings: Auditor verified through interview and document review that organization understands that if different input material categories are used, the lowest FSC claim is used for outputs.


9. Percentage system



10. Credit system


Establishment of credit accounts

COC-33 14Apr17

Part III: Supplementary Requirements


11. FSC labelling requirements

Check if section is not applicable (Organisation does not, and does not plan to apply FSC labels)

11.1 The organization may apply the FSC label on FSC-certified products following the requirements specified in FSC-STD-50-001. The type of FSC label shall always correspond to the FSC claim made on sales documents, as specified in Table E.

Yes No

Findings: The organization has demonstrated that its CoC system is secure and that it ensures both criteria a) and b) are met for on-product labelling as verified through interview.

The product is labeled with CMPC Maderas' label, the submissions of which are handled under their own certification. CMPC USA has received trademark approvals for use of the on product label with CMPC USA's license code, however, this label will not be used until the CMPC Maderas labels have run out.

11.2 Only FSC products that are eligible for FSC labelling may be promoted with the FSC trademarks.

Yes No

Findings: Auditor confirmed thorugh interview with Jenn Cerecedes that only FSC products that are eligible for FSC labelling may be promoted with the FSC trademarks.

11.3 Products exclusively made of input materials from small and/or community producers are eligible to carry the FSC Small and Community Label.

Yes No

N/A

Findings:

12. Outsourcing

Check if Organization will not/ does not outsource processing/ handling for FSC product groups. See separate report checklist for outsourcing requirements and findings, if applicable.

Part IV: Eligibility Criteria for Single, Multisite, and Group CoC Certification


13. Eligibility for single CoC certification


13.1 An organization is eligible for single CoC certification if the scope of the certificate includes a single site or multiple sites (two or more sites) that conform to the following criteria:

a) one site under the scope of the single CoC certificate is: i. acting as the certificate holder; ii. responsible for invoicing of certified and non-certified materials or products covered

by the scope of the certificate to external clients; iii. controlling the use of the FSC Trademarks.

b) all sites under the scope of the single CoC certificate are: i. operating under a common ownership structure; ii. managed under direct control of the certificate holder; iii. in an exclusive business relationship with each other for the output materials or

products covered by the scope of the certificate; iv. located in the same country

Yes No

N/A

Findings: Auditor confirmed through interview that Organization meets the requirements of a single CoC certificate.

13.2 For single CoC certification, all sites included in the scope of certification shall conform to all applicable certification requirements specified in FSC-STD-40-004. The requirements specified in FSC-STD-40-003 do not apply.

Yes No

N/A

COC-33 14Apr17

NOTE: In this scenario, all applicable certification requirements as defined in FSC-STD-40-004 shall be evaluated by the certification body at all sites included in the scope of the certificate within each audit (i.e. no sampling applies).

Findings: Organization only has one location on this certificate.


14. Eligibility for multi-site CoC certification



15. Eligibility for group CoC certification


COC-33 14Apr17

Apéndice D: LISTADO DE VERIFICACIÓN DE ESTÁNDAR (Cadena de Custodia FSC-STD-40-004 V3-0)

1 Evaluación del Sitio: CMPC USA. INC., Santiago, Chile

Persona responsable principal: (Responsable por el sistema de

control en sitio(s))

Alejandra Pavón Turenne, Jefe Área Distribución Internacional

Auditor(es): Arturo Burgos

Personas entrevistadas, Cargos: Alejandra Pavón Turenne, Jefe Área Distribución Internacional

Mónica Casanueva, Jefa Administración ventas Internacional

Natalia Figueroa, Facturas y Control

Mario Figueroa, Ingeniero Planificación

Néstor Paz, Ingeniero Inventario

Camila Peña, Analista Planificación Inventario

Rubén Rodríguez, Jefe Área Gestión Certificada Industria

Darwin Morales, Encargado Certificación Maderas

Breve descripción del proceso de inspección en este Sitio:

Revisión del alcance del certificado, cambio de estándar, para ello se reviso su sistema documentado de control e implementación del estándar FSC-STD-40-004 V3-0. En las entrevistas al personal de puestos críticos, se verifico la implementación de su sistema de control, a la vez se verificaron los siguientes documentos o registros: • Manual de COC de Cadena de Custodia, • Control del sistema de COC, Transferencia, • Registros de volúmenes adquiridos y stock,

• Sistema de Facturación y ventas

¿La Organización ha Tomado Posesión Física de Materiales Certificados FSC?:

(Evaluaciones sin posesión requieren notificación a Rainforest Alliance tan pronto como los

materiales FSC estén en el sitio)

Sí No

N/A (para auditorías)

¿El Sitio ha vendido productos con declaraciones FSC desde la evaluación anterior? Sí No

N/A (para evaluaciones)

Comentarios:

2 Ventas FSC

Tipo(s) de clientes para grupos de Productos FSC:

Brokers/distribuidores Procesadores Minoristas

Consumidores finales Imprentas Otro:

Comentarios:

3 Listado de verificación del Estándar La siguiente sección resume el cumplimento de la Organización con los requerimientos del FSC para la certificación de Cadena de Custodia (CoC). Este listado de verificación está directamente basado en el Estándar de CoC FSC-STD-40-004 Estándar para la Certificación de Cadena de Custodia FSC V3-0. Los números de los requerimientos del estándar FSC son idénticos a los números del listado de verificación a continuación.

Parte I: Requerimientos Universales

Requerimiento del Estándar Conformidad

COC-33 14Apr17

1. Sistema de Manejo de la CoC

1.1 La organización deberá implementar y mantener un sistema de manejo de la CoC que sea adecuado a su tamaño y complejidad, para asegurar el cumplimiento continuo de todos los requerimientos de certificación aplicables, incluyendo los siguientes:

a) Designar a un representante administrativo que tenga la responsabilidad y autoridad total respecto al cumplimiento de la organización con todos los requerimientos de certificación aplicables;

b) Implementar y mantener procedimientos documentados actualizados que cubran los requerimientos de certificación aplicables al alcance del certificado;

c) Definir al personal clave responsable de implementar cada uno de los procedimientos;

d) Capacitar al personal sobre la versión actualizada de los procedimientos de la organización para asegurar que sea competente en la implementación del sistema de manejo de la CoC;

e) Mantener registros completos y actualizados de los documentos que son relevantes para demostrar el cumplimiento de la organización con todos los requerimientos de certificación aplicables, los cuales deberán conservarse durante un período mínimo de cinco (5) años. Como mínimo, la organización deberá conservar los registros de los siguientes documentos, según apliquen al alcance del certificado: procedimientos, listados de grupos de productos, registros de capacitación; documentos de compras y ventas; registros de contabilidad de materiales; resúmenes anuales de volúmenes; aprobaciones de marcas registradas; registros de proveedores, quejas, y tercerización; control de productos no conformes; registros de programas de verificación para material reclamado, y registros relacionados con el programa de diligencia debida para material controlado y Madera Controlada FSC.

[Evidencia requerida]

Sí No

Hallazgos: La organización ha presentado su FSC Chain of Custody Manual General Requirements, CMPC USA Inc. “Manual CoC”, este describe los requerimientos aplicables a su alcance. Ha designado como responsable del sistema de Cadena de Custodia “CoC”, para Chile a Planning and Inventory Manager, quien posee la responsabilidad y autoridad para dar cumplimiento a todos los requerimientos del estándar. Este Manual CoC describe todos los requerimientos para dar cumplimiento al estándar, desde: adquisición del material hasta la venta de sus productos en el alcance, así como las especies, grupo de productos, sistema de control, control de volumen, facturación, salud y seguridad ocupacional “SySO”, ademas de cumplir con los valores del FSC.

A través de entrevistas a los responsables de los puntos críticos, se ha podido verificar que se han sido capacitado en relación a su función, de manera de cumplir con los requerimientos, se han revisado los registros de capacitación tanto al personal administrativo, así también se han verificado los registros contables de volumen, facturas de ventas, entre otros, los cuales se mantendrán por un periodo de 5 años ( ver punto 21del Manual CoC), estos son :

Ver Evidencia N°1, FSC Chain of Custody Manual General Requirements, CMPC USA Inc. “Manual CoC”

COC-33 14Apr17

1.2 La organización deberá aplicar los criterios de elegibilidad indicados en la Parte IV para definir su elegibilidad para la certificación CoC individual, multisitio, o grupal.

Sí No

Hallazgos: La organización ha aplicado los criterios de elegibilidad indicados en la parte IV, para certificación CoC Individual

1.3 La organización deberá comprometerse con los valores del FSC, tal y como están definidos en la política FSC-POL-01-004, mediante la firma de una auto declaración de que la organización no está directa o indirectamente involucrada en las siguientes actividades:

a) Tala ilegal o comercio de madera o productos forestales ilegales;

b) Violación de los derechos tradicionales y humanos en las operaciones forestales;

c) Destrucción de altos valores de conservación en las operaciones forestales;

d) Conversión significativa de bosques a plantaciones o a otros usos no forestales;

e) Introducción de organismos genéticamente modificados en las operaciones forestales;

f) Violación de cualquiera de los Convenios Fundamentales de la OIT, tal y como están definidos en la Declaración de la OIT sobre los Principios y Derechos Fundamentales en el Trabajo, 1998.

Sí No

Hallazgos: La organización ha presentado la auto declaracion firmadas (el 09 de marzo de 2015). En entrevista con el responsable y puestos críticos se ha podido validar su compromiso de cumplir los valores FSC, ademas no se ha evidenciado ninguna afectación con las actividades descritas en las letras a hasta la f.

1.4 La organización deberá comprometerse con la salud y la seguridad ocupacional (Normas OHAS). Como mínimo, la organización deberá nombrar a un representante para las normas OHAS, establecer e implementar procedimientos adecuados según su tamaño y complejidad, y capacitar a su personal sobre las normas OHAS.

Nota: Otras certificaciones y la aplicación de la legislación local en relación con la OHAS que cubran lo señalados en la Cláusula 1.4 pueden usarse como evidencia de la conformidad con este requerimiento (i.e., se podría considerar que la organización automáticamente cumple con la Cláusula 1.4).

Sí No

Hallazgos: La organización en temas de salud y seguridad está bajo el programa de seguridad del edificio y del comité parietario del edificio, para ello poseen un responsable por piso el cual es el Líder de evacuación (ademas se posee un reemplazo en caso de no estar), poseen un Plan de emergencias Edificio Corporativo Agustinas 1343 (versión 27-06-2017). En entrevistas con los puestos críticos y verificación de registros de capacitaciones se ha podido validar que el personal recibe instrucciones en caso de emergencias. En las oficinas de la organización, cuentan con diario mural del comité Parietario y elementos en caso de emergencias (primeros auxilio, como de incendios).

1.5 La organización deberá asegurar que los reclamos recibidos respecto a la conformidad de la organización con los requerimientos aplicables al alcance del certificado de CoC de la organización, sean tomadas en consideración de manera adecuada, incluyendo lo siguiente:

a) Confirmar al querellante la recepción de su reclamo dentro de dos (2) semanas luego de haber recibido el reclamo;

b) Investigar el reclamo y especificar sus acciones propuestas en respuesta al reclamo dentro de tres (3) meses. En caso de que se requiera de más tiempo para concluir la investigación, se deberá notificar al querellante y al certificador de la organización.

c) Tomar las acciones apropiadas con respecto a los reclamos y a toda deficiencia encontrada en los procesos que afecten el cumplimiento con los requerimientos de certificación;

d) Notificar al querellante y al certificador de la organización cuando se considere que el reclamo fue exitosamente atendido y cerrado.

Sí No

Hallazgos: La organización ha establecido en su Manual CoC, punto 16 el tratamiento en caso de reclamos. En entrevistas con responsables se ha validado que no hay reclamos relacionados al alcance del certificado.

1.6 La organización deberá tener en implementación procedimientos que aseguren que los productos no conformes sean identificados y controlados para evitar su venta o envío involuntario con declaraciones FSC. En caso se detecten productos no conformes después de haber sido entregados, la organización deberá realizar las siguientes actividades:

Sí No

COC-33 14Apr17

a) Dentro de los cinco días hábiles posteriores a la identificación del producto no conforme debe notificar por escrito a su certificador y a todos los clientes directos afectados, y conservar registros de dicha notificación;

b) Analizar las causas de la ocurrencia de productos no conformes, e implementar medidas para evitar que ocurra de nuevo;

c) Cooperar con su certificador con el fin de permitir que éste confirme que se tomaron las acciones apropiadas para corregir la no conformidad.

Hallazgos: La organización a aplicado su procedimiento de Producto No Conforme en el addendum n° 11, el cual cumple con requerimientos y ha documentado como a tratado el tema con RA USA, poseen mail de respaldo y carpeta con los antecedentes, se ha podido validar el procedimiento para este caso. La organización ha descrito su procedimiento de Producto No Conforme en el addendum n° 11. Ver Evidencia N° 2, Mail de Producto No Conforme

1.7 La organización deberá apoyar la verificación de transacciones, llevada a cabo por su certificador y por Accreditation Services International (ASI), mediante la entrega de muestras de datos de transacciones FSC, según lo requiera el certificador.

Sí No

Hallazgos: La organización ha presentado los documentos de compra y venta, las cuales están a disposición del cuerpo certificador como de ASI, en cualquier momento que se requiera.


2. Abastecimiento de Materiales

2.1 La organización deberá mantener información actualizada sobre todos los proveedores que están suministrando materiales utilizados en los grupos de productos FSC, incluyendo los nombres, código de certificación (si aplica) y materiales suministrados.

Sí No

Hallazgos: La organización mantiene la información actualizada de sus proveedores, donde incluye entre otros, suministro, nombres, código de certificación, los cuales se encuentran en los addendum 2 y 8 de su Manual CoC

2.2 Para confirmar cualquier cambio que pudiera afectar la disponibilidad y autenticidad de los productos suministrados, la organización deberá verificar periódicamente la validez y el alcance de los grupos de productos de los certificados de sus proveedores certificados FSC activos, mediante la base de datos de certificados FSC (http://info.fsc.org/).

Nota: Otras plataformas FSC sincronizadas con la base de datos de certificados FSC (i.e, el portal de marcas registradas y OCP) pueden ayudar al cumplimiento de la organización con este requerimiento, mediante el envío de notificaciones automáticas a la organización en el caso de algún cambio en el alcance del certificado de sus proveedores.

Sí No

Hallazgos: En entrevista a Camila Peña, se ha podido verificar el procedimiento y valides de los certificados como de su grupo de producto, esto esta descrito en punto 8.1.1 del Manual CoC.

2.3 La organización deberá implementar procedimientos para verificar la documentación de ventas y/o documentación de envío del proveedor, para confirmar que:

a) El tipo y cantidades de material suministrado correspondan a lo que especifica la documentación presentada;

b) La declaración FSC está especificada;

c) El código de Cadena de Custodia FSC o de Madera Controlada FSC del proveedor esté indicado para material suministrado con declaraciones FSC.

Sí No

Hallazgos: La organización ha establecido al responsable Billing and Control Deputy Manager, la verificación del proveedor en relación a los requerimientos de la documentación de venta y transporte, debiendo confirmar:

a) El tipo de material suministrado y las cantidades están conformes a la documentación presentada;

b) La declaración FSC está especificada;

c) el código de Cadena de Custodia FSC o de Madera Controlada FSC del proveedor aparece citado para material suministrado con declaraciones FSC.

Esto se ha validado en entrevista con el responsable y el Inventory Planning Engineer.

COC-33 14Apr17

2.4 La organización deberá asegurar que solo insumos elegibles y las categorías correctas de material se usen en grupos de productos FSC, como está definido en la Tabla B.

Sí No

Hallazgos: La organización ha establecido y se asegura que los insumos elegibles corresponden a FSC 100% y FSC Mixto Crédito, para su grupo de productos.

2.5 Las organizaciones que se abastecen de material reclamado no certificado FSC para uso en grupos de productos FSC deberán cumplir con los requerimientos del estándar FSC-STD-40-007.

Sí No

N/A

Hallazgos: La organización no se abastece de material recuperado

2.6 Las organizaciones que se abastecen de material virgen no certificado FSC para uso en grupos de productos FSC como material controlado, deberán cumplir con los requisitos del estándar FSC-STD-40-005.

Sí No

N/A

Hallazgos: La organización no se abastece de material virgen no certificado

2.7 Las organizaciones que reclaman materiales provenientes del procesamiento primario o secundario en su propio sitio, pueden clasificar el material como perteneciente a la misma categoría de material que el insumo del cual se generó, o a una categoría menor. La organización también puede clasificar los materiales reclamados de un procesamiento secundario como material reclamado pre-consumidor, a excepción de materiales que se descartan en un proceso de fabricación, pero que pueden reutilizarse en el sitio mediante su reincorporación al mismo proceso de fabricación que los generó.

Sí No

N/A

Hallazgos: La organización no recupera material

2.8 La organización puede clasificar como insumo elegible el material que tuviera en existencia al momento de la evaluación principal realizada por el certificador, así como el material recibido entre la fecha de la evaluación principal y la fecha de emisión del certificado de CoC de la organización, siempre y cuando la organización pueda demostrar al certificador que los materiales recibidos cumplen con los requerimientos del FSC.

Sí No

N/A

Hallazgos: La organización ya se encuentra certificada.


3. Manipulación de materiales

3.1 En los casos en los que existe riesgo de que insumos no elegibles entren a grupos de productos FSC, la organización deberá implementar uno o más de los siguientes métodos de segregación:

a) Separación física de materiales;

b) Separación temporal de materiales;

c) Identificación de materiales.

Sí No

N/A

Hallazgos: En el caso de Chile no existe manipulación de materiales, dado que se compra en buque o destino, CMPC USA si posee manipulación de ellos, se ve en proceso de auditoría de CMPC USA


4. Registros de materiales y productos FSC

4.1 Para cada grupo de productos u orden de producción, la organización deberá identificar las principales etapas del procesamiento que implican un cambio en el volumen o peso de los materiales, y especificar el(os) factor(es) de conversión para cada una de las etapas del procesamiento o, de no ser esto factible, para la totalidad de las etapas del procesamiento. La organización deberá tener una metodología consistente para calcular el(os) factores de conversión y deberá mantenerlos actualizados.

Nota: Las organizaciones que fabrican productos hechos a la medida no están obligadas a especificar los factores de conversión antes de la fabricación, pero deberán conservar registros de producción que permitan calcular los factores de conversión.

Sí No

N/A

COC-33 14Apr17

Hallazgos: La organización no realiza ningún tipo de procesamientos o cambio en sus productos (esto para Chile), solo compra y vende, no hay manipulación del producto.

4.2 La organización deberá mantener registros actualizados de la contabilidad (i.e., hojas de cálculo, programas de control de producción) de materiales y productos en el alcance del certificado FSC, incluyendo:

a) Insumos: número del documento de compra, fecha, cantidades y categoría del material, incluyendo la declaración de porcentaje o de crédito (si aplica);

b) Productos de salida: número del documento de venta, fecha, descripción del producto, cantidades, declaración FSC, y el correspondiente período de declaración u orden de producción;

c) Cálculos del porcentaje FSC y cuentas de crédito FSC.

Sí No

Hallazgos: La organización a través del sistema SAP, lleva un registro de todas las transacciones desde la compra hasta las ventas de sus productos. En este sistema se pueden ver lo relacionado con la compra de los materiales (facturas volúmenes proveedores, fechas, como está indicado en el punta a), así mismo para las salidas o ventas del producto. En el caso de la letra c esta no aplica dado que no hay cálculos de porcentaje ni cuenta de créditos.

4.3 Las organizaciones que están certificadas FSC y con otros esquemas de certificación forestal, y que tienen insumos y productos que llevan simultáneamente declaraciones de estos esquemas, deberán demostrar que las cantidades de productos no se contabilicen incorrectamente varias veces.

Nota: Esto se puede lograr estableciendo un registro contable único para estos materiales, que claramente identifique las cantidades de materiales y productos y sus respectivas declaraciones de certificación aplicadas a los productos de salida. En caso de que esto resulte imposible, la organización debería permitir que su certificador evalúe este requerimiento a través de otros medios.

Sí No

N/A

Hallazgos: La organización posee otro esquema aparte de FSC (PEFC), en todo caso al momento de generar una venta esta solo es con un solo esquema, en las verificaciones de los documentos de ventas se ha validado que estas parten con una orden de venta FSC y solo se incluye está en la venta afirme. Por lo que no hay una contabilización doble de material, ademas solo se lleva un sistema de transferencia donde los volúmenes de ingresos, son los de ventas y esto es verificable en el sistema y documentación.

4.4 La organización deberá preparar informes de los resúmenes anuales de volúmenes (en la unidad de medida que generalmente utiliza la organización), que cubran el período desde el anterior período de presentación de informes, demostrando que las cantidades de productos vendidos con declaraciones FSC son compatibles con las cantidades de insumos, con cualquier inventario existente, sus declaraciones de productos de salida asociadas, y con los factores de conversión por grupo de productos.

Nota: Las organizaciones que fabrican productos hechos a la medida (e.g., carpinteros, contratistas de obras, y constructoras), pueden presentar los informes de resúmenes FSC anuales como descripción general de las órdenes de producción o proyectos de construcción, en vez de por grupo de productos.

[Evidencia requerida para Auditorías y Revaluaciones. En caso de sitios múltiples, se deberá

colectar evidencia para cada sitio].

Sí No

N/A

Hallazgos: La organización ha presentado su resumen de volumen para el periodo, el cual es validado con la información del sistema SAP. Ver Evidencia N°3, Annual Volume Summary 2016.08-2017


5. Ventas

5.1 La organización deberá asegurar que los documentos de venta (físicos o electrónicos) emitidos para productos vendidos con declaraciones FSC, incluyan la siguiente información:

a) Nombre y datos de contacto de la organización;

b) Información para identificar al cliente, como el nombre y dirección del cliente (excepto para ventas a consumidores finales);

Sí No

COC-33 14Apr17

c) Fecha de emisión del documento;

d) Nombre o descripción del producto;

e) Cantidad de productos vendidos;

f) El código del certificado FSC de la organización asociado a los productos certificados FSC y/o el código de Madera Controlada FSC asociado a productos de Madera Controlada FSC;

g) Una indicación clara de la declaración FSC para cada artículo, o de los productos totales, como se establece en la Tabla C.

Hallazgos: Se ha verificado que la documentación de venta (Invoice), describe cada uno de los puntos de las letras a hasta la g, para el caso de la declaracion y el código esta se encuentran al pie de la cada factura, y están relacionada con el productos. Se ha verificado facturas entre ellas; IN00496531, IN00475286 y IN00504324.

5.2 Las organizaciones ubicadas al final de la cadena de suministro que venden productos terminados y etiquetados FSC (e.g., minoristas, editores), pueden omitir la información de porcentaje o de crédito en la documentación de ventas (e.g., usando solo la declaración “FSC Mixto”, en lugar de “FSC Mixto 70%” o “FSC Crédito Mixto”). En este caso, no obstante, esta información se pierde y las organizaciones subsecuentes de la cadena de suministro no tienen permitido usar de nuevo la información de porcentaje o crédito relacionada a estos productos.

Sí No

N/A

Hallazgos: La organización vende productos o materias primas, para la elaboración de productos terminados.

5.3 Si la documentación de ventas emitida por la organización no está incluida en el envío del producto, y esta información es pertinente para que el cliente pueda identificar el producto como certificado FSC, la documentación de envío correspondiente deberá incluir la misma información requerida en la Cláusula 5.1, así como una referencia que la vincule a la documentación de ventas.

Sí No

Hallazgos: El cliente cuenta con la documentación de venta de acuerdo con la Clausula 5.1

5.4 La organización deberá asegurar que los productos vendidos con una declaración FSC 100%, FSC Mixto, o FSC Reciclado en la documentación de venta, no lleven etiquetas de otros esquemas de certificación forestal.

Nota: Un producto certificado FSC puede llevar simultáneamente la declaración FSC y la declaración de otros esquemas de certificación forestal en los documentos de venta y envío, incluso si el producto está etiquetado FSC.

Sí No

Hallazgos: Se han verificado Facturas las cuales no llevan etiquetas de otros esquemas de certificación.

5.5 Las organizaciones pueden identificar productos hechos exclusivamente de materiales de insumos provenientes de productores pequeños o comunidades, agregando la siguiente declaración a los documentos de ventas: “De productores forestales pequeños o comunitarios”. Los titulares de certificados pueden trasladar esta declaración a lo largo de la cadena de suministro.

Sí No

N/A

Hallazgos: La organización se abastece de proveedores, los cuales poseen certificación de COC, y corresponden a industrias, principalmente.

5.6 La organización solamente puede vender productos con la declaración ‘Madera Controlada FSC’ en la documentación de ventas y envío si los productos están sin procesar, o son semi terminados, y el cliente está certificado FSC.

Sí No

N/A

Hallazgos: Todos los productos que se comercializan poseen certificación con declaracion FSC Mixto o FSC 100%, no se vende productos FSC Controlled Wood dentro del alcance del certificado.

5.7 Si la organización no puede incluir la declaración y/o el código del certificado FSC en los documentos de venta o envío, la información requerida deberá proporcionarse al cliente a través de documentación complementaria (e.g., cartas complementarias). En este caso, la organización deberá obtener la autorización de su certificador para implementar la documentación complementaria de acuerdo a los criterios siguientes:

a) Deberá existir información clara vinculando la documentación complementaria con los documentos de venta o envío;

Sí No

N/A

COC-33 14Apr17

b) No existe riesgo de que en la documentación complementaria el cliente malinterprete cuáles productos tienen la certificación FSC y cuáles no;

c) En los casos en que los documentos de ventas incluyen varios productos con declaraciones FSC diferentes, cada producto deberá estar correlacionado a la correspondiente declaración FSC que aparece en la documentación complementaria.

Hallazgos: Esta información está en los documentos de ventas, Facturas.

5.8 Las organizaciones que venden productos FSC fabricados a la medida (e.g., carpinteros, contratistas de obra o constructoras) que no anotan los productos certificados FSC en la factura, tal y como lo establece la Cláusula 5.1, pueden emitir documentos complementarios a las facturas emitidas por concepto de construcción u otros servicios relacionados. El documento complementario deberá incluir lo siguiente:

a) Información de referencia suficiente para vincular la o las facturas de servicio al documento complementario;

b) Una lista de los componentes certificados FSC utilizados con las cantidades correspondientes y las declaraciones FSC;

c) El código del certificado de la organización.

Sí No

N/A

Hallazgos: La organización provee de material en grandes cantidades no al detalle.

5.9 La organización puede optar por bajar de categoría una declaración de producto FSC tal y como se presenta en la Figura A. La etiqueta FSC deberá corresponder a la declaración FSC señalada en los documentos de ventas, excepto en el caso de minoristas que venden productos terminados y etiquetados para consumidores finales.

Nota: Los productos que están 100% elaborados de materiales reclamados solo pueden llevar la declaración FSC Reciclado.

Sí No

N/A

Hallazgos: Si bien la organización puede bajar de categoría de FSC 100% a FSC Credito Mixto, esto no se realiza dado que por su sistema de transferencia los que se compra - se vende con la misma declaración.


6. Cumplimiento con leyes sobre legalidad de la madera

6.1 La organización deberá asegurar que sus productos certificados FSC cumplen con toda la legislación aplicable para la legalidad de la madera. Como mínimo, la organización deberá:

a) Tener procedimientos en funcionamiento para asegurar que la importación y/o exportación de productos certificados FSC que realice la organización cumpla con todas las leyes mercantiles y aduaneras pertinentes (si la organización exporta y/o importa productos FSC);

b) A solicitud, recopilar y proporcionar información sobre especies (nombres comunes y científicos), y país donde se realizó el aprovechamiento (o detalles más específicos sobre la ubicación, si la ley así lo establece), para orientar a clientes y/o cualquier organización certificada FSC que se encuentre más adelante en la cadena de suministro, cuando éstos necesiten esta información para cumplir con la legislación sobre legalidad de la madera. La forma y frecuencia para suministrar información podría convenirse entre la organización y el solicitante.

Nota 1: Si la organización no posee la información solicitada sobre especies y país de origen, la solicitud deberá trasladarse a los proveedores en la cadena, hasta que se logre obtener la información.

c) Asegurar que los productos certificados FSC que contienen madera reclamada pre-consumidor (excepto papel reclamado), que se están vendiendo a empresas localizadas en países que aplican legislación sobre legalidad de la madera, ya sea:

i) solo incluir materiales de madera reclamada pre-consumidor que cumplan con los requerimientos del estándar de Madera Controlada FSC-STD-40-005; o bien

Sí No

COC-33 14Apr17

ii) informar a sus clientes acerca de la presencia de madera reclamada pre-consumidor en el producto, y apoyar sus sistemas de diligencia debida conforme lo establezca la legislación aplicable sobre legalidad de la madera.

Nota 2: Las organizaciones que apliquen la opción c (i) anterior pueden aplicar los requerimientos para co-productos descritos en FSC-STD-40-005.

Hallazgos: La organización cuenta con procedimientos de importación y exportación de productos, para los cuales cumple con los requerimientos relacionados al cumplimiento de la legislación sobre la legalidad de la madera, para ello cuenta con un certificado para el ingreso de madera a USA, addendum 13. Ademas cada envio a USA está respaldado por la información de aduanas, así también por los requerimientos FSC de códigos y declaracion FSC, especie. De requerir más información en particular esta es solicitada a sus clientes, quienes cuentan con certificación FSC, relacionada con el origen de la madera para demostrar su legalidad.

Parte II: Control de Declaraciones FSC Nota: Ejemplos de la aplicación del grupo de producto y requerimientos del sistema de control FSC están proporcionados en Apéndices A y B, respectivamente.


7. Establecimiento de grupos de productos para el control de declaraciones FSC

7.1 La organización deberá establecer grupos de productos con el objeto de controlar las declaraciones y el etiquetado FSC de los productos. Los grupos de productos deberán estar integrados por uno o más productos:

a) Pertenezcan al mismo tipo de producto de acuerdo a FSC-STD-40-004a;

b) Están controlados de acuerdo al mismo sistema de control FSC.

Sí No

Hallazgos: La organización a establecido grupo de productos de acuerdo con el estándar FSC-STD-40-004ª (Ver grupo de productos), y se cuenta con un solo sistema de control el cual es el de Transferencia.

7.2 Las siguientes condiciones adicionales aplican para el establecimiento de grupos de productos bajo el sistema de porcentaje y/o crédito:

a) Todos los productos deberán tener el mismo factor de conversión. Si no, aun así, se les puede agrupar bajo el mismo grupo de productos, pero los factores de conversión aplicables deberán aplicarse a los productos correspondientes para el cálculo de la cantidad de productos que pueden venderse con declaraciones de porcentaje FSC o de crédito FSC;

b) Todos los productos deberán estar hechos del mismo material de insumo (e.g., madera de pino), o de la misma combinación de materiales de insumo (e.g., un grupo de productos de madera aglomerada enchapada, donde todos los productos están hechos de una combinación de tableros de partículas y enchapado de especies equivalentes).

Nota: Un material de insumo y/o especie de madera de un grupo de productos puede ser sustituido por otro material y/o especie, siempre y cuando sean equivalentes. Las variaciones en los materiales o de dimensión o forma de los productos se aceptan dentro del mismo grupo de productos. Distintos tipos de pulpa de madera se consideran materiales de insumos equivalentes.

Sí No

N/A

Hallazgos: La organización solo utiliza el sistema de transferencia.

7.3 La organización deberá mantener un listado actualizado de los grupos de productos, especificando para cada uno de ellos:

a) El o los tipos de productos de acuerdo a FSC-STD-40- 004a;

b) Las declaraciones FSC aplicables para los productos. La organización también puede indicar productos que son elegibles para llevar la Etiqueta de Productores Pequeños y Comunitarios, si la organización quiere que esta información sea de carácter público en la base de datos de certificados FSC;

c) La especie (incluyendo el nombre científico y el nombre común), donde la información de la especie designa las características del producto.

[Evidencia requerida]

Sí No

COC-33 14Apr17

Hallazgos: La organización mantiene un listado de su grupo de productos, de acuerdo con las letras a, b y c respectivamente, el cual se encuentra descrito en su Manual CoC addendum 3 y sitio web http://www.cmpcmaderas.cl/?page_id=270&lang=en . Ver Evidencia N°4, Manual CoC, Grupo de Productos, addendum 3


8. Sistema de Transferencia

Marque si la sección no aplica

8.1 Para cada grupo de productos, la organización deberá especificar los períodos de declaración, u órdenes de producción, para los que se deberá hacer una sola declaración FSC.

Sí No

Hallazgos: La organización ha establecido que su sistema de control es el de Transferencia y un periodo de afirmación de 120 días.

8.2 Para períodos de declaración u órdenes de producción en los que los insumos pertenecen a una única categoría de materiales que llevan una declaración FSC idéntica, la organización deberá determinar a ésta como la declaración FSC que corresponde a los productos.

Sí No

N/A

Hallazgos: La organización posee descrito que solo comercializada la declaración que es comprada, es decir FSC 100%, FSC Mixto Credito.

8.3 Para períodos de declaración u órdenes de producción en los que están combinados insumos de distintas categorías de materiales, o de declaraciones de porcentaje asociadas, o las declaraciones de crédito están combinadas, la organización deberá usar la declaración FSC menor por volumen de insumo como la declaración FSC para los productos, tal y como se indica en la Tabla D.

Sí No

N/A

Hallazgos: La organización es un distribuidor, por lo cual no realiza ningún tipo de mezcla.


9. Sistema de Porcentaje



10. Sistema de Crédito


Parte III: Requerimientos Complementarios


11 Requerimientos para Etiquetado FSC

Marque si esta sección no aplica (La organización no tiene planes de aplicar etiquetas FSC)

12. Tercerización

Marque si la Organización no tercerizará/no terceriza el procesamiento/manipulación de grupos de productos FSC. Vea el listado de verificación separado para requerimientos y hallazgos de tercerización, si aplica.

Parte IV: Criterios de Elegibilidad para la Certificación de CoC Individual, Multisitio y Grupal


13. Elegibilidad para la certificación CoC individual


http://www.cmpcmaderas.cl/?page_id=270&lang=en

COC-33 14Apr17

13.1 Una organización es elegible para la certificación CoC individual si el alcance del certificado incluye un solo sitio, o múltiples sitios (dos o más sitios) que cumplen con los siguientes criterios:

a) Uno de los sitios bajo el alcance del certificado CoC individual:

i. está fungiendo como el titular del certificado;

ii. es responsable de la facturación a clientes externos de los materiales certificados y no certificados, o los productos cubiertos por el alcance del certificado;

iii. está controlando el uso de las Marcas Registradas FSC.

b) Todos los sitios bajo el alcance del certificado individual CoC:

i. están operando bajo una estructura de propiedad común;

ii. son administrados bajo el control directo del titular del certificado;

iii. están en una relación empresarial exclusiva entre sí para los materiales producidos, o los productos cubiertos por el alcance del certificado;

iv. están ubicados en el mismo país.

Sí No

N/A

Hallazgos: La organización., aplican los criterios de elegibilidad señalados en la Parte IV del estándar de Cadena de Custodia, para definir su elegibilidad para la certificación de Cadena de Custodia Individual, disponiendo de dos sitios bajo el alcance Oficina de Santiago de Chile y oficinas en USA.

13.2 Para la certificación CoC individual, todos los sitios incluidos en el alcance de la certificación deberán cumplir con todos los requerimientos de certificación aplicables, especificados en FSC-STD-40-004. Los requerimientos especificados en FSC-STD-40-003 no aplican.

Nota: En este escenario, todos los requerimientos de certificación aplicables, según FSC-STD-40-004, deberán ser evaluados por el certificador en todos los sitios incluidos en el alcance del certificado dentro de cada auditoría (i.e., el muestreo no aplica).

Sí No

N/A

Hallazgos: La organización cumple con todos los requerimientos aplicables al estándar FSC-STD-40-04 V3-0), se ha validado su compromiso para con los valores del FSC y del cumplimientos de los requerimientos del estándar, ademas se ha verificado en la entrevista a los puestos críticos de la implementación y cumplimiento como son facturación (compra-venta), registro de volúmenes, capacitación, entre otros.


14. Elegibilidad para la certificación CoC multisitio



15. Elegibilidad para la certificación CoC grupal


COC-33 14Apr17

Appendix E: STANDARD CHECKLIST (Trademark Use)

1 Trademark Activity during Audit Period

N/A for initial assessments or audit period without trademark use

On-product trademark use:

1.1 Has the Organization used the FSC label on-product: Yes No

1.2 If yes, was the RAC seal included: Yes No

1.3 Does the Organization have blanket approval(s) on record issued by Rainforest Alliance for on-product labels:

Yes No

Comments:

Promotional Trademark Use:

1.4 Has the Organization used the FSC trademarks promotionally: Yes No

1.5 If yes, was the RAC seal included: Yes No

1.6 Does the Organization have blanket approval(s) on record issued by Rainforest Alliance for promotional items:

Yes No

Types of promotional items used by the Organization that include the trademarks:

Web site Brochure Press release Advertisement

Catalogue Document template Other:

Comments:

2 Standard Checklist The following section summarizes the Organization’s conformance with FSC and Rainforest Alliance trademark requirements. Trademarks include the Forest Stewardship Council and Rainforest Alliance organization names, acronyms (FSC), logos, labels and seals. This checklist is directly based on the FSC trademark standard (FSC-STD-50-001 Requirements for use of the FSC Trademarks by Certificate Holders (version 1-2). References to the specific FSC standard requirement numbers are included in parenthesis at the end of each requirement. (Rainforest Alliance Certified™ Seal = RAC seal).

Standard Requirement

General

1.1 Organization shall have procedures in place that ensure all on-product and promotional FSC/Rainforest Alliance trademark use follows the applicable policies:

[Exhibit Required]

Yes No

N/A

Findings: Auditor verified through interview and document review that Organization has procedures in place to ensure all FSC/Rainforest Alliance trademarks uses follow the applicable policies. See Exhibit A.

1.2 Organization shall have procedures in place and demonstrates submission of all FSC/Rainforest Alliance claims to Rainforest Alliance for review and approval prior to use, including (1.16):

a) On-product use of the FSC label/RAC seal;

b) Promotional (off-product) claims that include the FSC trademarks (“Forest Stewardship Council”, “FSC”, checkmark tree logo) and/or the Rainforest Alliance trademarks (names and seal).

Yes No

N/A

Findings: Auditor verified through interview and document review that organization ensures all trademark use will be submitted to Rainforest Alliance for approval.

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1.3 Organization shall have procedures in place and demonstrates that all trademark review and approval correspondence with Rainforest Alliance is kept on file for a minimum of 5 years (FSC-STD-40-004, 1.4.1, 1.4.2):

Note: Organizations using the Rainforest Alliance Client Portal in Salesforce for trademark submissions may use the records saved in the portal as evidence to demonstrate conformance to this clause.

Yes No

N/A

Findings: Auditor verified through interview and document review that all files, including trademark approvals from Rainforest Alliance will be kept on file for at least 5 years.

On-product

Check if section not applicable (Organization does not, and does not plan to apply FSC labels)

1.4 Organization shall have a secure system in place for labeling products that ensures the following (1.9, 1.10, 2.1, 2.4, 3.0):

a) Only those products listed in the FSC product group schedule are FSC-labeled;

b) Only those products that meet the eligibility requirements per CoC standard requirements for FSC labeling are FSC-labeled (labels shall not be used for partial claims);

c) The applicable FSC label is used per FSC product group.

Yes No

Findings: Auditor verified through interview and document review that Organization has a secure system in place that ensure a-c above.

1.5 If Organization requests certified suppliers to label products with its FSC trademark license code OR if certified buyers request Organization to label with buyer’s code, Organization’s procedures shall include provisions for (4.5):

a) Both buyer and supplier to inform their respective certification bodies of the agreement, with an indication of which CB will be responsible for review and approval;

b) Ensuring that the buyer’s label only appears on products supplied to that buyer;

c) The supplier to maintain and make available data relating to use of the buyer’s labels for the auditor’s review;

d) Regardless of the approving CB, in all such situations use of the RAC seal shall be approved by Rainforest Alliance.

Yes No

N/A

Findings: Organization does not request certified suppliers to label products with FSC trademarks.

1.6 If a non-certified buyer requests Organization to FSC-label products under the buyer’s brand name and design, Organization procedures shall include provisions for (4.6):

a) Informing Rainforest Alliance about the labeling proposal with sufficient information for RA to evaluate the arrangement and design;

b) The Organization to apply the label after approval is received from Rainforest Alliance;

c) Maintaining the approval correspondence for the arrangement and label use.

Note: Non-certificate holders are not allowed to apply the FSC label themselves.

Yes No

N/A

Findings: Organization does not encounter this scenario.

1.7 When applicable to the Organization’s on-product labeling, the criteria below (1.8 – 1.13) shall be met:

Yes No

Findings: Auditor verified through interview and document review of trademark approvals from Rainforest Alliance that criteria 1.8 - 1.13 are met with each on product use.

1.8 The FSC trademark license code assigned by FSC shall be used in the FSC label (1.5). Yes No

1.9 If the FSC trademarks are applied directly to the product with the license code (e.g., heat brands, stencils), the full FSC label design shall be included with the product (e.g., hang tag, sticker, packaging) (4.3).

Yes No

N/A

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1.10 Organization shall not use the FSC labels or trademarks together with the logos or names of other forestry verification schemes (2.6).

Yes No

1.11 The FSC label shall be applied to products in such a way that it is clearly visible (2.3).

Note: When normal label placement is not on the side facing the consumer, a copy of the FSC checkmark logo may be applied in a more prominent place.

Yes No

1.12 If the FSC label is used on products or packaging where there is risk of confusion between the FSC-certified material and other non-certified materials (e.g., non-certified product in certified packaging or FSC material Mix with alternative materials), the label shall specify the type of certified product (2.2).

Notes:

• This requirement does not apply to products containing approved minor components.

• The product type (i.e., Paper) shall always be specified in the label for printed materials.

Yes No

N/A

1.13 If the moebius loop is included with the FSC label, it shall include a percentage which reflects the post- and pre-consumer reclaimed content (2.5).

Yes No

N/A

Off-product / Promotional

Check if section not applicable (Organization does not, and does not plan to use the FSC trademarks off-product or in promotional pieces)

Note: promotional use items include advertisements, brochures, web pages, catalogues, press releases, tradeshow booths, stationary templates, corporate promotional items (e.g., t-shirts, mugs, hats, gifts).

1.14 Has Organization produced, labeled, or sold FSC-certified products during the audit period (7.1):

Yes No

N/A

Findings: Organization has produced, labeled and sold FSC certified products during this audit period. See Exhibit D for Annual Volume Summary

1.15 If Organization has not produced, labeled, or sold FSC-certified products during the audit period, use of the FSC trademarks in general promotion of the Organization shall cease (7.1):

Note: This clause applies to general promotion of the Organization. This does not prohibit promotion of products that may be sold as FSC-certified upon request.

Yes No

N/A

Findings:

1.16 When applicable to the Organization’s promotional / off-product use of the trademarks, the criteria below (1.17 – 1.22) shall be met:

Yes No

Findings: Auditor verified through that by submitting their promotional trademark uses to Rainforest Alliance for approval, criteria 1.17 - 1.25 would be met.

1.17 If the FSC “promotional panel” is used, the following elements shall be included: FSC checkmark logo, FSC trademark license code, FSC promotional statement, FSC web site address (5.1).

Note: the promotional panel is a prescribed layout with a border available to certificate holders on the FSC label generator site.

Yes No

N/A

1.18 If the FSC trademarks are used for product promotion, Organization shall (1.9, 6.1):

a) Limit promotion to products that are certified against FSC standards and eligible for FSC-labeling;

b) Include the promotional panel or its elements in a prominent place;

c) Include a statement such as “look for FSC certified products” when the products are not all on the same page;

d) Include the FSC checkmark logo or “FSC certified” in the product description.

Yes No

N/A

COC-33 14Apr17

1.19 In cases where the RAC seal is used (6.2):

a) The FSC trademarks shall be similar in size;

b) The FSC checkmark tree logo shall be included when the RAC seal is in place.

Yes No

N/A

1.20 In cases where the FSC trademarks are used with the trademarks (logos, names, identifying marks) of other forestry verification schemes, Rainforest Alliance approval shall be in place (7.2).

Yes No

N/A

1.21 Use of the FSC trademarks on document templates (including letterhead, invoices, emails) shall be approved by Rainforest Alliance to ensure correct usage (7.3, 7.4, 7.5).

Note: general promotion shall not be included on business cards, i.e., FSC trademarks on business cards shall only be for use of FSC-certified paper (FSC label).

Yes No

N/A

1.22 The FSC trademarks shall not be used in product brand names, web site domain names, and/or Organization names (1.13).

Yes No

1.23 The FSC label shall not be used for promotional purposes associated with claims

about products sold or sourced exclusively as ‘FSC Controlled Wood’ or in reference

To Controlled Wood certificates.

Yes No

N/A

1.24 Companies supplying FSC Controlled Wood shall not make corporate promotion or

Product promotion regarding FSC Controlled Wood or use the statement ‘FSC Controlled Wood’ or the FSC Trademarks associated with Controlled Wood on promotional or advertising material.

Yes No

N/A

1.25 Companies supplying FSC Controlled Wood shall not use the statement ‘FSC Controlled Wood’ or the FSC trademarks associated with controlled wood for on-product

Labeling or off-product labeling, advertising promotion or reporting.

Yes No

N/A

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Appendix F: CHECKLIST (Outsourcing FSC-STD-40-004 V3-0)

1 Outsourcing for Site: CMPC USA, Inc 2 Subcontractors included in Certificate Scope

In place of this table, a comprehensive subcontractor list has been provided as Exhibit E

3 Outsourcing Details

Description of Outsourcing: The organization has 12 subcontracted warehouses in which material is shipped from Chile via container ships and sent to various warehouses located mainly near the port at which the material arrives. The 8 listed in Exhibit H keep inventory of CMPC product, mainly to meet Home Depot's demand. At these locations, large quantities of material is received, and it may stay in inventory until an order needs to be pulled for the customer. All of the material is a final, labeled product; none of the material is broken apart or mixed. The remaining 4 warehouse, not listed in Exhibit E, do not keep inventory and are not considered outsourcing, since it is considered part of the transportation process. Material is sent on a per job basis and only held temporarily.

The organization also outsources most of their management services (planning and inventory control, logistics, accounting, purchasing, invoicing, and receipt verification) to their related company in Chile, CMPC Maderas. CMPC Maderas has their own, separated FSC CoC certificate with Rainforest Alliance. Due to the extent of the activities outsourced to CMPC Maderas, this outsourcing relationship is considered high risk. A site visit was conducted this year by Arturo Burgos.

Reason for Outsourcing: Lack of warehouse space and administrative functions.

FSC Product Groups included in Outsourcing:

All product groups

Comments:

4 Risk Classification

Check if Part 4 is not applicable (Organization only uses FSC-certified subcontractors not necessary to be audited by Rainforest Alliance for the outsourcing arrangement)

Risk Item Description Risk Classification

Organization outsources a wide range of production activities:

Warehouses: Low risk. Organization only outsources material to warehousing facilities for storage and shipment.

CMPC Maderas: High risk. Organization outsourcing most management services to CMPC Maderas. However, CMPC USA is a division of CMPC Maderas and the auditor confirmed that they have a sufficient quality management system in place to be able to

High risk

N/A

COC-33 14Apr17

mitigate the risk. CMPC Maderas also has their own FSC CoC certificate with Rainforest Alliance.

Organization outsources to more than one subcontractor on a regular basis:

Organization outsources to 8 subcontractors. Auditor determined that the outsourced activities are all low risk.

High risk

N/A

Subcontractor(s) apply FSC labels to the product:

Subcontractors will not apply the label. Material is already finished and labeled with CMPC Maderas' label.

High risk

N/A

Organization does not take physical possession of the material after outsourcing:

Organization is a broker and never takes physical possession of material.

High risk

N/A

Outsourcing takes place across national borders:

Warehouses: Low risk. All warehouses are located in the US.

CMPC Maderas: High risk. CMPC Maderas is located in Chile. However, CMPC USA is a division of CMPC Maderas and the auditor confirmed that they have a sufficient quality management system in place to be able to mitigate the risk. CMPC Maderas also has their own FSC CoC certificate with Rainforest Alliance.

High risk

N/A

Organization outsources to an organization in another country with a Transparency International Corruption Perception Index (CPI) lower than 50.

Warehouses: Low risk. All warehouses are located in the US.

CMPC Maderas: High risk. CMPC Maderas is located in Chile. However, CMPC USA is a division of CMPC Maderas and the auditor confirmed that they have a sufficient quality management system in place to be able to mitigate the risk. CMPC Maderas also has their own FSC CoC certificate with Rainforest Alliance.

High risk

N/A

Organization outsources the entire production process

Organization is a broker and does not outsource any production.

High risk

N/A

Other: High risk

N/A

Even when one or more of the above high risk indicators apply to the outsourced activity, Rainforest Alliance may approve the low risk categorization if a low risk of contamination may be demonstrated through any of the following indicators:

The product is permanently labeled or marked in a way that the contractor cannot alter or exchange products (e.g. heat brand, printed materials);

Low Risk:

Yes No

N/A

The product is palletised, or otherwise maintained as a secure unit that is not broken apart during outsourcing;

Low Risk:

Yes No

N/A

The contractor is employed for services that do not involve manufacture or transformation of certified products (e.g. warehousing, storage, distribution, and logistics).

Low Risk:

Yes No

N/A

The contractor is an FSC-certified organization that includes documented procedures for outsourcing services within the scope of its certificate.

Low Risk:

Yes No

N/A

Comments:

5 Requirement Checklist

COC-33 14Apr17

This checklist is directly based on FSC-STD-40-004 Chain of Custody Certification V3, Section 12. FSC standard requirement numbers are identical with the checklist numbers below.

Requirement Compliance

12.1 The organization may outsource activities within the scope of its certificate to FSC-CoC-certified and/or non-FSC-CoC-certified contractors.

NOTE: The organization’s outsourcing arrangements are subject to a risk analysis by the certification body and sampling for on-site audit purposes.

Yes No

Findings: Auditor confirmed through interview and document review that Organization outsources activities within the scope of its certificate to non-certified contractors due to lack of capacity and logistics.

12.2 Activities that are subject to outsourcing agreements are those that are included in the scope of the organization’s CoC certificate, such as purchase, processing, storage, labelling and invoicing of products.

NOTE: Storage sites are exempt from outsourcing agreements where they constitute stopping places as part of transportation or logistic activities. However, if an organization contracts a service provider to store goods that have not yet been sold to a customer, this is considered as an extension of the storage site of the organization and therefore subject to an outsourcing agreement.

Yes No

Findings: Auditor confirmed through interview and document review that Organization has outsourcing agreements with non-certified contractors for warehousing.

12.3 Prior to outsourcing activities to a new contractor, the organization shall inform its certification body about the outsourced activity, name, and contact details of the contractor.

Yes No

Findings: Auditor confirmed through interview and document review that Danny Bagley is responsible for notifying Rainforest Alliance of any new outsourcers. No new outsourcers were added during past audit period.

12.4 The organization shall establish an outsourcing agreement with each non-FSC-certified contractor, specifying at minimum that the contractor shall:

a) conform to all applicable certification requirements and the organization’s procedures related to the outsourced activity;

b) not make unauthorized use of the FSC trademarks (e.g. on the contractor’s products or website);

c) not further outsource any processing; d) accept the right of the organization’s certification body to audit the contractor; e) notify the organization within the period of 10 business days if the contractor is included

in the list of organizations that are disassociated from FSC, in accordance with the FSC-POL-01-004, and therefore subsequently ineligible to provide outsourcing services to FSC-certified organizations.

Yes No

Findings: Auditor confirmed through interview and document review that Danny Bagley ensures outsourcing agreements are in place for each non-certified contractor. Agreement includes a - d above. See Exhibit F. Per Advice Note 40-004-16, Organizations are not required to include clause e.) above in their outsouring agreements.

12.5 The organization shall provide documented procedures to its contractor(s) that ensure the following:

a) the material under the contractor’s responsibility shall not be mixed or contaminated with any other material during the outsourced activity; b. the contractor shall keep records of inputs, outputs, and delivery documentation associated with all material covered by the outsourcing agreement;

b) if the contractor applies the FSC label to the product on behalf of the organization, the contractor shall only label the eligible products produced under the outsourcing agreement.

Yes No

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Findings: Auditor confirmed through interview and document review that the outsourcing agreement includes procedures to ensure a.) above. B is not applicable.

12.6 The organization shall maintain legal ownership of all materials during outsourcing.

NOTE: Organizations are not required to re-take physical possession of the products following outsourcing (e.g. products may be shipped directly from the contractor to the organization’s customer).

Yes No

Findings: Auditor confirmed through interview and document review that Organization maintains legal ownership of material being outsourced.

12.7 The organization shall identify the invoices of materials sent for outsourcing following the requirements specified in Clause 5.1. Contractors are not required to identify the invoices of materials after outsourcing.

Yes No

Findings: Auditor confirmed through interview and document review that Organization is able to identify the invoices of material sent for outsourcing.

12.8 The organization may act as an FSC-certified contractor providing services to other contracting organizations. In this case, the organization shall include the outsourcing services under the scope of its FSC certificate ensuring that all applicable certification requirements are met.

Yes No

Findings: Organization will not provide outsourcing services.

12.9 When the organization provides FSC-certified outsourcing services to non-FSC-certified contracting organizations, it is acceptable that the contracting organization buys the raw material for the outsourced processes. To ensure that the CoC is not broken, the material shall be transported directly from an FSC-certified supplier to the organization (i.e. the non-certified contracting organization shall not take physical possession of the materials before outsourcing).

Yes No

N/A

Findings: Organization will not provide outsourcing services.

6 General Subcontractor Chain-of-Custody during on-site Auditing

Check if section is not applicable (Subcontractor(s) not evaluated on site for this audit)

COC-33 14Apr17

Appendix G: LIST OF REPORT EXHIBITS

Exhibit Item

A Documented Control System (DCS)

B Product Group Schedule (PGS)

C Supplier List

D Annual Reporting Volume Summary

E List of Outsourcing Subcontractors

F Outsourcing Agreement

1 FSC Chain of Custody Manual General Requirements, CMPC USA Inc. “Manual CoC”

2 Mail de Producto No Conforme

3 Annual Volume Summary 2016.08-2017

4 Manual CoC, Grupo de Productos, addendum 3

COC-33 14Apr17

Appendix H: CONVERSIONS

Standard Conversions

1 mbf = 5.1 m3 1 cord = 2.55 m3 1 inch = 2.54 cm 1 foot = 0.3048 m 1 yard = 0.9144 m 1 gallon (US) = 3.78541 liters 1 pound = 0.4536 kg 1 US ton = 907.185 kg 1 UK ton = 1016.047 kg 1 acre = 0.405 hectares 1 foot = 0.3048 m 1 mile = 1.60934 km

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