FSC TM CERTIFICATION SYSTEM

Transcription

1 FSC TM CERTIFICATION SYSTEM CHAIN OF CUSTODY CERTIFICATION AUDIT REPORT BUREAU VERITAS CERTIFICATION 67/71 Boulevard du Château Neuilly-sur-Seine FRANCE Contact Person for HUB Asia Contact Person for BV China GUANGZHOU JIURONG PACKAGING CO., LTD. Address: Rm.A1008,No.816,Congyun Road,Guangzhou,China City: Guangzhou, China Postal code: Country: China Operation address (if different from registration address) Telephone: Web site: None Contact Person: Mr. Jian Chen Main audit Surveillance audit # ( ) Re-certification audit Pre-audit Complementary audit Extension audit Report finalization date: CoC Certificate code: BV-COC- FSC CW Certificate code (if applicable): Certificate (re-)issue date: Case of transfer audit: previous certificate number:

2 REF : SF63 FSC CoC AR CONTENT 1 - Description of Certification Scope General presentation List of Participating Sites within the scope of Multiple Sites Certification (i.e. Single COC with multiple sites / Multi-site / Group certification) Group / multi-site certification evaluation Detailed summary of the sampling process FSC Product groups Annual FSC certified volumes Scope of audit Composition of audit team Reference to the FSC normative documents used Summary of previous certification audits Observations of the audit team Chain of custody control system implemented by the company Other practical dispositions (identification of critical control points) Systematic presentation of observations demonstrating conformity or nonconformity with each element of all applicable FSC normative document(s) used for the evaluation are recorded in the checklist(s) provided by auditor(s) with this report Documents review Interviews of key personnel Description and review of complaints, disputes or allegations Outsourcing The Organization Control Process for high risk outsourcing Evaluation of FSC Controlled Wood Program System of evaluation of DDS Stakeholders identification and consultation process Description of the Supply Chain of non FSC certified materials to be used into FSC Products Group Evaluation of Supplier Audit Program for Reclaimed Materials Evaluation of suppliers Proposals regarding the decision of certification Major Non Conformities Minor Non Conformities Observations & review of previous audit results, transaction verification Proposal of audit team conclusion Appendices Certification decision Page 2 of 25

3 REF : SF63 FSC CoC AR Scope Item 1 - Description of Certification Scope Check all that apply to the Certificate Scope Certificate Type: Single Multi-site Group System of Control: Transfer Percentage Credit Outsourcing: Not Applicable FSC-certified Subcontractors Non-certified Subcontractors Change since previous audit (N/A for Main audit) Controlled Wood Verification Program: Not Applicable Low risk Unspecified risk New districts approved for controlled material inputs: Reclaimed Material Suppliers Monitoring: Not Applicable Material inspection and Classification upon receipt Supplier Audit Program New suppliers included in the Supplier Audit Program : Trademark Use: Not Used FSC On-Product Label FSC Promotional Panel Certification scope: Comments (where applicable): MANUFACTURING AND SALES OF PAPER STRAW CERTIFIED FSC 100% AND FSC MIX Page 3 of 25

4 REF : SF63 FSC CoC AR General presentation Company Activity: Secondary processor Company description: FUJIAN JIURONG PACKAGING PRODUCTS CO., LTD. (hereinafter: JJJR) is a private company; based in Quanzhou, general manager is Mr. Jian Chen. Its business is MANUFACTURING AND SALES OF PAPER STRAW CERTIFIED FSC 100% AND FSC MIX. Within JJJR, there are 6 operational departments including sales, purchase, production, store, admin, finance etc. Employees number: 30 FSC turnover class [1] : Single COC class 2 [1]For FSC turnover Class, Choose 1 of 4 following options: 1. Single COC class X (X=1 to 10, or ) 2. Multi-site COC class X (X=1 to 10, or 10+) 3. Trader Single class X (X=1 to 10, or 10+) 4. Trader Multi-site class X (X=1 to 10, or10+) The AAF for multi-site COC certificates will be calculated with the sum of Central office s and all Participating Sites turnovers. The AAF for group COC certificates will be calculated as follows: 1. For group COC certificates, an overall fee corresponding to the aggregate annual turnover of all members, as calculated for single COC certificates. 2. For groups of traders, an overall fee corresponding to the aggregate annual turnover of all members, as calculated for single trader certificates. Page 4 of 25

5 REF : SF36 FSC CoC List of Participating Sites within the scope of Multiple Sites Certification (i.e. Single COC with multiple sites / Multi-site / Group certification) T APPLICABLE Single COC with multiple sites Multi-site certification Group certification Site audited Site Risk Level High/Normal/ New High/ New Normal Sub-code (A, B, etc.) Name of Participating Site Address (Street/City/Postal Code /Country) Site Activity (Logging; primary processor; secondary processor; trader, printer ) Employees Number Site AAF class Scope of each site (indicate the scope as same as for the certificate) N/A Group / multi-site certification evaluation Page 5 of 25

6 REF : SF36 FSC CoC Detailed summary of the sampling process () Audit type (MA/SA/RA) RISK FACTORS Score Number of 'Normal Risk' sites Ownership Number of 'High Risk' sites All Participating Sites have common ownership 0,1 Maximum annual growth in number of sites (limit at 100%) [1] Participating Sites do not have common ownership 0,2 Number of new 'Normal Risk' sites added since previous audit Certificate Size Number of new 'High Risk' sites added since previous audit 0 20 Participating Sites 0,2 Total number of sites Participating Sites 0,3 Total of Risk Index for Existing Sites Participating Sites 0,4 Total of Risk Index for New Sites Participating Sites 0,5 Number of Normal Risk sites to be audited > 400 Participating Sites 0,6 Number of High Risk sites to be audited Central Office s Performance Number of New Normal Risk sites to be audited No NC issued to the Central Office in the previous audit 0,1 Number of New High Risk sites to be audited Not applicable (there was no previous audit) 0,1 Only minor Non-conformity in the previous audit 0,2 [1] At each audit, Bureau Veritas Certification shall evaluate the ability of the Central Office to manage the number of Participating Sites of the certificate and approve an annual growth rate up to a limit of 100% based on the number of Participating Sites at the time of the evaluation. Where a certificate has twenty (20) or fewer Participating Sites at the time of the main evaluation, Bureau Veritas Certification may approve a growth rate higher than 100%, based on the demonstrated capacity of the Central Office to manage a higher number of Participating Sites. If the Central Office wants to increase the number of Participating Sites in the certificate scope beyond the approved annual growth rate, Bureau Veritas Certification shall audit the Central Office and a sample of the new sites before the growth resumes. 1-2 Major Non-conformities in the previous audit 0,3 3 or more Major Non-conformities in the previous audit 0,4 Audit Type Annual surveillance audit 0,1 Re-certification audit 0,2 Main audit 0,3 Total Risk Index for Existing Sites Audit for inclusion of new Participating Sites in the certificate 0,3 Total Risk Index for New Sites Σ Σ Given Score In the audit for inclusion of new Participating Sites, Bureau Veritas Certification shall establish a new growth limit for the period between the expansion of scope audit and the next surveillance audit. Page 6 of 25

7 REF : SF36 FSC CoC FSC Product groups Company Activity Classification (Product Type) Product Trade Name (Option T Mandatory) Product FSC Categorie(s) Secondary Processor P6.7 Paper Straw FSC 100%, FSC Mix Wood Species (Scientific Name) Company Activity (Choose from list of 10 choices below): 1 Logging; (e.g. Logger, forestry company, etc.) 2 Primary Processor; (e.g. Sawmill, Pulpmill, Papermill, etc.) 3 Secondary Processor; (e.g. Indoor/outdoor furniture manufacturer, Notebook manufacturer, etc. ) 4 Printing and related service; 5 Publishing activities; (e.g. Book/Magazine Publishing, etc.) 6 Brokers/traders with physical possession; 7 Brokers/traders without physical possession; 8 Distributor/Wholesaler; (e.g. IKEA, Carrefour, Walmart etc. ) 9 Retailers; 10 Gathering of non-wood products; Classification (Product Type) : Please refer to FSC-STD a_V2-1_EN_FSC_Product_Classification. Product Trade Name (Option T Mandatory) : In case that the company want to add the Product Trade Name on the FSC database. FSC Categories(Choose from list below): FSC 100% FSC Mix FSC Recycled FSC Controlled Wood; Note: FSC Claims (e.g. FSC Mix Credit, FSC Recycled 100%, etc.) are also acceptable. Wood Species (Scientific Name): 1. For Scientific name, if it is possible, please give the species name (e.g. Quercus Rubra), not genus name (e.g. Quercus spp.). In case of doubt, please check the supplier species information via website: Page 7 of 25

8 REF : SF36 FSC CoC 2. In case that Multiple Species used in same product, please give all species (Scientific Name) list. Product with Multiple Spcies: Example 1: Particleboard/Pulp with different species input. 3. In case that company exports FSC Certified products to the countries where the timber legality legislations (e.g. EUTR, US Lacey Act, FLEGT and Australian Illegal Logging Prohibition Act, etc.) is applicable, you shall provide species (Scientific Name). Note: To ensure that the scientific and common names of the species are correctly written, the organization should follow the available nomenclature of the Germplasm Resources Information Network (GRIN) Taxonomy Species Online Database ( Page 8 of 25

9 1.6 - Annual FSC certified volumes REF : SF36 FSC CoC Information on FSC certified volume is based on the organization s annual volume summaries (chap. 4.4 FSC-STD ). Site Sub code Input Material(s) Product Type[1] & FSC Claim FSC claim(s) of Input Material(s) Annual Input Volume/Weight/ Unit FSC Output Product(s) product Type[1] FSC claim(s) of output products COC control system(s) Annual Sales Volume/Weight/ Unit Total [1] According to FSC-STD a: FSC Product Classification. [2] Options according to the FSC-Database are: Logging, primary processor, secondary processor, trader with physical possession, trader without physical possession, wholesaler, printer, publisher, and retailer. Input and Output have to be comparable: data shall be in metric system units, or the conversion rates used to convert data from other units to metric system units shall be provided together with any assumptions made in order to make conversion possible Additional explanations: (if output > inputs or if metric system unit of output is different than input ones > description of conversion factors) for MA Page 9 of 25

10 REF : SF03 FSC CoC AR 2 - Scope of audit Audit Date(s) Total on-site auditing time Audit type 1.0 Man day(s) On-site audit Desk audit please justifiy: Composition of audit team Lead auditor: Auditor: Observer/Translator: Pengcong Huang, FSC COC Lead auditor on behalf of Bureau Veritas Certification None None Reference to the FSC normative documents used For this audit, we referred to the checklist(s) below: SF03 FSC CoC Checklist version 3-0, extracted from FSC international standards: FSC-STD V3-0 Chain of Custody Certification, FSC-DIR FSC Directive on Chain of Custody Certification and FSC-STD V1-2 Requirements for use of the FSC trademarks by Certificate Holders SF03 FSC CoC Checklist version 2-1, extracted from FSC international standard: FSC-STD V2-1 Chain of Custody Certification of Multiple Sites SF03 FSC CoC Checklist version 3-1, extracted from FSC international standard: FSC-STD V3-1 EN Requirements for sourcing FSC Controlled Wood SF03 FSC CoC Checklist version 2-0, extracted from FSC international standard: FSC-STD V2-0 Sourcing reclaimed material for use in FSC Product Groups or FSC Certified Projects SF03 FSC CoC Checklist version 1-0, extracted from FSC international standard: FSC-STD V1-0 FSC Chain of Custody Standard for Project Certification Page 10 of 25

11 REF : SF03 FSC CoC AR Summary of previous certification audits Summery for MA. N Description of the actions taken by the organization to correct any non-conformities identified during previous evaluations Conclusion Closed/Converted into Major NC Page 11 of 25

12 REF : SF03 FSC CoC AR 3 - Observations of the audit team Chain of custody control system implemented by the company Brief description of the system by which The Organization maintains control over the Chain of Custody for all products included on The Organization s FSC product group list, covering: Quality management requirements (Procedures and documentation) The organization had made FSC-CoC operation manual including FSC material purchasing, supplier management, store, production, sales order handling, invoicing, labelling, NC product control, customer complaint handling, corrective action control, training, document and records control, etc. the procedures covered all of applicable FSC- COC requirement for the organization Material sourcing The company had established the documented FSC material sourcing procedure in FSC- CoC operation manual, All the FSC products will be purchased from FSC qualified suppliers. At present, 1 FSC supplier was qualified and valid. The organization had purchased 1 batch of FSC certified material before this audit; the supplier documents had been verified during this audit and correct. The purchaser knew related requirements Material receipt and storage The company had established the documented procedure in FSC-CoC operation manual; the purchased FSC products would be checked their documents to confirm the FSC categories once received. Separated area had been set for FSC material and products. Account had been made by material/product type, Spec and FSC claim, etc. The organization had purchased 1 batch of FSC certified material before this audit. It had simulated the product account also. The account was recorded correctly. But the FSC material purchased before MA had not been identified correctly, one Minor NC was raised Volume control and applied FSC system of control Transfer system was selected for the company s control system. The warehouse and production manager is responsible for the volume control. The account for material and products had been established, it was recorded by different material/product type and FSC claim, balance was shown in the account. Annual summary had been simulated too, they were correct. The conversion factor had been simulated, it was matched with the output and input. The interviewed employee knew the requirements. Page 12 of 25

13 REF : SF03 FSC CoC AR Sales and deliveries The sales invoicing and shipping procedures have been specified in the FSC-CoC operation manual. FSC products are defined, e.g. the validity of FSC certificate should be claimed on the invoice, all information on FSC invoice should be noted on the packing list or delivery sheet for the same order. The organization had simulated the sales operation before MA, related sales documents had been verified correct. The interviewed person knows related requirements Labelling Control The Labelling procedure was established in the FSC-CoC operation manual. Mr. Xiongzhuang Su was officially authorized to take charge of the responsibility of FSC label, trademarks and logo use. It had not used FSC label till now. Interviewed employee knew the requirements Other practical dispositions (identification of critical control points) The company have identified the critical control points within the company s FSC activity (including from order reception -- purchase --- supplier documents checking storage production -- delivery notes and invoice). The organization possesses FSC material after the material arrives the company, normally the final product would send to the client, and receipt by the client. Critical point operators had been trained, and the interview result showed they all understand related operation requirements Systematic presentation of observations demonstrating conformity or nonconformity with each element of all applicable FSC normative document(s) used for the evaluation are recorded in the checklist(s) provided by auditor(s) with this report Documents review List of documents reviewed during the audit - FSC-CoC Operation Manual - FSC values declaration - Training record (Training material, Attendance sheet) - OHSAS Procedure - Non-conforming product procedure; - Customer complaint handling procedure - Product group list - FSC qualified supplier list - Supplier invoice (# ) - Demo FSC material and product account Page 13 of 25

14 REF : SF03 FSC CoC AR Documents review - Demo Annual summary (material, production and sales) - Demo sales invoice (#PTY1713) - Others Interviews of key personnel Personnel interviewed during the audit Comments - Mr. Xiongzhuang Su V.G.M., M.R., Sales, label responsible - Ms. Xiongfen Deng Purchase - Ms. Jiamei Liao Sales, Finance, Admin - Mr. Xiaolan Sun Store - Mr. Fu Su Production - Mr. Zhenxin He QC - None Description and review of complaints, disputes or allegations The company and/or Bureau Veritas Certification did not receive any complaints, disputes or allegations since previous audit. Note: 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. 4 - Outsourcing Contractor s name Contact details The company does not use any contractor whose might have an impact on the traceability implemented and described in this report. The contractors included in the chain of custody are listed below Outsourced Process Contractor s agreement signed Risk level* High Risk Low Risk Tick all applicable justifications**: 9.2.a. all or most of the manufacturing processes outsourced 9.2.b. different input materials mixed 9.2.c. FSC label applied to the product 9.2.d. FSC certified product not physically returned 9.2.e. another country with CPI lower than 50 Other justification***: Brief description 9.3.a Product permanently labelled or marked in a way that it can t be altered or exchanged 9.3.b Product palletized or maintained as a secure unit not broken apart 9.3.c no manufacturing or transformation of certified product (warehousing, storage, distribution, logistics) Contractor audited during this audit Page 14 of 25

15 REF : SF03 FSC CoC AR Contractor s name Contact details Outsourced Process Contractor s agreement signed Risk level* 9.3.d contractor is FSC certified for outsourcing services Certificate number: XX-COC-XXXXXX High Risk Low Risk Tick all applicable justifications**: 9.2.a. all or most of the manufacturing processes outsourced 9.2.b. different input materials mixed 9.2.c. FSC label applied to the product 9.2.d. FSC certified product not physically returned 9.2.e. another country with CPI lower than 50 Other justification***: Brief description 9.3.a Product permanently labelled or marked in a way that it can t be altered or exchanged 9.3.b Product palletized or maintained as a secure unit not broken apart 9.3.c no manufacturing or transformation of certified product (warehousing, storage, distribution, logistics) 9.3.d contractor is FSC certified for outsourcing services Certificate number: XX-COC-XXXXXX * according to FSC-STD V4-0 chapters 9.2 and 9.3 ** several justifications can be ticked. Reminder: even when one or more of high-risk indicators apply to the outsourced activity, the certification body may approve the low risk categorization if a low risk of contamination can be demonstrated (low risk indicators) *** Even in cases that are not considered high risk as per the high risk indicators, on-site audits at a contractor s facility can be required if any risk of improper additions or mixing by the contractor is identified. Contractor audited during this audit The Organization Control Process for high risk outsourcing Page 15 of 25

16 REF : SF03 FSC CoC AR 5 - Evaluation of FSC Controlled Wood Program APPLICABLE T APPLICABLE System of evaluation of DDS Description of the system developed for the evaluation of the DDS For surveillance audit: steps 2 to the end of the process were conducted. Stakeholders consultation is mandatory only for initial or re evaluation and for surveillance audits when material is sources from unassessed, specified or unspecified risk areas 1 DDS evaluation Off site evaluation Process and resume of conclusions For surveillance audit : description of any significant changes in the DDS: 2 Stakeholders consultation (see part 5.2)-- 3 Risk assessment evaluation () List of risk assessments related to origin Type of Risk Assessment Geographical Scale Conclusions Page 16 of 25

17 REF : SF03 FSC CoC AR 4 Risk Mitigation evaluation Information made publically available by the organization of references to such (section 6 of FSC- STD V3-1) APPLICABLE T APPLICABLE Evaluation of justification for excluding confidential information provided by organization APPLICABLE T APPLICABLE Timeline and circumstances of an extension for the period during which the organization shall adapt the DDS to approved risk assessements APPLICABLE T APPLICABLE Conclusion of Off site evaluation Audit instructions Sampling Sampling / audits at the forest level Sampling / audits at the supplier level Sampling related to control measures On site evaluation (see part 5.3) Stakeholders identification and consultation process APPLICABLE (first evaluation/ re evaluation or material sourced from unassessed, specified or unspecified risk area) T APPLICABLE Page 17 of 25

18 REF : SF03 FSC CoC AR Resume of stakeholders consultation process Page 18 of 25

19 REF : SF03 FSC CoC AR Updated on the 25/03/ Record of Stakeholders consulted and comments received Stakeholders Name Stakeholder group Area concerned (geo-reference data, state, province, supply units) Date of invitation Participation to consultation Consent for publication of comments Type of comment received (letter, mail, interview ) Summery of Comment Description of how the comment was taken into account Page 19 of 25

20 REF : SF36 FSC CoC AR Description of the Supply Chain of non FSC certified materials to be used into FSC Products Group. Description of the Due Diligence System (DDS) implemented by organization Who has developed the DDS or participate to the development? Internally External party Sourcing of non FSC certified material () Is material directly sourced from forest? Origin of wood : Describe the supplier structure for each participating site Supplier structure / Sourcing of non FSC certified material () (to be copied and pasted for each Participating Site if relevant) Name of Participating Site and Sub-Code (if relevant) Exact number of suppliers Supplier type Approximate or exact number of subsuppliers For each supplier Average length of the non-certified supply chain(s) (number of sub-suppliers till the material carried an FSC claim) Risk of mixing with non-eligible inputs identified in the supply chain On site evaluation Sampling of material purchased controlled during the on-site evaluation Page 20 of 25

21 REF : SF36 FSC CoC AR On site evaluation Non certified materials are identifiable and traceable back to the district of origin by verifiable documentation or records Forest level verification Observations, findings and Conclusions Supplier level verification - Observations, findings and Conclusions Control measures - Observations, findings and Conclusions Page 21 of 25

22 REF : SF36 FSC CoC AR 6 - Evaluation of Supplier Audit Program for Reclaimed Materials () Supplier s name Contact details Activity COC code (if the supplier is FSC Certificate Holder) Supplier audited by the Organization Supplier audited by BVC during this audit Evaluation of suppliers Page 22 of 25

23 REF : SF36 FSC CoC AR 7 - Proposals regarding the decision of certification Major Non Conformities No Major Non Conformities has been raised. See the resume on the chart below and the completed information on the SF02 form(s) in annex to this report Minor Non Conformities No minor corrective action request has been raised. See the resume on the chart below and the completed information on the SF02 form(s) in annex to this report. N Grade Major/Minor Central Desk or Site concerned 01 Minor Description of nonconformity The organization had not correctly identified the FSC material it purchased before MA. Timeline for conformance Status Open/Closed Open Observations & review of previous audit results, transaction verification Description of observation The management system documentation demonstrated conformity with the requirements of the applicable standards and provided sufficient structure to support implementation and maintenance of the management system. The organization has demonstrated effective implementation and maintenance of its management system (technical and material resources available, human resources available ) Throughout the audit process, the management system demonstrated overall conformance with the requirements of applicable standards Auditor s response The company took possession of certified material Organizations reported no sales since the previous evaluation In the case of multisite certificate, the central desk demonstrated its ability to manage the number of participating sites under the scope. FSC Trademark uses are accurate and in accordance with appropriate standard and guidance. All nonconformities identified during previous audits have been corrected and the corrective actions implementations were effective. During this audit non-conformities were raised due to false claim and/or fraud made by organisation After this audit, suspension, termination or removal of participating site is recommended due to false claim and/or fraud made by organisation Not Used Page 23 of 25

24 REF : SF36 FSC CoC AR Observations & review of previous audit results, transaction verification Recommendation of investigation by ASI? If yes, justify: Proposal of audit team conclusion Certification / Renewal Maintenance of certification Recommendation of the auditor: Suspension Termination Removal of participating site(s): The organization has established its FSC COC operation manual, product group list and supplier list. The organization had purchased 1 batch of FSC material before this audit, and it simulated the store, production and sales process, related documents had been prepared and verified during this audit. The interviewed employee knew related requirements. Most of the operations could conform to related FSC standards and procedures. The weakness was the organization had not correctly identified the FSC material, 1 Minor NC had been raised accordingly. Since no Major NC was found, the organization was generally complies with the requirements of the all applicable FSC normative documents, the release of V3-0 FSC CoC certificate was recommended. Complementary audit request No complementary audit is necessary 8 - Appendices I.e.: A. FSC Product Group List B. Qualified FSC Supplier List C. Supplier invoice D. Material and product account E. Demo sales invoice F. Demo calculation of conversion factor G. Demo material and sales summary H. Demo production summary I. FSC CoC audit on-site interview form J. FSC CoC Audit Plan K. SF02 Non-conformity Report Forest and Wood Schemes V1.0 L. SF03 FSC CoC Checklist _V3-0_EN Page 24 of 25

25 REF : SF36 FSC CoC AR Lead Auditor: Pengcong Huang Issued the: 09/09/ Certification decision Conclusion of Technical Review Technical Reviewer: Melon Zhang Reviewed the: 29/09/2017 On Sep 29, 2017, we recommend a FSC COC certificate to the applicant company. This certificate is issued under the condition to the NC as specified above. Final Decision Decision Maker: Jamie Tang Date: 29/09/2017 Validation of Technical Reviewer s recommendation: Certification / Renewal Suspension Termination Removal of participating site(s): list of sites Yes No Comments: Maintenance of certification Is suspension, termination, removal of participating site due to false claim and/or fraud made by organisation? Page 25 of 25