Chain of Custody Certification Annual Surveillance Audit ... email: [email protected] 1.2...

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

19 Bridge Square Northfield, MN 55057

Tel: 802-923-3759 Fax: 802-434-3116

Contact person: Hope Saginario Email: [email protected]

Rainforest Alliance is an FSC® accredited certifier

CoC-33s – 01 December 14

Chain of Custody Certification Annual Surveillance Audit 2015

Report for:

CMPC USA, Inc. in

Atlanta, Georgia, USA

Report Finalized: Audit Dates: September 4, 2015

November 17, 2015 Audit Team: Hope Saginario, 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 V2-1; FSC-STD-50-001 V1-2

Organization Contact: Danny Bagley Address: 1040 Crown Pointe Pkwy

Suite 800 Atlanta, Georgia 30338

COC-33s 01Dec14

Table of Contents 1 INTRODUCTION ............................................................................................................................................ 3 2 AUDIT CONCLUSIONS.................................................................................................................................. 3 3 AUDIT PROCESS .......................................................................................................................................... 5 Appendix A: ORGANIZATION DETAILS ............................................................................................................... 8 1 Contacts .......................................................................................................................................................... 8 2 Certificate Scope ............................................................................................................................................ 8 3 FSC Annual Administration Fee (AAF) ......................................................................................................... 10 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................................................................................................................................. 14 Appendix C: STANDARD CHECKLIST (Chain of Custody FSC-STD-40-004 V2-1) ........................................... 15 Apéndice D: LISTADO DE VERIFICACIÓN DE ESTÁNDAR (Cadena de Custodia FSC-STD-40-004 V2-1) .... 25 Appendix E: STANDARD CHECKLIST (Trademark Use) ................................................................................... 35 Appendix F: CHECKLIST (Outsourcing) .............................................................................................................. 38 3 Outsourcing Details ...................................................................................................................................... 38 Appendix G: LIST OF REPORT EXHIBITS ......................................................................................................... 43 Appendix H: CONVERSIONS .............................................................................................................................. 43

COC-33s 01Dec14

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

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

Certification approved:

Upon acceptance of NCRs issued below

Certification not approved:

<Select One>

Additional comments:

COC-33s 01Dec14

2.2 Summary of NCRs and OBS

NCR Number (NCR XX/XX)

Status Standard Reference Timeline

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

By the next annual surveillance audit

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 01/15 Not Applicable FSC-STD-40-004 V3 Not Applicable

OBS 02/15 Not Applicable FSC-STD-40-004 V2-1 Not Applicable

OBS 03/15 Not Applicable FSC-STD-40-004 V2-1; 2.1.1 Not Applicable

2.3 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#: 01/15 NC Classification: Major Minor X

Standard & Requirement: FSC-STD-40-004 V2-1; 12.1.1

Report Section: Appendix F; 1.3

Description of Nonconformance and Related Evidence:

The Organization’s outsourcing agreement with CMPC Maderas does not include sufficient information that covers the outsourcing process, or a clause reserving the right for Rainforest Alliance to audit the subcontractor’s operation.. See Exhibit F.

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

Evidence Provided by Organization:

PENDING

Findings for Evaluation of Evidence:

PENDING

NCR Status: OPEN

Comments (optional):

COC-33s 01Dec14

2.4 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 01/15 Reference Standard & Requirement: FSC-STD-40-004 V3-0, FSC Chain of Custody Standard

Description of findings leading to observation: FSC is in the process of revising the chain of custody standard.

Observation: Organization should be aware that the standard is currently under revision and should ensure

their systems are updated in a timely fashion upon finalization of the standard.

OBS 02/15 Reference Standard & Requirement: FSC-STD-40-004 V2-1

Description of findings leading to observation: Organization plans to add P1 Pulp product group.

Observation: Organization should alert Rainforest Alliance prior to selling pulp so it can be added to their

listing on info.fsc.org.

OBS 03/15 Reference Standard & Requirement: FSC-STD-40-004 V2-1; 2.1.1

Description of findings leading to observation: Organization includes a publically available product group

schedule on their website, however this PGS is not up to date and does not include species and certain

product groups.

Observation: Auditor confirmed that the PGS in Appendix 3 of their DCS is made publically available upon

request by the CMPC USA office. This version of their PGS should be the one listed on their website.

2.5 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.

2.6 Actions Taken by Organization Prior to Report Finalization

2.7 Notes for Next Audit Organization plans to add P1 Pulp Product group.

3 AUDIT PROCESS

3.1 Audit Team

Auditor(s) Qualifications

Hope Saginario Hope graduated with a B.S. in Environmental Conservation Studies in the spring of 2011 and has been with the Rainforest Alliance since October 2012. She completed FSC Lead Auditor Training Course in

COC-33s 01Dec14

October 2012, fulfilling the ISO training requirement. Auditor has completed 110+ audits and assessments and manages a portfolio of CoC clients located mainly in the northeastern region of the United States.

Arturo Burgos Ingeniero Forestal con amplia experiencia en manejo de Plantaciones y en auditorias del sistema de certificación FSC, en Argentina, Colombia, Chile 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

September 4, 2015 4 hours on site

CMPC USA, Inc. Central Office (phone) November 17, 2015 1 hour prep

2 hour phone audit

4 hour report writing

3.3 Description of Overall Audit Process CMPC USA, Inc. (Santiago, Chile) – September 4, 2015 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 de Chile y personal relevante de la COC, se procedió a la presentación de Rainforest Alliance y del auditor, revisión del Plan de Auditoría. -Revisión de documentación y procedimientos (para verificar su implementación): FSC-STD-40-004 V2-1. Para evaluar el desempeño de la organización, se realizaron entrevistas con el personal clave, se verificaron los procedimientos documentados, tal como: • 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 del responsable de la COC en CMPC USA, oficina en Santiago de Chile y personal relevante de la COC, se les detallo los hallazgos preliminares, así como los pasos hasta finalizar el proceso. CMPC USA, Inc. (Atlanta, GA) Phone Audit – November 17, 2015 The auditor contacted Danny Bagley and Terry Garcia to set up a date for the phone audit with CMPC USA. Terry sent documents to the auditor prior to the scheduled day. On November 17th, the audit began with an opening meeting and the auditing process was explained. After initial questions were answered, Danny, Terry and Felipe Irigoyen's responsibilities and the Organization's general processes were discussed. The order entry, receiving, and shipping processes were reviewed. The auditor then analyzed all necessary documents including sample purchase orders, shipping receipts, sales invoices and shipping documents. The auditor then conducted a closing

COC-33s 01Dec14

meeting in which observations were addressed and follow-up actions and report timelines were discussed.

COC-33s 01Dec14

Appendix A: ORGANIZATION DETAILS

1 Contacts

1.1 Primary Contac 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: Same as 1.1 Yes No

Tel/Fax/Email: Same as 1.1 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)

Certificate Type: Single Multi-site Group

Approved Standards:

FSC-STD-40-004 V2-1; FSC-STD-50-001;

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

COC-33s 01Dec14

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:

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, losigtical 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. A site visit was conducted this year by Arturo Burgos. 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. 8 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 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.

COC-33s 01Dec14

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

13 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 Credit Impregnated/treated wood

Species (same for all product groups):

Loblolly pine (pinus taeda)

Slash Pine (pinus elliotti)

Radiata Pine (pinus radiata)

FSC Mix Credit Impregnated/treated wood

Species (same for all product groups):

Loblolly pine (Pinus taeda)

Slash Pine (Pinus elliotti)

Radiata Pine (Pinus radiata)

W4

FSC Mix Credit & FSC 100% Solid Wood Boards

FSC 100% & FSC Mix Credit Solid Wood Boards

W 5.2

FSC 100% Planks FSC 100% Planks W 5.4

FSC Mix Credit Raw Wood for Parquet Flooring

FSC Mix Credit Raw Wood for Parquet Flooring

W 5.7

FSC Mix Credit Finger Jointed Wood

FSC Mix Credit 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 Credit Plywood FSC Mix Credit Plywood W 8.1

FSC Mix Credit Laminboard FSC Mix Credit Laminboard W 8.1.1

FSC Mix Credit & FSC 100% Doors and Door Frames

FSC Mix Credit & FSC 100% Doors and Door Frames

W 11.1

FSC Mix Credit & FSC 100% Mouldings

FSC Mix Credit & FSC 100% Mouldings

W 11.8

FSC Mix Credit Paper and Paperboard

FSC Mix Credit Paper and Paperboard

P2 Paper

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)

COC-33s 01Dec14

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:

COC-33s 01Dec14

Appendix B: AUDIT AND NONCONFORMANCE FINDINGS

1 Audit Background

1.1 Audit Period (Date Range Audit Covers): August 2014 - July 2015

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: There have been no complaints against CMPC USA, Inc. However, ASI has received an incident report (IN-0166) from FSC regarding allegations that CMPC Tissue has created a monopoly for their paper products in Chile. The South America Regional Office for Rainforest Alliance manages the CMPC Maderas FSC Certificate and they have been made aware of the issue and are taking appropriate action. CMPC Tissue is separate division from CMPC Forestry. CMPC USA is well aware of situation in Chile, but it does not affect CoC certification of wood products. Products won't ever make it to the North America market due to type of products (diapers, facial tissue, bath tissue, paper towels) that makes it not economical to ship into the US. Pulp will be purchased in future from the CMPC Pulp Division, which is unrelated to Tissue Division.

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)

NCR#: 01/14 NC Classification: Major Minor X

Standard & Requirement: FSC-STD-40-004 V2-1, section 1.2.1, and 10.1. FSC-DIR-40-004, ADV 40-004-08

Report Section: Appendix C, section 1.2.1

Description of Non-conformance and Related Evidence:

Organization has not developed documented procedures for a)-e) or assigned responsible personnel.

In case non-conforming products are detected after they have been delivered, the organization shall: a) immediately cease to sell any non-conforming products held in stock; b) identify all relevant customers, and advise those customers in writing within three (3) business days and maintain records of that advice; c) analyze causes for occurrence of non-conforming products and implement measures to prevent its re-occurrence;

COC-33s 01Dec14

d) notify their certification body;

e) cooperate with the certification body in order to allow confirmation that appropriate action is taken to correct this non-compliance

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 non-conformance.

Timeline for Conformance: By the next annual surveillance audit

Evidence Provided by Organization:

See Exhibit H. The organization submitted revised documented control system prior to report finalization.

Findings for Evaluation of Evidence:

The organization has established procedures to handle nonconforming products. Although the procedures do not follow the format outlined in the Advice note referenced above, all critical aspects of the procedures have been addressed. In addition responsibilities have been assigned within the procedures.

NCR Status: CLOSED at 2014 Assessment

Comments (optional):

COC-33s 01Dec14

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:

Note that Organization received paper from Cartulinas but sold it without a claim. The “other” column represents products that are purchased as certified but not sold as such. Although Organization is a broker, their warehouses keep inventory of certified product, as verified and approved by Rainforest Alliance during their 2014 assessment.

COC-33s 01Dec14

Appendix C: STANDARD CHECKLIST (Chain of Custody FSC-STD-40-004 V2-1)

1 Evaluation of Site: CMPC USA, Inc.

Primary Responsible Person:

(Responsible for control system at site(s))

Danny Bagley

Auditor(s): Hope Saginario

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

Terry Garcia, Logistics Manager (CMPC USA)

Felipe Irigoyen, Deputy Director of International Logistics (CMPC Maderas)

Monica Casanueva, International Sales Administration Manager (CMPC Maderas)

Brief Overview of Audit Process for this Location:

Please refer to section 3.3 above for Description of Overall Audit Process.

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)

Comments:

2 FSC Sales

Type(s) of Customers for FSC Product Groups:

Broker/distributors Manufacturers Retailers Printers

End-users Other:

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

3 Standard Checklist The following section summarizes the Organization’s compliance with FSC Chain of Custody (CoC) requirements. This checklist is directly based on the FSC CoC standard STD-40-004 FSC Standard for Chain of Custody Certification (Version 2-1). FSC standard requirement numbers are identical with the checklist numbers below. Terms in italics can be found in the FSC-STD-40-004 V2-1 section D Terms and Definitions.

Part I: Universal Requirements (Part I applicable to all Organizations)

Standard Requirement Compliance

1. Quality Management

1.1 Responsibility

1.1.1 The organization shall appoint a management representative as having overall responsibility and authority for the organization’s compliance with all applicable requirements of this standard:

Yes No

Findings: The organization has appointed Danny Bagley, General Manager as the person that has overall responsibility and authority for the organization’s compliance with the applicable requirements of this standard as confirmed through interview.

COC-33s 01Dec14

1.1.2 All relevant staff shall demonstrate awareness of the organization’s procedures and competence in implementing the organization’s Chain of Custody management system:

Yes No

Findings: All relevant staff did demonstrate awareness of the organization’s procedures and competence in

implementing the organization’s Chain-of-Custody management system, as confirmed by interview.

1.2 Procedures

1.2.1 The organization shall establish, implement and maintain procedures and/or work instructions covering all applicable requirements of this standard, according to its scale and complexity:

Note: Organization’s documented procedures shall include provisions defining the controls and related responsibilities and authorities for dealing with non-conforming products (in accordance with FSC-DIR-40-004, ADV 08). Small CoC enterprises do not need such procedures documented.

Also, note ADV 11 which requires FSC certificate holders exporting and/or importing timber or timber products to have procedures in place to ensure that the commercialization of FSC certified products comply with all applicable trade and custom laws.

[Exhibit Required]

Yes No

Findings: The organization has established, implemented and maintained procedures and/or work instructions covering all applicable requirements of this standard. The organization has procedures defining the controls and related responsibilities and authorities for dealing with non-conforming products, as confirmed by interview and document review. See Exhibit A.

1.2.2 The organization shall define the personnel responsible for each procedure, together with the qualifications and/or training measures required for its implementation:

Yes No

Findings: The organization’s Document Control System (DCS) defines the personnel responsible for each procedure. The DCS also specifies training measures required for its implementation. See Exhibit A.

1.3 Training

1.3.1 The organization shall establish and implement a training plan according to the qualifications and/or training measures defined for each procedure:

Note: Qualifications and/or training measures as required under 1.2.2.

Yes No

Findings: The organization has established and implemented training plan according to the qualifications and/or training measures defined for each procedure as confirmed by interview and document review of training records and DCS.

1.3.2 The organization shall keep records of the training provided to staff in relation to implementation of this standard:

Yes No

Findings: The organization provided the auditor with training records to indicate that training took place prior to the Organization's Annual Audit.

1.4 Records

1.4.1 The organization shall maintain complete and up-to-date records covering all applicable requirements of this standard:

Yes No

Findings: The organization has maintained complete and up-to-date records covering all applicable requirements of this standard, as confirmed during a review of the organization’s documentation. All requested records were made available to the auditor.

1.4.2 Retention time for all records and reports, including purchase and sales documents, training records, production records, volume summaries, and trademark approvals, shall be specified by the organization and shall be at least five (5) years:

Yes No

Findings: As confirmed through interview and document review. the organization has a procedure for maintaining FSC documentation for at least five years. All documentation requested was made available for the auditor’s review.

1.5 Commitment to FSC Values

COC-33s 01Dec14

1.5.1 The organization shall demonstrate its commitment to comply with the Values of FSC as defined in the “Policy for the Association of Organizations with FSC” (FSC-POL-01-004, initially approved in July 2009):

Yes No

Findings: The organization has demonstrated its commitment to comply with the Values of FSC by providing Rainforest Alliance with a signed FSC self-declaration form. See 1.5.2 below. During the audit interviews the auditor did not observe any evidence that would be contrary to the FSC values.

1.5.2 The organization shall declare not to be 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: Note: Auditor is responsible for confirming organization has signed and submitted to Rainforest Alliance the FSC self declaration form provided in FSC-PRO-20-001 V1-0, Annex B to demonstrate conformance with 1.5.1 and 1.5.2.

Yes No

Findings: The organization has declared not to be directly or indirectly involved in any of the activities listed in a) to f) by signing FSC’s self-declaration, a signed copy of which was provided to the auditor.

1.6 Occupational Health and Safety

1.6.1 The organization shall demonstrate its commitment to occupational health and safety. Note: Per FSC-PRO-20-001 V1-1 EN, auditor is responsible for verifying the organization’s conformance with Clause 1.6 by checking that the following quality management elements are in place:

Appointed representative for occupational health and safety;

Company procedure(s) for occupational health and safety; and

Training of staff on health and safety procedures.

Note: The extent of the quality management system documentation and training can differ from one organization to another due to the size of organization and type of activities; the complexity of processes and their interactions; and the competence of personnel.

Yes No

Findings: As confirmed through interview and document review, the organization has demonstrated its commitment to occupational health and safety according to this requirement. The following quality management elements in place:

The following health and safety representative has been appointed: Carla Bueford, Administration Manager

The organization has the following health and safety procedures: Organization has a safe work environment

policy, "common sense" measures are taken, lifting requirements are in place as well as OSHA requirements.

Health and safety training is provided to staff as follows: All new hires go through a health and safety training

during orientation. Annual training with biannual fire evacuation protocols are in place.


2. Scope of the Chain-of-Custody System

2.1 Product Groups

COC-33s 01Dec14

2.1.1 The organization shall establish FSC product groups for all products that will be sold with FSC claims:

Yes No

The organization shall maintain an up-to-date and publicly available FSC product group schedule with the following information:

a) Specification of the product group as FSC 100%, FSC Mix, FSC Recycled or FSC Controlled Wood;

b) Product type(s) according to the FSC product classification (FSC-STD-40-004a);

c) Species including scientific and common names used as inputs to the product group, if information on species composition is commonly used to designate the product characteristics.

Note: Per FSC-DIR-40-004, FSC certified suppliers shall provide customers with the required information of Advice 10 for FSC certified and FSC Controlled Wood timber or timber products subject to compliance with applicable timber legality legislations.

[Exhibit Required]

Yes No

Findings: The organization has maintained an up-to-date FSC product group schedule (PGS) specifying all applicable required information in a) to c). The organization makes the PGS publicly available upon request as confirmed through interview and document review. See Exhibit B.

2.1.2 The organization shall specify for each product group:

a) The material categories used as input;

b) The control system used for making FSC claims:

i. Transfer system;

ii. Percentage system; or,

iii. Credit system;

c) The sites involved in management, production, storage, sale, etc.

Note: Per clause (a), material categories eligible as inputs for FSC product groups are FSC 100%, FSC Mix, FSC Recycled, FSC Controlled Wood, controlled material, post-consumer reclaimed, and pre-consumer reclaimed.

Yes No

Findings: The organization has specified all required information in a) to c) as confirmed through interview and document review. See Exhibit B.

2.1.3 For product groups where a percentage or credit system based on claim periods is used, the organization shall ensure that all included products share similar specifications in relation to:

a) Quality of inputs;

b) Conversion factors.

Yes No

N/A

Findings: Organization only operates using the transfer system.

2.2 Outsourcing

2.2.1 The organization shall follow the requirements specified in Part IV, Section 12 of FSC-STD-40-004 V2 for any outsourced activities covering products included within the FSC product group schedule:

Note: See separate report checklist for outsourcing, if applicable.

Yes No

N/A

Findings: The organization has followed most outsourcing requirements specified in Part IV, Section 12 of FSC-STD-40-004 V2-1. See Appendix E for details.


3. Material Sourcing

3.1 Input Specifications

3.1.1 The organization shall adopt and use the definitions and categorization of input materials as specified by this standard:

Yes No

COC-33s 01Dec14

Findings: The organization has adopted the definitions and categorization of input materials as specified by the standard in its documented control system and product group schedule as confirmed by interview.

3.1.2 The organization shall categorize all inputs to FSC product groups by their material category and shall ensure that only eligible inputs are used: Note: Material categories eligible as inputs for FSC product groups are FSC 100%, FSC Mix, FSC Recycled, FSC Controlled Wood, controlled material, post-consumer reclaimed, and pre-consumer reclaimed.

Yes No

Findings: The organization has categorized all inputs to FSC product groups by their material category, and has ensured that only eligible inputs are used as confirmed by interview and review of supplier and sales documentation.

3.2 Supplier Validation

3.2.1 The organization shall establish and maintain an up-to-date record of all suppliers who are supplying material used for FSC product groups including:

a) The supplied product type;

b) The supplied material category;

c) The supplier’s FSC CoC or FSC CW code, if applicable.

[Exhibit Required]

Yes No

Findings: The organization has established and maintained an up-to-date record of suppliers including all requirements in a) to c). See Exhibit C.

3.2.2 The organization shall verify the validity and scope of the supplier’s FSC certificate for any changes that might affect the availability and authenticity of the supplied products via info.fsc.org:

Yes No

N/A

Findings: The organization has verified the validity and scope of the suppliers' FSC certificates at www.info.fsc.org. Camila Pena, Inventory Planning Supervisor (CMPC Maderas) is responsible for checking info.fsc.org. Auditor confirmed that the last check was done on 9/3/2015.

3.3 Purchase of Non-FSC Material

Check if section is not applicable (Organization only uses inputs supplied with FSC claims for its FSC product groups)

3.4 Generating Raw Material On-site

Check if section is not applicable (Organization does not use its own recovered material for FSC product groups)

3.5 Purchase of FSC Controlled Wood from FSC-certified Suppliers

Check if section is not applicable (Organization does not have FSC Controlled Wood inputs)


4. Material Receipt and Storage

4.1 Identification of Inputs

4.1.1 On receipt of material or prior to further use or processing the organization shall check the supplier invoice and supporting documentation to ensure the following:

a) The supplied material quantities and quality are in compliance with the supplied documentation;

b) The material category and, if applicable, the associated percentage or credit claim is stated for each product item or for the total products;

c) The supplier’s FSC Chain of Custody or FSC Controlled Wood code is quoted for material supplied with FSC claims.

Yes No

Findings: As confirmed through interview and document review, the Organization has demonstrated that upon receipt of material or prior to further use or processing, the supplier invoice and supporting documentation are checked to ensure a), b) and c). 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

http://info.fsc.org/

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

COC-33s 01Dec14

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.

Invoices reviewed: CMPC Maderas: FSC Mix Credit, 70333, 70350, 69837, 70530, 71137.

4.2 Segregation

4.2.1 The organization shall ensure that inputs used for FSC product groups remain clearly identifiable and separable by product group or, if identical inputs are used for more than one FSC product group, by their associated FSC claim:

Note: Inputs are separate by product group (both FSC and non-FSC) or by FSC claim of the input when inputs between FSC product groups are identical.

Yes No

N/A

Findings: 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. See related findings in Outsourcing Appendix F below.

4.3 Precautions for Labeled Material

4.3.1 For materials received with an FSC label the organization shall ensure the following:

a) Material which will be further processed shall be cleared of any labels or segregation marks before sale;

b) Material which shall be sold unchanged shall be checked by the organization for being correctly labeled according to its FSC material category unless the organization does not gain physical possession of the material.

Note 1: clause (a) does not apply when the label is inseparable from the product, e.g., printed materials.

Note 2: regarding clause (b), when the organization identifies mislabelled products, it shall inform Rainforest Alliance and await approval or guidance before the applicable products are sold.

Yes No

N/A

Findings: The Organization does not take physical possession of material.

4.3.2 For materials received with a label from other forestry conformity assessment schemes, the organization shall ensure that the materials are cleared of any such labels before sale with an FSC claim:

Yes No

N/A

Findings: The Organization does not take physical possession of material.


5. Volume Control

5.1 Conversion Factors

Check if section is not applicable (Organization does not transform product)

5.2 Material Balances

5.2.1 For each product group the organization shall establish a material accounting record to ensure that at all times the quantities produced and/or sold with FSC claims are compatible with the quantities of inputs, from different material categories, their associated percentage or credit claims, and the product group conversion factor(s). The accounting record shall include at least the following information:

For inputs and outputs:

a) Invoice references;

b) Quantities (by volume or weight) ;

For inputs:

c) Material category and, if applicable, percentage claim or credit claim;

For outputs:

Yes No

COC-33s 01Dec14

d) FSC claim;

e) Information to identify the product item in invoices;

f) Applicable claim period or job order.

Note: Records for ‘pieces’ may suffice when information is not available on volume or weight.

Findings: The organization has a system for maintaining a material accounting record that ensures all of the information of a) – f) is kept and available for auditor review. 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. This was confirmed through interview and document review of invoices listed in 4.1.1 and 6.1.1.

5.2.2 For each product group the organization shall prepare annual volume summaries providing quantitative information for each material category received/used and product type produced/sold, as follows:

a) Inputs received;

b) Inputs used for production (if applicable);

c) Inputs still in stock;

d) Outputs still in stock;

e) Outputs sold.

[Exhibit Required for Audits and Reassessments]

Yes No

Findings: The organization has provided an annual volume summary that includes the quantitative information required. See Exhibit D.

Note that Organization received paper from Catulinas but sold it without a claim. The “other” column represents products that are purchased as certified but not sold as such. Although Organization is a broker, their contracted warehouses keep inventory of certified product, as verified and approved by Rainforest Alliance during their 2014 assessment.

5.3 Determination of FSC Claims

5.3.1 The organization shall determine for each claim period or job order the appropriate FSC claim according to one of the following control systems specified for the product group:

a) Transfer system (Part II, Section 7): applicable to all product groups;

b) Percentage system (Part II, Section 8): applicable to FSC Mix and FSC Recycled product groups;

c) Credit system (Part II, Section 9): applicable to FSC Mix and FSC Recycled product groups.

Note: The transfer system shall be applied to FSC 100% product groups.

Yes No

Findings: The organization has determined the appropriate FSC claim for each job order, according to the transfer system as confirmed by interview and document review.

5.3.2 For each product group the organization shall carry out calculations of input percentages (under a percentage system) or FSC credit (under a credit system) at the level of a single site:

Yes No

N/A

Findings: Organization only operates using the transfer system.


6. Sales and Delivery

6.1 Identification of Outputs Sold with FSC Claims

6.1.1 The organization shall ensure that all sales and delivery documents issued for outputs sold with FSC claims include the following information:

a) Name and contact details of the organization;

b) Name and address of the customer;

c) Date when the document was issued;

Yes No

COC-33s 01Dec14

d) Description of the product;

e) Quantity of the products sold;

f) The organization’s FSC Chain of Custody and/or FSC Controlled Wood code;

g) Clear indication of the FSC claim for each product item or the total products as follows:

i. the claim “FSC 100%” for products from FSC 100% product groups;

ii. the claim “FSC Mix x%” where ‘x’ represents the applicable percentage claim for products from FSC Mix product groups under a percentage system;

iii. the claim “FSC Mix Credit” for products from FSC Mix product groups under a credit system;

iv. the claim “FSC Recycled x%” where ‘x’ represents the applicable percentage claim for products from FSC Recycled product groups under a percentage system;

v. the claim “FSC Recycled Credit” for products from FSC Recycled product groups under a credit system;

vi. the claim “FSC Controlled Wood” for products from FSC Controlled Wood product groups or for products from FSC Mix or FSC Recycled product groups that will not be sold as FSC-certified.

h) If separate transport documents are issued, information sufficient to link the invoice and related transport documentation to each other.

Note: For supplies of finished products that meet the labeling thresholds specified in Section 11 the organization may omit the percentage or credit information. In this case, the material has lost its information on FSC or post-consumer input for subsequent customers and therefore may not be further re-sold with FSC claims by the customers.

Note: According to FSC-DIR-40-004, ADVICE 40-004-05 organization may use abbreviated claims when it can demonstrate it is not able to include the required FSC claim in sales and delivery documents due to space constraints.

Findings: Auditor confirmed through interview and document review that the organization has a system to ensure that all relevant sales documents include a) to h) above. 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 6.1.1 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.

Invoices reviewed include: All FSC Mix Credit and include correct claim and code information: 37328, 370621, 366224, 373669, 378217.

6.1.2 The organization shall include the same information as required in clause 6.1.1 in the related delivery documentation, if the sales documentation(or copy of it) is not included with the shipment of the product:

Yes No

N/A

Findings: The organization includes all of the same information as required in clause 6.1.1 in the related delivery documentation. See related findings in 6.1.1 above.

6.1.3 Organizations selling semi-finished products with FSC claims shall provide information by sales documentation, delivery documentation and/or supplementary letters on the quantity (volume or weight) of minor components which are exempt from requirements for Chain of Custody control and labeling, if their proportion exceeds 1% of the product volume or weight:

Note: Per FSC-DIR-40-004, Advice 09:

(a) From 01 January 2013 onwards, Clause 6.1.3 of FSC-STD-40-004V2-1 will also apply to organizations selling semi-finished products containing minor components below 1% of the product composition. The following claim shall be provided to customers: “This product contains “x” of minor components”, where “x” is the quantity in volume, weight or percentage of minor components.

Yes No

N/A

COC-33s 01Dec14

(b) After 31 December 2014 and applying worldwide, the sale of FSC products containing uncertified and uncontrolled minor components is no longer allowed.

Findings: The Organization does not use minor components.

6.2 Labeling of Products Sold with FSC Claims

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

6.3 Supplying FSC Controlled Wood

Check if section is not applicable (Certificate scope does not include supply of FSC Controlled Wood)

Part II: Systems for Controlling FSC Claims


7. Transfer System

Check if section is not applicable

7.1 Specification of Claim Periods or Job Orders

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

Note: The minimum length of the claim period shall be the length of time to complete a batch run including receipt, storage, processing, labeling and/or sale of the output product; time period shall be known, otherwise job order is specified. Job orders may also be isolated batch production runs for irregular FSC sales.

Yes No

Findings: The organization makes an FSC claim on each job order. The claim period is the time stock is received until the finished product is sold and invoiced as confirmed by interview and document review.

7.2 Inputs with Identical FSC Claims

7.2.1 For claim periods or job orders in which inputs belong to only one material category carrying an identical FSC claim, the organization shall determine this to be the corresponding FSC claim for the outputs:

Note: If the input consists of 100% post-consumer reclaimed materials the output FSC claim shall be “FSC Recycled 100%”.

Note: FSC output claims may be downgraded in accordance with the diagram released within the FSC standard interpretation on Tuesday, 23. April 2013.

Yes No

N/A

Findings: The organization always uses inputs belonging to only one material category for FSC claim periods or job orders. The organization has procedures to ensure that job orders which have one material category of inputs carry the corresponding FSC claim for outputs as confirmed by interview and document review.

7.3 Inputs with Different FSC Claims

7.3.1 For claim periods or job orders in which inputs of different material categories or associated percentage claims or credit claims are mixed the organization shall use the FSC claim with the lowest FSC or post-consumer input per input volume as the FSC claim for the outputs:

Note: Inputs with an ‘FSC Mix Credit’ claim or an ‘FSC Recycled Credit’ claim shall be considered as having a lower standing than inputs with an ‘FSC 100%’ or an ‘FSC Recycled 100%’ claim, respectively.

Note: Possible combinations of FSC input claims and resulting output claims under the transfer system can be found in a table released within the FSC Standard Interpretation on Tuesday, 23. April 2013.

Yes No

N/A

Findings: The organization never uses inputs belonging to different material categories for FSC jobs. Organization purchases FSC Mix and FSC 100% but always downgrades to the FSC Mix Credit claim in order to simplify and streamline their system.

COC-33s 01Dec14


8. Percentage System



9. Credit System


Part III: Labeling

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

Part IV: Supplementary Requirements

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.

13. Minor Components

Check if Organization will not/does not sell FSC certified products with approved minor components.

See finding 6.1.3 above for minor components requirements and findings, if applicable.

COC-33s 01Dec14

Apéndice D: LISTADO DE VERIFICACIÓN DE ESTÁNDAR (Cadena de Custodia FSC-STD-

40-004 V2-1)

1 Evaluación del Sitio: CMPC Maderas S.A.

Persona responsable principal: (Responsable por el sistema de control en sitio(s))

Felipe Iriyogen, Deputy Director of International Logistics of CMPC Maderas

Auditor(es): Arturo Burgos

Personas entrevistadas, Cargos: Felipe Iriyogen, Deputy Director of International Logistics of CMPC Maderas

Patricio Maldonado, Jefe gestión Inventarios, CMPC Maderas

Natalia Figueroa, Encargada Control Facturas, CMPC Maderas

Mónica Casanueva, Jefe Administrativo y Ventas, CMPC Maderas

Ivana Rivas, Asistente Gestión Inventarios, , CMPC Maderas

Darwin Morales, Encargado certificación Industria, CMPC Maderas

Breve descripción del proceso de inspección en este Sitio:

Revisión de documentación y procedimientos (para verificar su implementación): FSC-STD-40-004 V2-1. Para evaluar el desempeño de la organización, se realizaron entrevistas con el personal clave, se verificaron los procedimientos documentados, tal como: • 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)

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 (Versión 2-1). Los números de los requerimientos del estándar FSC son idénticos a los números del listado de verificación a continuación. Los términos en cursiva pueden ser encontrados en FSC-STD-40-004 V2-1 sección D Términos y Definiciones.

Parte I: Requerimientos Universales (Parte I aplica a todos los tipos de Organizaciones)

Requerimiento del Estándar Conformidad

1. Manejo de Calidad

1.1 Responsabilidad

COC-33s 01Dec14

1.1.1 La organización deberá designar un representante que tenga la responsabilidad y autoridad general para el cumplimiento de la organización con todos los requerimientos aplicables de este estándar:

Sí No

Hallazgos: El Gerente General, Felipe Iriyogen, es el responsable de la Cadena de Custodia, quien a su vez formalmente ha designado al responsable del control de la Cadena de Custodia al Deputy Director of International Logistics of CMPC Maderas, esta cuenta con la responsabilidad de hacer cumplir todos los requerimientos del presente estándar.

1.1.2 Todo el personal relevante deberá demostrar conocimiento de los procedimientos de la organización y capacidad para implementar el sistema de manejo de la Cadena de Custodia de la organización:

Sí No

Hallazgos: El personal ha participado de capacitaciones y en general ha demostrado conocimiento de sus procedimientos y de los estándares que implementan en el sistema de cadena de custodia, lo que ha sido verificado por el auditor.

1.2 Procedimientos

1.2.1 La organización deberá establecer, implementar y mantener procedimientos y/o instrucciones de trabajo que abarquen todos los requerimientos aplicables de este estándar, de acuerdo a su escala y complejidad:

Nota: Los procedimientos documentados de la organización deberán definir los controles y

responsabilidades relacionadas para el manejo de productos no conformes (según FSC-DIR-40-004, ADV 08). Las organizaciones pequeñas no necesitan documentar estos procedimientos.

También note el ADV 11, que requiere que las organizaciones certificadas que exportan y/o importan madera o productos de madera, tengan procedimientos para asegurar que la comercialización de productos certificados FSC cumpla con todas las leyes comerciales y aduanales aplicables.

[Evidencia requerida]

Sí No

Hallazgos: La organización cuenta e implementa procedimientos que abarcan todos los requerimientos del estándar, el documento denominado “FSC COC MANUAL - CMPC USA R.2 2015.09 PRINT VERSION, establecen los procedimientos a ser aplicados por el personal de CMPC USA, oficina Santiago.

Evidencia 1 (FSC COC MANUAL - CMPC USA R.2 2015.09 PRINT VERSION), Apéndice D.

1.2.2 La organización deberá definir al personal responsable de cada procedimiento, así como las cualificaciones y/o capacitación necesaria para su implementación:

Sí No

Hallazgos: La organización ha definido a los responsables de cada procedimiento, las cualificaciones necesarias para desarrollar su labor y se han impartido las correspondientes capacitaciones de acuerdo con lo establecido en su plan de capacitación (Addendum 11, del Manual de COC).

1.3 Capacitación

1.3.1 La organización deberá establecer e implementar un plan de capacitación de acuerdo a las cualificaciones y/o medidas de capacitación definidas para cada procedimiento:

Nota: Las cualificaciones y/o medidas de capacitación como se requieren en 1.2.2.

Sí No

Hallazgos: Se ha verificado que la organización ha implementado su plan de capacitación de acuerdo con las cualificaciones del personal y sus procedimientos, cuenta con registros y respaldo de sus presentaciones.

1.3.2 La organización deberá mantener registros de las capacitaciones brindadas al personal en relación a la implementación de este estándar:

Sí No

Hallazgos: Se han verificado los registros de las capacitaciones impartidas, estas describen los temas tratados, lista de participantes y firma correspondientes.

1.4 Registros

1.4.1 La organización deberá mantener registros completos y actualizados que cubran todos los requerimientos aplicables de este estándar:

Sí No

Hallazgos: La organización posee los registros completos y actualizados en base a los requerimientos y los posee en su Sistema CMPC USA y SAP.

1.4.2 El período de almacenamiento de todos los registros y reportes, incluyendo los documentos de compra y ventas, los registros de capacitación, registros de producción, resúmenes de volúmenes y aprobaciones de uso de marcas registradas, deberá ser

Sí No

COC-33s 01Dec14

especificado por la organización y deberá ser por lo menos de cinco (5) años:

Hallazgos: La organización mantienen los registros y la documentación de ventas por un periodo de la menos cinco años, esto se encuentra especificado en su Manual de COC, punto 18.

1.5 Compromiso con los Valores del FSC

1.5.1 La organización deberá demostrar su compromiso para cumplir con los Valores del FSC, tal y como está definido en la “Política para la Asociación de Organizaciones con el FSC” (FSC-POL-01-004, aprobada inicialmente en julio de 2009):

Sí No

Hallazgos: La organización demuestra su compromiso de cumplir con los valores FSC, esto se ha validado con entrevistas al responsable de la COC y revisión de documentos. La organización ha firmado la política para la asociación de organizaciones con el FSC, así mismo lo describe en su manual de CoC. De igual manera, las otras empresas del grupo (Forestal Mininco, CMPC Celulosa, CMPC Maderas, entre otras) se encuentran con Certificación FSC, situación que refleja su compromiso.

1.5.2 La organización deberá declarar que no está involucrada, directa o indirectamente, en las siguientes actividades:

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

b) Violación de 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 u otros usos no forestales;

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

f) Violación de cualquier Convención Fundamental de la OIT, como está definido en la Declaración de la OIT sobre los Principios y Derechos Fundamentales en el Trabajo, 1998.

Nota: El auditor es responsable de verificar que la organización haya firmado y presentado a

Rainforest Alliance, la forma de auto declaración FSC proporcionada en FSC-PRO-20-001 V1-1, Anexo B, para demostrar conformidad con 1.5.1 y 1.5.2.

Sí No

Hallazgos: La organización ha presentado su declaración FSC, la cual tiene fecha 09 de marzo de 2015, firmada por el responsable de CMPC USA, Inc., Addendum 1, Manual de COC.

1.6 Salud y Seguridad Ocupacional

1.6.1 La organización deberá demostrar su compromiso con la salud y seguridad ocupacional. Nota 1: De acuerdo a FSC-PRO-20-001 V1-0 EN, el auditor es responsable de verificar la conformidad de la organización con la Cláusula 1.6, verificando la existencia de los siguientes elementos:

Representante designado para salud y seguridad ocupacional;

Procedimiento(s) de la organización sobre salud y seguridad ocupacional; y

Capacitación del personal sobre procedimientos de salud y seguridad ocupacional.

Nota 2: El nivel de la documentación y la capacitación puede variar de una organización a otra, debido

al tamaño de la organización y al tipo de actividades; la complejidad de los procesos y de sus interacciones; y de la competencia del personal.

Sí No

Hallazgos:

La Organización ha designado como representante al Occupational Health and Safety – CMPC Maderas (SySO) Cuenta con capacitación del personal y posee procedimientos en SySO, además se encuentran acreditados bajo el Sistema de Gestión OSHAS 18001:2007, desde el año 2009 con vigencia hasta mayo del 2018.

CMPC USA, también comparte la política corporativa del grupo CMPC llamada "Política de Seguridad, salud y medio ambiente "(política de seguridad, salud y medio ambiente). Este describe que la empresa sigue las leyes y reglamentos relativos social, la salud y asuntos de seguridad laboral. También describe que la empresa asegura mitigación y prevención de enfermedades y accidentes laborales. Las políticas son publicado él: http://www.forestalmininco.cl/nuestra-empresa/nuestra-politica.


COC-33s 01Dec14

2. Alcance del Sistema de Cadena de Custodia

2.1 Grupos de Productos

2.1.1 La organización deberá establecer grupos de productos FSC para todos los productos que serán vendidos bajo declaración FSC:

Sí No

La organización deberá mantener un listado de grupos de productos FSC actualizado y que esté disponible al público, que contenga la siguiente información:

a) Especificación del grupo de productos como FSC 100%, FSC Mixto, FSC Reciclado o Madera Controlada FSC;

b) Tipo(s) de producto de acuerdo a la clasificación de productos FSC (FSC-STD-40-004a);

c) Las especies, incluyendo el nombre científico y el nombre común, usadas como insumos para el grupo de productos, si la información sobre la composición de especies es comúnmente utilizada para designar las características del producto.

Nota: Según FSC-DIR-40-004, los proveedores certificados FSC deben proveer a sus clientes con la

información requerida en el Advice 10 para madera o productos de madera certificada FSC y Madera Controlada FSC, sujetos a cumplir con leyes aplicables sobre legalidad de madera.


Sí No

Hallazgos: La organización cuenta con un listado de su grupo de productos, en el cual describen tipo de producto de acuerdo con el FSC-STD-40-004 a y la especie, además este se encuentra disponible al público en su sitio web http://www.cmpcmaderas.cl/wp-content/uploads/2013/08/CMPC-USA-FSC-Products.pdf . Sin embargo este listado no contempla toda la descripción de especies que si se encuentra en su manual de COC en el addendum 3, OBS 03/15

Evidencia 2, Grupo de Productos, Apéndice D

2.1.2 La organización deberá especificar para cada grupo de productos:

a) Las categorías del material utilizado como insumo;

b) El sistema de control usado para hacer declaraciones FSC:

i. Sistema de Transferencia;

ii. Sistema de porcentaje; o,

iii. Sistema de Crédito;

c) Los sitios involucrados en el manejo, producción, almacenamiento, ventas, etc.

Nota: Sobre cláusula (a), las categorías del material elegibles como insumos para grupos de productos FSC son FSC 100%, FSC Mixto, FSC Reciclado, Madera Controlada FSC, material controlado, reclamado post-consumidor, y reclamado pre-consumidor.

Sí No

Hallazgos: La organización cumple con lo descrito en las letras a, b y c, en su manual de COC ha definido las categorías de material que usarán como insumo: Madera FSC 100%, FSC Mix Crédito. El sistema de control FSC será el de Transferencia y se identifican las instalaciones donde realiza su operación.

2.1.3 Para grupos de productos donde se usa un sistema de porcentaje o crédito en base a períodos de afirmación, la organización deberá asegurarse que todos los productos incluidos compartan especificaciones similares en relación a:

a) Calidad de los insumos;

b) Factores de conversión.

Sí No

N/A

Hallazgos:

2.2 Tercerización

2.2.1 La organización deberá seguir los requerimientos especificados en la Parte IV, Sección 12 de FSC-STD-40-004 V2-1 para cualquier actividad de tercerización que cubra productos incluidos en el listado de grupos de productos FSC:

Nota: Ver el listado de verificación para tercerización, por separado, si aplica.

Sí No

N/A

Hallazgos: La organización no terceriza, procesos en sus oficinas de Santiago de CMPC USA.


http://www.cmpcmaderas.cl/wp-content/uploads/2013/08/CMPC-USA-FSC-Products.pdf

COC-33s 01Dec14

3. Abastecimiento de Materiales

3.1 Especificaciones de los insumos

3.1.1 La organización deberá adoptar y usar las definiciones y categorización de los materiales de insumo, tal y como lo especifica este estándar:

Sí No

Hallazgos: La organización está usando definiciones y categorizaciones tal como lo requiere el estándar.

3.1.2 La organización deberá categorizar todos los insumos para grupos de productos FSC por su categoría de material y deberá asegurarse de que solamente insumos elegibles son usados:

Nota: Las categorías de materiales elegibles como insumos para grupos de productos FSC son FSC

100%, FSC Mixto, FSC Reciclado, Madera Controlada FSC, material controlado, reclamado post-consumidor, y reclamado pre-consumidor.

Sí No

Hallazgos: La organización ha indicado que la categoría de insumos son, FSC 100%, FSC Mixto.

3.2 Validación del proveedor

3.2.1 La organización deberá establecer y mantener un registro actualizado de todos los proveedores que suministran material utilizado para grupos de productos FSC, incluyendo:

a) El tipo de producto suministrado;

b) La categoría del material suministrado;

c) El código de CoC FSC o CW FSC del proveedor, si aplica.


Sí No

Hallazgos: CMPC USA, Inc. establece y posee un registro actualizado de sus proveedores, de acuerdo con las letras a, b y c.

Evidencia 1, Manual de COC, Addendum 2 “Listado de Proveedores”, Apéndice D

3.2.2 La organización deberá verificar, por medio de http://info.fsc.org/, la validez y el alcance del certificado FSC del proveedor en caso de que algún cambio pueda afectar la disponibilidad y autenticidad de los productos suministrados:

Sí No

N/A

Hallazgos: La responsabilidad de la verificación de la validez de los certificados FSC de proveedores es

"Inventory Planning Supervisor". Se ha verificado por el auditor que el responsable mantiene registros de cada

una de las consultas.

3.3 Compra de material que No es FSC

Marque si la sección no aplica (La organización solamente usa insumos suministrados con declaraciones FSC para sus grupos de productos FSC)

3.4 Producción interna de materia prima

Marque si esta sección no aplica (La organización no usa su propio material recuperado para grupos de productos FSC)

3.5 Compra de Madera Controlada FSC de Proveedores Certificados FSC

Marque si esta sección no aplica (La organización no usa insumos de Madera Controlada FSC)


4. Recepción y almacenamiento de material

4.1 Identificación de Insumos

4.1.1 Al recibir material, o antes de su uso o procesamiento, la organización deberá verificar la factura del proveedor y la documentación de soporte, para asegurarse que:

a) La cantidad y calidad del material suministrado están de acuerdo a la documentación provista;

b) La categoría del material y, si aplica, la declaración de porcentaje o crédito asociada está establecida para cada producto o para el total de productos;

c) El código de Cadena de Custodia FSC o Madera Controlada FSC del proveedor está escrito para el material suministrado con declaraciones FSC.

Sí No


COC-33s 01Dec14

Hallazgos: Se ha verificado en las entrevista al personal responsable que aplica la revisión de los documentos y los productos recibidos, donde se ha podido verificar el cumplimiento de lo requerido en los incisos a, b y c de la presente clausula.

4.2 Segregación

4.2.1 La organización deberá asegurarse que los insumos usados para grupos de productos FSC permanezcan claramente identificables y separables por grupos de productos o, si insumos idénticos son usados para más de un grupo de producto FSC, por su declaración FSC asociada:

Nota: Los insumos son separados por grupos de productos (tanto para FSC como para no FSC) o por declaración FSC del insumo cuando los insumos entre grupos de productos FSC son idénticos.

Sí No

N/A

Hallazgos: La organización no posee posesión física del material, en la Oficina de CMPC USA Santiago.

4.3 Precauciones para material etiquetado

4.3.1 Para materiales recibidos con etiqueta FSC la organización deberá asegurarse que:

a) El material que será procesado deberá estar libre de cualquier etiqueta o marcas de segregación antes de la venta;

b) El material que será vendido sin procesamiento deberá ser verificado por la organización para asegurar su correcto etiquetado de acuerdo a su categoría de material FSC, a menos que la organización no entre en posesión física del material.

Nota 1: Cláusula (a) no aplica cuando la etiqueta es inseparable del producto, i.e. materiales impresos.

Nota 2: Respecto a la cláusula (b), cuando la organización identifique productos erróneamente etiquetados, deberá informar a Rainforest Alliance y esperar la aprobación o lineamientos antes de vender los productos.

Sí No

N/A

Hallazgos: La organización no posee posesión física del material, en la Oficina de CMPC USA Santiago.

4.3.2 Para materiales recibidos con una etiqueta de otro esquema de evaluación de conformidad forestal, la organización deberá asegurarse que los materiales estén limpios de cualquiera de esas etiquetas antes de la venta con declaración FSC:

Sí No

N/A

Hallazgos: la organización solo vende con declaración FSC los productos comprados con declaración FSC de organizaciones certificadas FSC y que estén vigentes.


5. Control del volumen

5.1 Factores de Conversión

Marque si la sección no aplica (La organización no transforma productos)

5.2 Balances de materiales

5.2.1 Para cada grupo de productos, la organización deberá establecer un registro contable de material para asegurarse que siempre las cantidades producidas y/o vendidas con declaraciones FSC sean compatibles con las cantidades de los insumos, de diferentes categorías de materiales, sus asociadas declaraciones de porcentaje o crédito, y los factores de conversión del grupo de productos. Los registros contables deberán incluir, por lo menos la siguiente información:

Para insumos y salidas:

a) Referencias a facturas; b) Cantidades (por volumen o peso);

Para insumos:

c) Categoría del material y, si aplica, declaración de porcentaje o crédito;

Para salidas:

d) Declaración FSC; e) Información para identificar el producto en las facturas; f) Periodo de afirmación u orden de trabajo, según sea el caso. .

Sí No

COC-33s 01Dec14

Nota: Registros para ‘piezas’ pueden ser suficientes cuando la información no esté disponible en volumen o peso.

Hallazgos: La organización tiene procedimientos para llevar el registro de control de la cadena de custodia. El auditor ha verificado que se llevan registros documentado y digitales de acuerdo a lo requerido en los incisos a) al f).

5.2.2 Para cada grupo de productos la organización deberá preparar resúmenes anuales de volumen, en los que se presente información cuantitativa para cada categoría de material recibido/usado y por cada tipo de producto producido/vendido, como se indica a continuación:

a) Insumos recibidos; b) Insumos usados para producción (si aplica); c) Insumos en existencia; d) Productos todavía en existencia; e) Productos vendidos.

[Evidencia requerida para Auditorías y Reevaluaciones]

Sí No

Hallazgos: La organización ha presentado su balance de volúmenes para el periodo de acuerdo con lo requerido en las letras a) hasta la e) para cada categoría de material recibido y tipo de producto vendido.

Evidencia 4, Annual Volume Summary for 2014.08-2015.07, Apéndice D

5.3 Determinación del tipo de declaración FSC

5.3.1 La organización deberá determinar para cada período de afirmación u orden de trabajo la declaración FSC apropiada de acuerdo a uno de los siguientes sistemas de control especificados para los grupos de productos:

a) Sistema de Transferencia (Parte II, Sección 7): aplica a todos los grupos de productos;

b) Sistema de Porcentaje (Parte II, Sección 8): aplica a los grupos de productos FSC Mixto y FSC Reciclado;

c) Sistema de Crédito (Parte II, Sección 9): aplica a los grupos de productos FSC Mixto y FSC Reciclado.

Nota: El sistema de transferencia deberá ser aplicado a los grupos de productos FSC 100%.

Sí No

Hallazgos: La organización ha descrito para su sistema de Transferencia el período de reclamación es el tiempo entre la recepción de una orden de compra con productos certificados y la venta al cliente final. Este ciclo completo dura aproximadamente 120 días.

5.3.2 Para cada grupo de productos la organización deberá calcular porcentajes de insumos (bajo un sistema de porcentaje) o crédito FSC (bajo un sistema de crédito) a nivel de un sitio individual:

Sí No

N/A

Hallazgos: CMPC USA, ha determina el sistema de Transferencia como sistema de control.


6. Ventas y entregas

6.1 Identificación de productos vendidos con declaración FSC

6.1.1 La organización deberá asegurarse que todas las facturas emitidas por productos vendidos con declaración FSC incluyan la siguiente información:

a) Nombre y detalles de contacto de la organización; b) Nombre y dirección del cliente; c) Fecha de emisión del documento;

d) Descripción del producto;

e) Cantidad de los productos vendidos;

f) El código de Cadena de Custodia FSC y/o de Madera Controlada FSC de la organización;

g) Indicación clara de la declaración FSC para cada producto o para el total de productos, como se indica a continuación:

i. La declaración “FSC 100%” para productos de grupos de productos FSC Puro;

Sí No

COC-33s 01Dec14

ii. La declaración “FSC Mixto x%” donde ‘x’ representa la declaración del porcentaje aplicable para productos de grupos de productos FSC Mixto bajo un sistema de porcentaje;

iii. La declaración “FSC Crédito Mixto” para productos de grupos de productos FSC Mixto bajo un sistema de crédito;

iv. La declaración “FSC Reciclado x%” donde ‘x’ representa la declaración del porcentaje aplicable para productos de grupos de productos FSC Reciclado bajo un sistema de porcentaje;

v. La declaración “FSC Crédito Reciclado” para productos de grupos de productos FSC Reciclado bajo un sistema de crédito;

vi. La declaración “FSC Madera Controlada” para productos de grupos de productos FSC Madera Controlada o para productos de grupos de productos FSC Mixto que no serán vendidos como certificado FSC.

h) Si se emiten documentos de transporte por separado, deberá existir suficiente información para vincular la factura con el respectivo documento de transporte.

Nota 1: Para suministros de productos terminados que cumplan con los umbrales de etiquetado especificados en la Sección 11, la organización puede omitir la información del porcentaje o crédito. En dicho caso, el material ha perdido su información de insumo FSC o post consumidor para subsecuentes clientes, y por consiguiente no podrá ser revendido con declaraciones FSC por los clientes.

Nota 2: De acuerdo a FSC-DIR-40-004, ADVICE 40-004-05 la organización puede usar declaraciones abreviadas cuando pueda demostrar que no le es posible incluir las declaraciones requeridas FSC en documentos de venta y entrega, debido a restricciones de espacio.

Hallazgos: La organización en sus documentos de ventas está cumpliendo con los requerimientos (letras a hasta la h), se ha verificado que las facturas de ventas llevan descrito la declaración y código de certificación.

6.1.2 La organización deberá incluir la misma información que se requiere en la cláusula 6.1.1. en la documentación de transporte relacionada, si la factura (o su copia) no está incluida con el envío del producto:

Sí No

N/A

Hallazgos: Para el caso de la venta desde CMPC USA, oficina de Santiago, no emite guías de despacho, solo va la factura de venta y documentos de asociados a la exportación (documentos de aduanas y embarque)

6.1.3 Las organizaciones que venden productos semi-terminados con declaraciones FSC deberán proveer información en las facturas, documentación de transporte y/o cartas complementarias, sobre la cantidad (volumen o peso) de componentes menores que están exentos de los requerimientos para el control de Cadena de Custodia y etiquetado, si su proporción excede el 1% del volumen o peso del producto:

Nota: Según FSC-DIR-40-004, Advice 09:

(a) A partir del 01 de enero 2013, la Cláusula 6.1.3 del FSC-STD-40-004 V2-1 también aplicará a organizaciones que vendan productos semi terminados que contienen componentes menores debajo del 1% de la composición del producto. La siguiente declaración se debe proporcionar a los clientes: “Este producto contiene “x” de componentes menores”, donde “x” es la cantidad en volumen, peso o porcentaje de componentes menores.

(b) Después del 31 de diciembre 2014, y aplicable a nivel mundial, ya no es permitida la venta de productos FSC que contienen componentes menores no certificados o no controlados.

Sí No

N/A

Hallazgos: La organización no utiliza componentes menores.

6.2 Etiquetado de productos vendidos con Declaraciones FSC

Marque si la sección no aplica (La organización no aplica y no planea aplicar etiquetas FSC)

6.3 Suministro de Madera Controlada FSC

Marque si la sección no aplica (El alcance del certificado no incluye el suministro de Madera Controlada FSC)

Parte II: Sistemas para controlar las Declaraciones FSC

COC-33s 01Dec14


7. Sistema de Transferencia

Marque si la sección no aplica

7.1 Especificación de períodos de afirmación u órdenes de trabajo

7.1.1 Para cada grupo de productos, la organización deberá especificar los períodos de afirmación u órdenes de trabajo para los cuales se deberá hacer una misma declaración FSC:

Nota: El tiempo mínimo de un periodo de afirmación deberá ser la cantidad de tiempo que toma para completar un lote de producción, incluyendo la recepción, almacenamiento, procesamiento, etiquetado y/o venta del producto resultante; el período de tiempo deberá ser conocido, de otra manera se debe especificar la orden de trabajo. Las órdenes de trabajo también pueden ser lotes de producción aislados para ventas FSC irregulares.

Sí No

Hallazgos: La organización ha definido para cada grupo de producto su periodo de afirmación o declaración para el sistema de Trasferencia.

7.2 Insumos con Declaraciones FSC idénticas

7.2.1 Para periodos de afirmación u órdenes de trabajo donde los insumos pertenecen a una sola categoría de material que tiene una declaración FSC idéntica, la organización deberá determinar que esta es la correspondiente declaración FSC de los productos:

Nota: Si el insumo consiste de materiales reclamados 100% post-consumidor el producto deberá ser declarado como “100% FSC Reciclado”.

Nota 2: Las declaraciones de productos FSC se pueden degradar, de acuerdo con el diagrama publicado dentro de la interpretación estándar FSC del martes 23 de abril 2013.

Sí No

N/A

Hallazgos: Se ha verificado que la declaración de entrada es la misma que de salida, revisado las facturas de compra y venta.

7.3 Insumos con diferentes Declaraciones FSC

7.3.1 Para períodos de declaración u órdenes de trabajo en los que los insumos de diferentes categorías de material o asociadas declaraciones de porcentaje o declaraciones de crédito se mezclan, la organización deberá usar la declaración FSC del insumo post-consumidor o FSC más bajo por volumen de insumo como la declaración FSC de los productos:

Nota: Los insumos con una declaración ‘FSC Crédito Mixto’ o ‘FSC Crédito Reciclado’ deberán ser

considerados como que tienen más bajo contenido de material FSC que los insumos con una declaración ‘FSC 100%’ o ‘FSC 100% Reciclado’, respectivamente.

Nota 2: Las posibles combinaciones de declaraciones de insumos FSC y las declaraciones resultantes

de productos bajo el sistema de transferencia, se pueden encontrar en una tabla publicada dentro de la interpretación estándar FSC del martes 23 de abril 2013.

Sí No

N/A

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


8. Sistema de Porcentaje



9. Sistema de Crédito


Parte III: Etiquetado

Marque si esta sección no aplica (La organización no aplica etiquetas FSC y no planea aplicarlas)

COC-33s 01Dec14

Parte IV: Requerimientos complementarios

12. Tercerización

Marque si la Organización no hará/no hace procesamiento/manipuleo de grupos de productos FSC en facilidades de terceros.

Ver el listado de verificación para los requerimientos y hallazgos de tercerización, si aplica.

13. Componentes Menores

Marque si la Organización no vende o venderá productos certificados FSC con componentes menores aprobados.

Ver 6.1.3 sobre requerimientos y hallazgos de componentes menores, si aplica.

COC-33s 01Dec14

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: Organization distributes finished, labeled products. The product is labeled with CMPC Maderas' label, the submissions of which are handled under their own certification.

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: As confirmed through interview and document review, the organization has procedures in place that should ensure all trademark use follows 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

COC-33s 01Dec14

Findings: The organization has procedures in place for the submission of trademark use to Rainforest Alliance for review and approval prior to use. Auditor reviewed trademark approvals for a variety of promotional catalogue items. See Exhibit A. Organization does not use the on-product label.

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: As confirmed through interview and document review, the organization has procedures in place and has kept all trademark review and approval correspondence with Rainforest Alliance on file for a minimum of five years. All such correspondence and approvals requested were made available to the auditor.

On-product

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

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: The organization has produced and sold FSC-certified products during the audit period.

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: The Organization has produced and sold FSC-certified products during the audit period.

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: The organization has procedures for meeting criteria 1.17 to 1.22. Promotional trademark use was reviewed by the auditor and found to meet these requirements.

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

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

COC-33s 01Dec14

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

COC-33s 01Dec14

Appendix F: CHECKLIST (Outsourcing)

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

Subcontractor Address Visited for Audit (check if yes)

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

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 H, do not keep inventory. 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

COC-33s 01Dec14

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

High risk

N/A

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) grade and/or sort the material:

Subcontractors do not grade or sort material. 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 the entire production process

Organization is a broker and does not outsource any production.

High risk

N/A

Other: High risk

N/A

5 Requirement Checklist This checklist is directly based on FSC-STD-40-004 FSC Standard for Chain of Custody Certification, section 12. FSC standard requirement numbers are included at the end of each criterion below.

Requirement

1.1 Organization shall have legal ownership of materials that are outsourced

1.2 Organization shall maintain legal ownership of the materials during outsourcing (12.1.1).

Yes No

Findings: The organization maintains legal ownership of materials that are outsourced. This was confirmed by interview.

1.3 Organization shall have procedures for and use an agreement/contract (outsourcing agreement) that (12.1.1):

a) Covers the outsourcing process with the subcontracted operation;

b) Includes a clause reserving the right for Rainforest Alliance to audit the subcontractor’s operation.

Yes No

COC-33s 01Dec14

[Exhibit Required]

Findings: Warehousing activities: The organization has procedures for and uses an outsourcing agreement that include requirements a) and b). See Exhibit A and G.

CMPC Maderas: The organization has sufficient procedures covering the outsourcing process with CMPC Maderas. See Exhibit A. However, their outsourcing agreement with CMPC Maderas (Exhibit F) does not include sufficient information that covers the outsourcing process, or a clause reserving the right for Rainforest Alliance to audit the subcontractor’s operation. See related findings in 1.11. See Exhibit F and NCR 01/15.

1.4 Organization’s documented control system shall include explicit details for the outsourcing process, including (12.1.1, 12.2.1):

a) Procedures for tracking and controlling material at the subcontracted operation;

b) Procedures that ensure the material cannot be mixed with any other materials at the subcontracted operation;

c) Procedures for the subcontractor to maintain records for inputs, outputs, and delivery documentation related to the outsourced material.

[Exhibit Required]

Yes No

N/A

Findings: As confirmed by document review. the organization’s documented control system includes explicit details for the outsourcing process which include requirements a) to c). See Exhibit A.

1.5 Organization shall issue the final invoice for outsourced material and include its FSC certificate code (12.4.1):

Note: If the Organization does not issue the final invoice for outsourced material, the material shall not be sold with any FSC claims

Yes No

Findings: The organization issues the final invoice for all outsourced material and and includes its FSC certificate code. See related findings in Appendix C, 6.1.1.

1.6 Organization shall maintain a list of all subcontractors with contact details included in the certificate scope (12.3.1):

[Exhibit Required]

Yes No

Findings: The organization maintains a list of all subcontractors with contact details included in the certificate scope. See Exhibit H.

1.7 Organization shall inform Rainforest Alliance of any new subcontractors (including name and contact/location details) used for the processing and/or production of materials prior to outsourcing (12.3.2):

Yes No

N/A

Findings: The organization has not outsourced to any new subcontractors during the audit period. The auditor confirmed via interview the organization’s understanding of the requirement to inform Rainforest Alliance of any new subcontractors (including name and contact/location details) prior to outsourcing.

1.8 Organization shall have procedures in place to ensure the subcontractor only uses FSC labels on products covered in the scope of the outsourcing agreement (12.5.1):

Yes No

N/A

Findings: The organization purchases finished products that have already been labeled by the Organization’s suppliers under their own certification.

1.9 Organization shall have procedures in place to ensure the subcontractor does not use the FSC trademarks for promotional use (12.6.1):

Yes No

N/A

Findings: The organization has procedures in place to ensure the subcontractor does not use the FSC trademarks for promotional use as confirmed by interview. This prohibition is also listed in the organization's outsourcing agreement. See Exhibit G.

1.10 Organization shall have procedures in place to ensure the subcontractor does not further outsource the materials to additional subcontractors (12.7.1):

Yes No

N/A

Findings: The organization has procedures in place to ensure the subcontractor does not further outsource the materials to additional subcontractors. This prohibition is also listed in the organization's outsourcing agreement. See Exhibit G.

FSC-certified Subcontractors

Check if section N/A (all subcontractors are non-certified)

Note: the following requirements are taken from FSC-DIR-40-004, Advice 40-004-01.

COC-33s 01Dec14

1.11 The outsourcing agreement shall include the following requirements (2.1):

a) The subcontractor provides outsourcing processes covered under its approved FSC Chain-of-Custody control system;

b) The subcontractor will provide relevant records to Rainforest Alliance upon request;

c) When FSC-labeling is part of the outsourcing arrangement, the Organization’s trademark license code is used.

Yes No

Findings: The organization has an outsourcing agreement in place with CMPC Maderas, however, it does not include requirements a) to c). See related findings in 1.3 above, and Exhibit F. All other warehousing subcontractors are not FSC Certified.

1.12 Organization shall verify the validity and scope of the subcontractor’s FSC certificate via info.fsc.org (2.3):

Yes No

Findings: The organization has verified the validity and scope of the subcontractor's certificate via info.fsc.org as verified by interview.

1.13 Organization shall maintain control and responsibility of the FSC label, including ensuring the correct FSC label is applied, obtaining approval for use of the label, and use of its trademark license code (2.4, 2.5):

Yes No

N/A

Findings: The Organization purchases finished products that have already been labeled by the Organization’s suppliers under their own certification.

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)

1.1 El subcontratista deberá almacenar los materiales de insumo para grupos de productos FSC en forma separada, seguros y en unidades identificables:

Sí No

Hallazgos: CMPC Maderas como proveedor esta certificado COC FSC con alcance a CW (RA-COC-006555; auditoria de seguimiento en septiembre de 2015), ellos entregan el material a CMPC USA en los puertos de destino de USA (Enero a Noviembre, y contempla el 90 a 95% del volumen), solo se vende en puertos de Chile en el mes de Diciembre (5 al 10 % volumen). Por otro lado CMPC Maderas en las oficinas de Santiago (CMPC USA) presta servicios administrativos, para ello capacita al personal de manera de cumplir con los requerimientos del estándar en la recepción y emisión de documentos (Facturas de compra venta y documentos de embarque), lo cual ha sido verificado por el auditor.

1.2 El subcontratista deberá mantener los materiales para grupos de productos FSC físicamente separados en todas las fases del procesamiento:

Sí No

Hallazgos: No aplica. CMPC Maderas en las oficinas de Santiago (CMPC USA) presta servicios administrativos

1.3 El subcontratista deberá usar un sistema de seguimiento o registros de producción, para documentar el procesamiento de materiales para los grupos de productos FSC:

Sí No

Hallazgos: No aplica. CMPC Maderas en las oficinas de Santiago (CMPC USA) presta servicios administrativos

1.4 El subcontratista deberá almacenar los materiales finales de salida para grupos de productos FSC en forma separada, seguros y en unidades identificables:

Sí No

Hallazgos: CMPC Maderas, mantiene la trazabilidad (física y documental) del material en todo momento hasta el traspaso a CMPC USA.

1.1 El subcontratista deberá almacenar los materiales de insumo para grupos de productos FSC en forma separada, seguros y en unidades identificables:

Sí No

Hallazgos: CMPC Maderas supplier is certified as FSC COC reach CW (RA-COC-006555; follow-up audit in 2015), they delivered the material to CMPC USA at ports of destination USA (January to November, and includes the 90-95% by volume), sold only at ports of Chile in the month of December (5 to 10% volume). Moreover CMPC Maderas offices in Santiago (CMPC USA) provides administrative services. To do this it trains staff in order to meet the requirements of the standard in the receiving and sending of documents (bills of sale and shipping documents) This has been verified by the auditor.

1.2 El subcontratista deberá mantener los materiales para grupos de productos FSC físicamente separados en todas las fases del procesamiento:

Sí No


COC-33s 01Dec14

Hallazgos: Does not apply

1.3 El subcontratista deberá usar un sistema de seguimiento o registros de producción, para documentar el procesamiento de materiales para los grupos de productos FSC:

Sí No

Hallazgos: Does not apply

1.4 El subcontratista deberá almacenar los materiales finales de salida para grupos de productos FSC en forma separada, seguros y en unidades identificables:

Sí No

Hallazgos: CMPC Maderas, keeps traceability (physical and documentary) of the material at all times until handover to CMPC USA.

COC-33s 01Dec14

Appendix G: LIST OF REPORT EXHIBITS

CMPC USA – Atlanta, Georgia

Exhibit Item

A Documented Control System (DCS)

B Product Group Schedule (PGS)

C Supplier List

D Annual Reporting Volume Summary

E Self Declaration

F Admin Services Agreement (CMPC Maderas OA)

G Warehouse Services Agreement (Warehouses OA)

H List of Subcontractors

CMPC USA – Santiago, Chile

Evidencia Tema

1 Sistema Documentado de Control (SDC), Manual COC FSC

2 Manual COC Addendum 3 y Grupo de Productos sitio web.

3 Manual de COC, Addendum 2 “Listado de Proveedores”

4 Annual Volume Summary for 2014.08-2015.07

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

Chain of Custody Certification Annual Surveillance Audit ... email: [email protected] 1.2...

Documents

Transcript of Chain of Custody Certification Annual Surveillance Audit ... email: [email protected] 1.2...