Chain of custody certification step by step

The main steps of chain of custody (CoC) certification are described below. However, the exact process may vary according to the type of operation.

For large companies, we may suggest to start with a pre-assessment in order to identify major weaknesses in the company's documented control system. This allows the company to adjust its system prior to the full assessment. For brokers and agents who do not take physical possession of products, NEPCon may offer to conduct a document-based assessment without an on-site visit. 

Initial contact

1. The company contacts NEPCon for an informal dialogue about its options, on phone, e-mail or in the form of a meeting.

NEPCon provides clarifications about the different options to help the company decide on the best available option.

Certification service agreement 

2. The company fills in the application form and and sends it to us.

3. NEPCon estimates the cost of personnel, travel, administration and other expenses, and prepares a proposal for a Chain of Custody assessment covering all costs of the first year or the first 5-year period. 
4. If the company can accept the proposal, we will prepare a service agreement, which is signed by both parties.
5. The company prepares for certification by setting up a chain of custody system and training all relevant staff to implement the system.

On-site assessment

6. When the company has set up its chain of custody system, we agree on a date for the assessment. The CoC assessment usually includes the following elements to verify if the company complies with the CoC certification standards:

• Introduction and roundtrip in the company
• Review of the CoC procedures 
• Review of the handling of certified input and output in the accountancy and inventory system of the company
• Interview of employees handling certified materials to make sure they are familiar with the requirements.

the assessment Report  

7. Based on the visit, our assessor will prepare a draft CoC assessment report. In case our assessor has identified weaknesses in the company’s CoC system, he will describe these as non-compliances in the report and establish corrective action requests. In the FSC system, the non-compliances are classified as major or minor. Major non-compliances must be addressed by the company before a certificate is issued. Minor non-compliances should be addressed within a specific timeframe after receiving the certificate. In the PEFC system, we only operate with one type of non-compliance, which must be addressed prior to certification.

8. When the company has accepted the report and the conditions, we will send it to our accredited partners, the Rainforest Alliance (FSC) or BMG Trada Certifiering AB (PEFC) for final approval. The accredited partner organization will review NEPCon's report and take the certification decision. 

9. Based on a positive evaluation, the company is approved for certification.

For operations undergoing FSC certification,  Rainforest Allliance will issue and send a certification contract to the operation. When the company has signed and submitted the contract, it will receive the certificate, the final assessment report, and the company’s copy of the certification contract. Also, the company will gain immediate access to FSC's online resources for using the FSC trademarks, as well as to the Rainforest Alliance's clients-only website containing a range of materials and tools that are useful for FSC-certified companies.

For operations undergoing PEFC certification, BMG Trada Certifiering AB will send the certificate and a certification decision document stating the conditions for maintaining the certificate.