global-mark p/l management document g-110 title: fsc...

Global-Mark P/L Management Document G-110 Title: FSC® Certification

– Chain of Custody Program Type: Program Information Brochure

This Document Is External

Global-Mark Pty Ltd, Copyright 2005 of 14

Document Information and Revision History

Document Number G-110

Original Author(s) Joe Fernandes

Current Revision Author(s) Wayne Tibbits

Revision History

Revision Date Author(s) Notes

0 15/5/2010 Joe Fernandes Original Release (equivalent to D3)

1 5/5/2011 Herve Michoux Updated after FSC audit

2 15/5/2012 Herve Michoux Updated after FSC audit and update in FSC-40-004 V2.1 including marking from “Pure” to “100%” and “Mixed” to “Mix” + dealing with complaints.

3 4/7/2012 Herve Michoux Updated the logo

4 25/10/2012 Anthony Pun Updated sub-clause numbering as per 25/10/2012 internal audit

5 4/4/2013 Vanessa Mostyn Updated ®

references throughout the document

6 8/4/2013 Herve Michoux Minor updates from ASI audit

7 1/12/2014 Herve Michoux Updated and publication of three revised normative Chain of Custody (COC) documents

8 26/6/2015 Wayne Tibbits Clarify: Evaluating organizations against specific requirements - FSC Controlled Wood (according to FSC-STD-40-005 V2-1)

9 28/09/2016 Emily Silberberg

Changed FSC ®

Only needs to appear the first time in the text.

Updated reference to FSC-STD-40-005 V3. Checked, a few additional changes made (Trademark approval) and accepted by Forestry Program Manager.

10 12/5/2017 Meilyn Michoux Updated formatting

1 Why Do We Have This Document?

This document describes the Certification Program offered by Global-Mark Pty Ltd to Clients seeking Certification for their Chain of Custody Operations. This document is subject to change without notice. The latest version is on our web site: www.global-mark.com.au. This document and other requirements published by FSC® are subject to changes: all clients will be notified within thirty (30) days that such changes are approved by the approval body or Global-Mark.

2 References

The following documents are referenced to the Certification Program:

FSC-STD-40-003: Chain of Custody Certification of Multiple Sites

FSC-STD-40-004: FSC Standard for Chain of Custody Certification

FSC-STD-40-004a: FSC Product Classification

FSC-STD-40-005 v2.1: Standard for Company Evaluation of FSC Controlled Wood (valid until June 30 2017)

FSC-STD-40-005 v3 Requirements for Sourcing FSC Controlled Wood

FSC-STD-40-007: FSC Standard for Sourcing Reclaimed Material for Use in FSC Product Groups or FSC-certified Projects

http://www.global-mark.com.au/


3 Overview

FSC Chain of Custody is an information trail about the path taken by products from the forest or, in the case of recycled materials, from the reclamation site to the consumer including each stage of processing, transformation, manufacturing, and distribution where progress to the next stage of the supply chain involves a change of ownership.

Any change of ownership in the supply chain requires the establishment of effective Chain of Custody management systems at the level of the respective organization and their verification by independent certification bodies, if the organization wants to make an FSC claim about their products. Developing and implementing Chain of Custody management systems is a way for organizations to effectively control their processing system and show their customers the origin of the material in their products. FSC certification of such management systems is designed to provide a credible guarantee to customers, whether business, government or end consumer, that products which are sold (i.e. invoiced and possibly labelled) with a specified FSC certificate code are originating from well managed forests, controlled sources, reclaimed materials, or a mixture of these. FSC Chain of Custody certification thereby facilitates the transparent flow of goods made from such materials through the supply chain.

An FSC Chain of Custody certificate provides information on the evaluated sites, processes and product groups from which such products may originate, and references the Chain of Custody standard(s) used in the evaluation by an FSC-accredited Global-Mark. Compliance with this standard provides a consistent, international basis for independent, third party verification of claims about the sourcing of wood/fibre material and products. It enables suppliers to demonstrate compliance with public or private procurement policies and specifications. A key objective of this standard is to provide a pathway for organizations to both enter the FSC system and/or increase the proportion of FSC-certified input material to 100%.

Access to information by FSC:

By signing GM’s application agreement form the client agrees to

FSCs right of access to confidential information; and

FSCs requirements for specified information to be made public as a requirement of certification and as specified in the applicable FSC rules and regulations.


4 Specific Program Conditions

4.1 General

The certificate holder can only be issued a certificate when it holds a valid License Agreement for the FSC Certification Scheme (which is valid, current and not suspended)

The certificates of the affected clients will be suspended ipso facto within six (6) months after the date of reduction, suspension or withdrawal of the respective scope of FSC accreditation by Global-Mark

That certificate holders that were certified prior to the date of approval of an applicable FSC standard shall comply with the requirements of the new FSC approved standard in accordance with the 'standards effective date' specified in the new standard.

Clients are required not to make any claim of conformity (or near conformity) with FSC requirements in the area included in the scope of the evaluation until and unless a certificate is awarded.

(*) Notes: Post Certification:

Reviews may be undertaken at more frequently. Factors relevant for a potential increase of that frequency include but not limited to: high number of findings from previous audits, findings not being fully addressed, changed in Standard, facility, personnel, ownership etc.

Post Certification or surveillance decision (i.e. conclusion of the review) shall be conform with requirement from FSC Standards.

(**) Note: use of the FSC logo:

Organisations having received the Certificate of Approval shall comply with documents FSC-STD-50-001 on the use of the FSC TradeMark.

4.2 Outsourcing arrangement

Organisations which have outsourcing arrangement(s) shall be considered as high risk. This will impact reviews durations, but may also require an audit of the contractor undertaking activities on behalf of the organisation seeking or having certification.

Costs associated with this additional audit(s) will be charged to the Client.

4.3 Commitment to FSC Values

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). The organization shall declare not 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;

Program Summary Card

Issue

Program Rules/Comments

Standard FSC Standard for Chain of

Custody

Any other relevant documentation FSC Guidelines, Policies,

Directives. Guidance Notes

Target Clients

Organisation involved in the processing or transformation or trading of forestry or wood

based products

Global-Mark output document Certificate of Approval

Other Global-Mark output document NA

Certificate Validity Period 5 years

Certification Mark that can be used by the Client

FSC Logo (see **)

Can this mark be used on product? Yes

Periodicity of Post-Certification Reviews?

12 monthly (see *)

Periodicity of Re-certification Review 5 years (with re-certification

to be completed 3-6 months before expiry)

Steps to and Post-certification Application Document Review Pre-certification Review Optional Certification Review Technical File Review For Trademark approval Follow-up Review Post-certification Review


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.

4.4 Occupational Health and Safety

The organization shall demonstrate its commitment to occupational health and safety

5 FSC requirements for Group Chain of Custody (CoC) Certification

5.1 Group entity administrative requirements:

Group entity authority:

5.1.1 In order to be eligible to apply for group certification, the group applicant must be an independent legal entity or an individual acting as a legal entity.

5.1.2 The group entity shall be contractually responsible to Global-Mark for ensuring that the requirements of all relevant FSC guidelines are fully implemented by all members of the group.

5.1.3 The group entity shall be responsible for ensuring that any conditions on which certification is dependent and any corrective action requests issued by Global-Mark thereafter are fully implemented.

5.1.4 The group entity shall have the authority to remove members from the scope of the group certificate if the requirements of group membership, or any corrective action requests issued by Global-Mark or the group entity are not complied with.

5.1.5 The group entity should be responsible for collecting any fees due to FSC certification from the members.

5.1.6 The group entity shall be responsible for the annual monitoring of each and every member. Monitoring procedures must be in line with the FSC CoC Certification Requirements and the guidelines in Sections 3 and 4 of this document.

Group entity system and documentation requirements:

5.1.7 The group entity's responsibilities with respect to managing the chain of custody certification program for the group, shall be clearly defined and documented, including procedures for new members to join the certified group after a certificate has been awarded.

5.1.8 The group entity must have a system in place for providing information and/or training to group members.

5.1.9 The group entity must carry out an initial inspection to verify that the potential group members comply with certification requirements, including business installation and documentation systems, before they can be admitted.

5.1.10 The group entity must have clear procedures for annual monitoring of each group member which is designed to ensure that CoC requirements are upheld. Additionally, it must have a method for providing information on the results of its monitoring to Global-Mark.

5.1.11 The group entity must have a system for ensuring that all market claims and logo use by members are approved by Global-Mark.

5.1.12 The group entity must keep all CoC documents related to member businesses and have a centralized record keeping system related to inflows and outflows of material in member facilities. They must also be prepared to submit reports summarizing member activities.

5.1.13 The group entity must have its own written guidelines that outline CoC procedures for member businesses.

New members:


5.1.14 The group entity shall have clear documented procedures for new members to join the certified group after the certificate has been awarded. The group entity must carry out an initial inspection of the business installations and their documented systems before they are eligible to enter into the certified group, and hence be permitted to use the FSC trademark.

5.1.15 If a group member joins or leaves the group certification scheme, the group entity shall inform Global-Mark in writing within one month.

5.2 The group entity shall have sufficient legal and management authority and technical support to implement the requirements and responsibilities specified in 5.1 and to support the size of group proposed for certification.

5.3 Group member requirements and responsibilities.

5.3.1 Groups must be comprised of independent “small” enterprises (Participating Sites) and each Participating Site shall qualify as “small” as defined where every group member must comply with the FSC requirements of CoC certification as specified in the FSC CoC standards.

5.3.2 The group members' management responsibilities, (e.g. with regard to management planning, monitoring, quality control, marketing) for certification shall be clearly defined and documented.

5.3.3 Any representation of certified status of group members and their products must be made in reference to the group. Each member must utilize the group’s chain of custody code in relevant sales documentation.

5.4 Informed consent of group members

5.4.1 A 'consent form' or its equivalent must be signed by each group member or the member’s representative who voluntarily wishes to join the certification scheme. The consent form:

5.4.1.1 acknowledges and agrees to the requirements and responsibilities of group membership;

5.4.1.2 agrees to membership of the scheme for the full period of validity of the group certificate;

5.4.1.3 acknowledges their compliance with the chain of custody guidelines; and

5.4.1.4 authorises the group entity to apply for certification on the member's behalf.

Note: If provision of such written documentation and consent is considered inappropriate for any reason, then the reason must be documented, together with an explanation of another means by which the group members have been fully informed as to their obligations as group members, and their consent has been obtained. These means should include meetings and explanations given to individual members.

5.4.2 The group entity must provide each group member with documentation, or access to documentation, specifying the relevant terms and conditions of group membership. The documentation shall include:

5.4.2.1 a copy of the Chain of Custody certification standard to which the group is committed;

5.4.2.2 explanation of the certification process;

5.4.2.3 explanation of Global-Mark's, and FSC's, rights to access the group members' documentation and installations for the purposes of evaluation and monitoring;

5.4.2.4 explanation of Global-Mark's and FSC's requirements with respect to public information;

5.4.2.5 explanation of any obligations with respect to group membership, such as:

a) maintenance of information for monitoring purposes;


b) use of systems for tracking and tracing of forest products;

c) requirement to conform with conditions or corrective actions issued by Global-Mark;

d) any special requirements related to marketing or sales of products covered by the certificate;

e) use of the FSC trademarks and product claims;

f) proper use of CoC certificate number and sub code; and

g) other obligations of group membership.

5.4.2.6 explanation of any costs associated with group membership

Note: In some groups, it may be sufficient to provide individual members with a summary of these items, provided that full documentation is readily available on request at the group offices.

5.5 Group records.

5.5.1 The group entity shall be responsible for maintaining the following records up to date at all times:

5.5.1.1 list of names and addresses of group members, together with date of entry into group CoC certification scheme and sub code assigned;

5.5.1.2 evidence of consent of all group members, preferably in the form of a signed 'consent form';

5.5.1.3 relevant documentation and records regarding the scope of Chain of Custody certification for each group member.

5.5.1.4 records demonstrating the implementation of any internal control or monitoring systems (see paragraphs 5.1, above). Such records shall include records of internal inspections, non-compliance identified in such inspections, actions taken to correct any such non-compliance;

5.5.1.5 relevant documentation regarding production and sales;

5.5.1.6 the date of leaving of any group members, and an explanation of the reason why the member left the group; and

5.5.1.7 relevant documentation showing that they meet the definition of a “small enterprise”

Note: The amount of data that is maintained centrally by the group entity will vary from case to case. FSC recommends that in order to reduce costs of evaluation by Global-Mark, and subsequent monitoring by FSC, data be stored centrally wherever possible.

5.5.2 Documentation shall be archived for at least 5 years, as stated in the FSC accreditation manual (chain of custody requirements).

5.6 Certification costs

The group entity shall be fully responsible to Global-Mark for paying all the costs of evaluation and monitoring throughout the period of validity of the certificate.

5.7 The group CoC certificate will license all members of the group to use the FSC Trademarks under specified conditions. However, the group entity may not issue sub-licenses for use of the FSC Trademarks.


6 FSC requirements for eligibility of Multi-Site Certification for Chain of Custody Operations

6.1 Eligible operations

6.1.1 In order to be eligible to apply for certification, the central office shall be or act on behalf of an independent legal entity which represents the multi-site organization.

6.1.2 The central office shall document and implement clear rules regarding eligibility for the participation of sites in the certificate.

6.1.3 A 'consent form' or its equivalent shall be signed by each applicant site manager (or other participating site representative) to be included in the scope of the certificate. By the consent form the applicant site manager:

6.1.3.1 acknowledges and agrees to the general obligations and responsibilities of participation in the multi-site certificate for the full period of validity of the certificate, as stipulated by this standard and the central office documented procedures;

6.1.3.2 agrees to comply with the relevant FSC Chain of Custody certification standard(s);

6.1.3.3 authorizes the central office to apply for FSC Chain of Custody certification on his or her behalf.

6.1.4 The following minimum membership requirements shall be met:

6.1.4.1 All participating sites have a common ownership or

6.1.4.2 All participating sites have a legal and/or contractual relationship with the central office as well as a centrally administered and controlled management system from the central office that has authority and responsibilities beyond those related solely to certification, including at least one of the following elements: centralised purchase or sales; common operational procedures or same brand name.

6.2 Documented procedures

6.2.1 The central office shall have documented procedures covering all requirements of this standard.

6.2.2 Each procedure shall define the responsibilities, authorities as well as required qualifications and/or training measures for its implementation.

6.2.3 A copy of these procedures shall be stored centrally and made available to all site managers.

6.3 Provision of guiding materials

6.3.1 The central office shall provide each site manager with documentation, or access to documentation, specifying the relevant terms and conditions of participation and certification. The documentation shall include:

6.3.1.1 Access to a copy of the relevant Chain of Custody standard(s) to which the central office and participating sites are committed;

6.3.1.2 Explanation of the certification process;

6.3.1.3 Explanation of the certification and accreditation bodies’ rights to access the participating site for the purposes of external evaluation and external surveillance;

6.3.1.4 Explanation of the certification and accreditation bodies’ requirements with respect to public information;


6.3.1.5 Explanation of any obligations with respect to participation, such as:

a) maintenance of information for surveillance purposes;

b) use of systems for tracking and tracing of FSC®-certified materials or products;

c) requirement to conform with corrective actions issued by Global-Mark;

d) any special requirements related to marketing or sales of products covered by the certificate;

e) proper use of the assigned multi-site certificate code; and

f) other obligations of participation;

6.3.1.6 Explanation of any costs for the participating site associated with certification.

6.4 Responsibility and authority of the central office

6.4.1 Responsibilities of personnel

6.4.1.1 The central office shall appoint one person (or position) as having overall responsibility for the company’s compliance with all aspects of this standard

6.4.1.2 All key personnel (employees and contractors) shall know and understand their specific responsibilities in order to implement all the requirements of this standard.

6.4.2 Implementation of requirements and conditions

6.4.3 The central office shall have the legal or management authority and technical support necessary to implement the responsibilities below, and to manage the number of participating sites proposed for multi-site certification.

6.4.4 The central office shall be contractually responsible to Global-Mark for ensuring that all the requirements of certification (including the relevant Chain of Custody certification standard(s) and any other relevant requirements of Global-Mark) are fully implemented by all participating sites within the scope of the certificate.

6.4.5 The central office shall be responsible for ensuring that any conditions on which certification is dependent and any corrective actions issued by Global-Mark thereafter are fully implemented.

6.4.6 The central office shall have the authority to issue internal corrective actions to any participating site and to enforce them.

6.4.7 The central office shall have the authority to remove participating sites from the scope of the certificate if the requirements of participation, or any corrective actions issued by Global-Mark or by the central office itself, are not complied with by the participating site

6.4.8 The central office shall be able to collate and access data on an annual basis and/or upon request of Global-Mark.

6.4.9 If a participating site is added to or removed from the multi-site certification scheme, the central office shall inform Global-Mark in writing within three working days.

6.4.10 A new set of sites shall only be added to an existing multi-site certificate as the result of surveillance or re-assessment audits by the responsible Global-Mark.

6.5 Use of the FSC Trademarks

6.5.1 The central office shall carry out an initial audit of each applicant participating site to ensure that they comply with all the requirements of the applicable Chain of Custody certification standard(s) and with any additional requirements for participation prior to being admitted as a participating site and their inclusion within the scope of the multisite certificate.

6.5.2 The central office shall carry out an annual audit of each participating site to confirm continual compliance with all the requirements of certification.


6.5.3 The central office may defer or waive on-site audits for those participating sites employing processes or handling products where the risk of mixing certified with uncertified material is inexistent (e.g. sites handling exclusively certified products; wholesale/retail branches trading in finished, labelled and packaged products; sales offices without physical possession of certified products, facilities that have not produced, labelled or sold any FSC®-certified material since the previous audit) following the results of document checks.

6.6 Use of the FSC Trademarks

The central office shall:

6.6.1 submit requests for use of the FSC trademarks to an FSC authorized Trademark Service Provider;

6.6.2 ensure that all use of the FSC trademarks by the multi-site organisation and each participating site complies with FSC requirements;

6.6.3 not produce any kind of document confirming participation in the multi-site scheme similar to FSC certificates issued by Global-Mark;

6.6.4 not issue sub-licenses for use of the FSC trademarks.

6.7 Training

6.7.1 The central office shall provide training for site managers and their key personnel in order to enable participating sites to fully meet the relevant Chain of Custody certification standard(s).

6.7.2 The central office shall provide training for internal auditors as to assessment of compliance with the relevant Chain of Custody certification standard(s).

6.7.3 The central office shall provide ongoing opportunities for learning (such as periodic trainings) in areas requiring strengthening (i.e. based on non-compliances found in both internal and external audits) and shall conduct the necessary training for continual compliance of the system.

6.8 Annual report and management review

6.8.1 The central office shall prepare an internal annual report on the results of all internal audits as well as on any up-coming changes of the Chain of Custody management system.

6.8.2 The annual report shall be discussed, reviewed and approved by top management representatives of the central office and the participating sites.

6.9 Payments of certification costs

The central office shall be fully responsible to Global-Mark for paying all the costs of evaluation and monitoring throughout the period of validity of the certificate.

6.10 Records

6.10.1 The central office shall keep centralized records of all participating sites documents and shall be responsible for maintaining the following records up-to-date at all times:

6.10.1.1 List of all participating sites covered by the multi-site certificate, with their names, addresses and appointed site managers, together with the date of entry into the Certification scheme and the assigned identifier;

6.10.1.2 Evidence of consent from each site manager in the form of a signed 'consent form' (see clause 0, above);

6.10.1.3 Records regarding the scope of Chain of Custody certification for each set of sites

6.10.1.4 Records of the initial internal audit demonstrating that each participating site meets the eligibility criteria (as outlined in previous section), the requirements of the applicable Chain of Custody certification standard(s), and any additional applicable requirements;


6.10.1.5 Records demonstrating the implementation of internal control or surveillance systems. Such records shall include records of annual internal audits, non-compliances identified in such audits, and actions taken to correct them;

6.10.1.6 Relevant documentation as required by the applicable Chain of Custody certification standard(s) in accordance with the particular multi-site procedures regarding production and sales, particularly records of the inflows and outflows of certified material, for each participating site;

6.10.1.7 Records of training and awareness-raising activities provided by the central office and of participation therein;

6.10.1.8 Records of the annual reports and management reviews;

6.10.1.9 The date of withdrawal of any participating site from the scope of the certificate, and an explanation why the participating site was removed;

6.10.1.10 Records of the FSC authorized Trademark Service Provider’s approval of FSC trademark use by participating sites and the central office.

6.10.2 Records shall be archived for at least 5 years and shall be made available to Global-Mark on request.

6.10.3 The central office and/or participating sites shall provide buyers with adequate information or confirmation about the FSC®-certified status of participating sites and their products in order to demonstrate that claims related to FSC certification and available products are truthful and correct.

7 Evaluating organizations against specific requirements - FSC Controlled Wood

An organisation that wants their operation to be chain of custody certified and also wants to include non-certified material in FSC-certified products or product groups must also comply with FSC STD 40-005 Requirements for Sourcing FSC Controlled Wood. Note that this is designed only to allow manufacturers to avoid the categories of wood considered unacceptable to be mixed with FSC certified wood. Its aim is to avoid sourcing illegally harvested wood, wood harvested in violation of traditional and civil rights, wood harvested in forests where high conservation values are threatened by management activities, wood harvested in forests being converted to plantations or non- forest use, and wood from forests in which genetically modified trees are planted.

If the organisation is a forest management enterprises wishing to supply FSC Controlled Wood to FSC certified companies or companies complying with this standard shall themselves comply with the requirements of FSC-STD-30-010 FSC Controlled Wood standard for forest management enterprises. Global-Mark is not accredited for FSC-STD-30-010.

8 Certification process

As part of this process various reviews such as Document review, Pre-Certification Review, Certification reviews, Surveillance (Post-Certification) reviews and Re-Certification Reviews may be performed during the certification cycle.

9 Complaints and appeals – Additional requirements

GM has a duty to seek a timely resolution of complaints or appeals made against it. GM shall provide an initial response, including an outline of our proposed course of action to follow up on the complaint or appeal, within two (2) weeks of receiving a complaint or appeal. GM shall keep: the complainant(s) informed of progress in evaluating the complaint/appeal, and shall have investigated the


allegations and specified all its proposed actions in response to the complaint or appeal within three (3) months of receiving the complaint or appeal.

10 Additional conditions of contract (in addition to the Welcome Pack – G-00)

9.1 Condition of Contract in the event that a certificate is suspended or withdrawn.

These obligations include that on suspension or withdrawal of their certificate the client shall:

9.1.1 immediately cease to make any use of any FSC trademarks, or to sell any products that the client has previously labelled or marked using the FSC trademarks, or to make any claims that imply that they comply with the requirements for certification;

9.1.2 identify all relevant existing customers, and advise those customers of the suspension or withdrawal in writing within three (3) business days of the suspension or withdrawal, and maintain records of that advice;

9.1.3 cooperate with Global-Mark and with FSC in order to allow Global-Mark or FSC to confirm that these obligations have been met.

9.2 Condition of Contract in the event that a certificate is withdrawn.

The client shall:

9.2.1 return the certificate to Global-Mark or destroy the original, and commit to destroy any electronic copies and hardcopies in their possession;

9.2.2 at its own expense remove all uses of FSC®’s name, initials, logo, certification mark or trademarks from its products, documents, advertising or marketing materials.

9.3 Global-Mark losing its FSC Accreditation

In case Global-Mark has a reduction, suspension in scope or withdrawal of its FSC accreditation, the certificates of the affected clients will be suspended ipso facto within six (6) months after the date of reduction, suspension or withdrawal of the respective scope of FSC accreditation;

NOTE: The client will be informed within thirty (30) days after the reduction, suspension or withdrawal of the scope of FSC accreditation that the accreditation of Global-Mark has been reduced, suspended or withdrawn. The clients shall be informed that they have to seek a new FSC-accredited certification body within six (6) months to keep their certificate valid.

9.4 Global-Mark using information

Global-Mark reserves the right to use information which is brought to its attention to follow up on infringements of the FSC Trademarks and of the intellectual property rights held by FSC.

9.5 FSC intellectual property

The client acknowledges the title of the FSC’s intellectual property rights and that FSC shall continue to retain full ownership of the intellectual property rights and then nothing shall be deemed to constitute a right for the client to use or cause to be used any of the intellectual property rights.


11 Appeals Procedure – Applies to FSC Programs

10.1 Why do we have this document?

This document describes how Clients, members of the public, or other stakeholders can appeal the decisions made by Global-Mark Pty Ltd in the context of the FSC Programs.

This procedure is a public document.

10.2 Who can lodge an appeal?

Any stakeholder has the right to appeal a decision of Global Mark Pty Ltd.

Appellants (person or organisation lodging the appeal) can be:

10.2.1 Client

10.2.2 Potential Client

10.2.3 Consultant

10.2.4 Consumer

10.2.5 Regulator

10.2.6 Member of the public

10.2.7 Another stakeholder

10.3 Grounds on which an appeal can be lodged

Appeals must be lodged against one of the following criteria (based on a decision of Global-Mark):

10.3.1 Refusal of Global Mark Pty Ltd to accept an application for certification

10.3.2 Withdrawal or suspension of a certificate of approval

10.3.3 Non-acceptance of the scope, or part of the scope of certification of the client, person or product.

10.3.4 Decision to grant or not to grant certification to a company, person or product.

10.4 Lodging an appeal – process and conditions

10.4.1 All parties must abide by the appeals procedure rules and maintain total confidentiality of the information and the process

10.4.2 All appeals must be directed to the Customer Service Manager (CSM) of Global-Mark Pty Ltd.

10.4.3 Whilst an Appeal is being processed no further action should be taken on the release, update or cancellation of the certificate of approval.

10.4.4 Appeals must be lodged in writing, the appellant must be identifiable, provide names, telephone number, supporting documentation, identify the company, person or product subject to the appeal, and the ground for the appeal. Appeals lodged without this information will not be accepted.

10.4.5 Upon receipt of an appeal, the CSM will acknowledge the appeal (by phone or in writing).

10.4.6 An Appellant has the right to withdraw the appeal.

10.4.7 Global-Mark has the duty of seeking a timely resolution of complaints or appeals made against it.

10.5 Stage 1

10.5.1 Upon receipt, the CSM will acknowledge receipt within 2 weeks; register the appeal as a CorrectIT.


10.5.2 The CSM will then advise the MG, PM and CM involved of the appeal. The CSM will appoint a member of the Appeals Council to coordinate and manage the process (this person is called the Appeal Coordinator – AC))

10.5.3 The AC will seek written explanations from the CM or Officer involved.

10.5.4 The CM or officer(s) involved must provide a written reply to the appeal including the history, findings, evidence and conclusions. This should be supported by all available documented evidence (records, notes, photos).

10.5.5 The AC will then pass the file (i.e. appeal and correspondence and the response) to an independent PM.

10.5.6 The independent PM will review both submissions and decide on whether the appeal is justified or not. His/her decision must be in writing and must be sent to the CSM, MD, PM and CM involved.

10.5.7 If the independent PM forms the view that the appeal is justified (i.e. in favour of the Appellant) the AC will then confirm in writing to the appellant that the stage 1 of the appeal has been successful, and that the decision of the CM involved will be overturned. The letter should explain reasons why the appeal was successful. A copy of the letter shall be sent to the CM PM involved, MG and Appeals Council

10.5.8 If the independent PM forms the view that the appeal is not justified the AC will inform the appellant in writing and the appellant will be given the opportunity to pursue the matter further: i.e. escalate the appeal to the appeals council (Stage 2). The Appellant should convey the decision in writing to the CSM.

The CSM shall keep the appellant(s) informed of progress in evaluating the complaint/appeal, and shall have investigated the allegations and specified all its proposed actions in response to the complaint or appeal within three (3) months of receiving the complaint or appeal.

10.6 Stage 2: the Appeals Council

Refer to the Appeal Council Terms of Reference.

10.6.1 The AC is responsible for contacting the chair of the appeals council and forwarding all the information to the chair.

10.6.2 The chair will then form the appeal council to review this appeal, and follow the steps mentioned in the Terms of Reference.

A party making a complaint is be offered the opportunity to refer their complaint to FSC®’s dispute resolution process if the issue has not been resolved through the full implementation of Global-Mark’s own procedures. The CSM shall provide the FSC details.

12 What Documents/Records Are Needed To Understand This Program

In order to understand our program, you should also access and be aware of the following documents:

11.1 G-00: Welcome Pack

11.2 MSP-00: Introduction to our Management Systems

11.3 MSP-01: Nomenclature and Definitions

11.4 MSP-24 Appeals

End of Document