Program of a training course «FSC Chain of Custody Auditor Course»
- Oleg Konyushatov
- Anindita Bhattacharyya
The course of the FSC auditor training program of ASI-accredited Forest Certification LLC is a combined training course of online and face-to-face training.
Three-days full-time face-to-face training course for the FSC chain of custody certification is aimed to:
- provide comprehensive knowledge of FSC chain of custody system and certification requirements;
- gain the knowledge and skills of ISO audit methods necessary to conduct an audit.
For participants intended to become an FSC COC Auditors, having successfully completed this course and obtaining relevant education and work experience can initiate a process of achieving an auditor qualification within three years after successful completion of the course in the ASI-accredited certification bodies.
This course is owned by Forest Certification LLC as an ASI accredited training provider.
1. Conducting of the training for the participants
2. Providing participants with knowledge and skills:
- on the basic principles and methods of the ISO 19011:2011 audit necessary for planning and conducting FSC audit;
- on the requirements of the FSC standards for conducting assessment and preparing audit report;
- on the requirements for the use of FSC trademarks.
1. The course is designed for chain of custody certification specialists and helps them gain the knowledge and skills necessary for the FSC auditor / lead auditor.
2. The course is useful for practicing and potential auditors of certification bodies, internal auditors, managers and designated employees of companies, consultants and representatives of non-governmental public organizations.
1. The methodological basis of the course is ISO and FSC international standards.
The course is designed in accordance with the requirements of the accreditation standard FSC-STD-20-001 V4-0 «General requirements for FSC accredited certification bodies» and procedures FSC-PRO-20-004 V1-2 «General requirements for the FSC training program».
2. The course offers an in-depth study of the FSC audit process, its methodology and practice in accordance with the standards:
- ISO 19011 Guidelines for auditing management systems
- FSC-STD-01-001FSC Principles and Criteria for Forest Stewardship
- FSC-STD-20-001 General requirements for FSC accredited certification bodies
- FSC-STD-20-011 Chain of Custody Evaluations
- FSC-STD-20-012 Evaluation of FSC Controlled Wood at Management Unit level
- FSC-STD-40-003 Chain of Custody Certification of Multiple Sites
- FSC-STD-40-004 FSC Standard for Chain of Custody Certification
- FSC-STD-40-005 Requirements for Sourcing FSC Controlled Wood
- FSC-STD-40-006 Chain of Custody Standard for Project Certification
- FSC-STD-40-007 Sourcing reclaimed material for use in FSC Product Groups or FSC Certified Projects
- FSC-STD-50-001 Requirements for use of the FSC trademarks by certificate holders.
3. The training course is highly interactive and consistsof practical exercises, tests and the final exam. The course activities include discussions, group classes and business (role-playing) games, interaction between an instructor and a student, modeling real situations that contribute to the development of practical skills for conducting an FSC audit.
CRITERIA FOR SUCCESSFUL COMPLETION OF THE COURSE
1. Evaluation of participant will be conducted on the basis of:
- monitoring of work in accordance with the course objectives;
- mark obtained by the participant on the written exam.
2. For successful completion of the course participant should receive at least:
- a mark «Passed» during the continuing monitoring;
- 70% of maximum examination score.
1. During the training, participant will be evaluated on the level of the involvement in the class discussion, in the process of role-playing games and exercises and intermediate tests. In order to complete the course successfully, participant will have to demonstrate acceptable knowledge in the main study questions.
2. In addition, participant is required to attend all classes. Failure to comply with this requirement will affect the assessment of the continuing control of the student, as well as his/her final assessment.
3. Participant can be rated «A +», «A» or «B» in accordance with the trainer’s assessment of their general training and ability to perform an audit. The grades “A +” and “A” correspond to the final grade “passed”, and the grade “B” — “not passed”.
4. Participant that wish to receive an FSC auditor certificate and having received a “not passed” mark for continuing control will have to re-take the entire course of study in accordance with the FSC requirements.
1. The exam is a two-hours written test for online and onsite parts of this course.
2. During the exam, participantis allowed to use the standards and other FSC regulatory documents, as well as the Course Manual.
3.1 The exam consists of three sections:
- Part 1 FSC General Requirements and ISO 19011 audit methodology;
- Part 2 Requirements of FSC chain of custody standards;
- Part 3 Identification of nonconformities on FSC standard and requests for corrective actions.
3.2 The exam provides with the selection of answers: one complete correct answer or several correct answers, as well as the formulation of short and detailed written answers.
3.3 To pass the exam successfully, students must score at least 70% of the maximum mark in general; and at least 50% must be received in each part.
3.4 Participant that does not pass the exam is allowed to retake it. When the exam is retaken questions differ from those that the participant had during the initial exam. Retaking the exam is allowed within 12 months from the date of the initial exam and only if the participant receives a “passed” mark during the continuing monitoring. For successful completion of the course, a participant that does not pass the exam after the second try will have to retake the entire course.
1. The participant that successfully passed the exam and received the “passed” mark during the continuing monitoring will be issued a Certificate of successful completion of an accredited“ FSC Chain of Custody Certification” course, that corresponds to the requirements for those who wish to receive an FSC auditor certificate. The Certificate is valid for three years for the potential auditors in order to fulfill qualification.
2. Certificates of participation in the course are issued to all the participants that have not passed the final exam (score less than 70%), only if the student receives a “passed” mark during the continuing monitoring.
1. Upon completion of the FSC chain of custody certification course, participant will get:
1.1 Knowledge on:
- objectives of certification system, standards, auditing, chain of custody system, benefits of FSC certification;
- requirements of national and international legislation in the field of logging legality, occupational health and safety;
- evaluation of stakeholder consultation process;
- how to evaluate the main elements of the internal organization of the wood chain of custody and chains of custody between organizations (“from producer to consumer”);
- the requirements of the chain of custody standards for enterprises supplying and producing FSC certified products
— evaluation process of the management of critical control points in the COCsystem within the framework of transfer, credit and percentage control systems of FSC claims;
- usage of FSC trademarks;
- how to evaluate the company’s due diligence system for controlled wood;
- the process of assessing and reducing the risk of controlled wood using control measures;
- the auditor’s role in planning, conducting, drawing up a report and subsequent actions on FSC certification.
1.2 skills on:
— planning an FSC COC audit;
- establishing suitable areas of distribution, objectives, criteria, duration and resources for conducting the audit;
- how to take into account the organizational context and processes for planning an audit;
- analyzing the documented information prior the audit and preparing of the necessary working documents for verification;
— conducting an FSC COC audit:
- effectively managing of the opening and closing meetings;
- carrying out the audit plan using working papers — manuals, checklists;
- building relationships with auditees during the audit, being sensitive to the needs and expectations of the audited entity;
- productively conducting interviews, formulate effective audit questions;
- collecting and verifying sufficient audit evidences using appropriate sampling methods;
- checking the chain of custody system in accordance with all requirements;
— formulating of audit findings:
- evaluation of collected evidence for compliance with the requirements;
- formulation of audit findings regarding the compliance of the management system, positive results and identified nonconformities, as well as potential risks and opportunities for improvement;
- preparing a report on audit findings, formulating nonconformities in a correct and clear way and determining their gradation, providing a conclusion and recommendations to the audited party;
- knowing the actions after the audit, understanding the difference between correction and corrective actions, analyzing the causes of nonconformities and evaluate the effectiveness of corrective actions;
- knowing about surveillance audits, re-certification, suspension or withdrawal of a certificate, changing of the scope of certification;
- correctly understanding the purpose of accreditation and certification;
- understanding the role of FSC certification and of CB personnel.
1. Course schedule and program
2. Course Manual: “FSC Chain of Custody Certification Auditor”, including ISO and FSC regulations, guidelines, practical materials, exercises and templates for filling in;
3. Check-up tests, notebook/paper, pen.
10. ONLINE TRAINING PRIOR TO FACE-TO-FACE TRAINING COURSE
Online course is the part of the full mixed course of the FSC auditor training program of Forest Certification LLC which consists of online training and face-to-face training in the classroom.
If you wish to take an FSC auditor training course in the classroom, relevant online course must be completed before the start of on-site training. Completion of the course includes the successful completion of relevant tests.
Completing online course together with participation in on-site training and the subsequent passing of the exam is a condition for obtaining a certificate of successful completion of the course.
All necessary information for online training is available in the Online Manual of the FSC forest management and chain of custody auditor’s course of the Forest Certification LLC training program.
11. BRIEF PROGRAM OF FACE-TO-FACE PART
«FSC Chain of Custody Auditor Course»
Day 1. FSC general requirements and ISO19011 audit methodology
- Introduction to the training course.
- Introduction to FSC certification. FSC general requirements
- Audit in accordance with ISO19011 and FSC.
Day 2. FSC Chain of Custody certification
- Introduction to FSC Chain of Custody (СОС) certification
- Standards of СОС certification. Multi-site and group certification, certification of recycled materials
- Chain of Custody main standard FSC-STD-40-004
- Transfer control system of FSC claims. Critical Control Points (CCP)
- Credit and percentage control systems of FSC claims
- Chain of custody evaluation process
Day 3. FSC Controlled Wood & exam
- Controlled Wood (CW) evaluation process. Standard FSC-STD-40-005
- Due diligence system
- Identification of nonconformities on СW and requests for corrective actions
- Exam on the Course «FSC Chain of Custody Auditor»