Note to applicants; Please provide as much information as you can when completing this form so that we can develop

an appropriate quote for certification of your

company. If there are sections which you can not complete, leave them blank and we can complete them together.

The details on this form will be reviewed at every audit to ensure that it is up to date.

Please complete all of the WHITE sections below (see note in

row 2 above):

Are you applying for FSC® and /or PEFC™

Certification?

NB: Company name as given here will appear on Certificate and on

Full legal Company name Databases.

Trading name This will also appear on your certificate

Name in Local Language This will also appear on your certificate

Address NB: include the post/zip code and country

Company legal status and address where

registered if different from above

Web site

Contact person for Chain of Custody

Contact name
Telephone

Other
Fax

Email

Contact person for label generator (FSC

Trademark Portal)

Contact name
Email

Contact person for Accounts Department

 Contact name
Phone
Email

VAT No:

Type of business Please select an option…

Type of certificate required

How many sites will the certificate cover?

If multi-site or group, does applicant have authority

over sites in COC matters?

No. of employees

Products bought by Product Group and Timber

Species

Products sold by Product Group and Timber

Species
Certified Products listed must match Product Schedule

FSC certified material suppliers

Uncertified controlled material suppliers

 Uncertified reclaimed material suppliers

Chain of Custody control system

Brief description of processes covering basic

elements of purchasing, processing, manufacture,
labelling, storage and transport to point at which
product is sold

What management information system / processing

records are maintained?

Do you have a Chain of Custody Procedures

Manual or ISO certification?

Description of invoicing and delivery

Do you use Outsourcers (Sub-contractors)?

Revenue from forest products & products
containing wood and fibre components in the
last 12 months:

Total annual turnover of wood based products

Total annual turnover of wood based products in USD

FSC annual turnover bands

FSC annual turnover band for Single and Group

certificates based on total aggregate turnover of all
sites plus for groups $20/group member

Companies with more than one site should

complete the turnover information in 2b Site info. Please select an option

FSC annual turnover band for Multisites

FSC Trader annual turnover bands

FSC Annual Turnover Band for Single Site Trader

 FSC Annual Turnover band for Multisite Trader

Has your company ever been certified before?

Do we need to be aware of any particular logistics

for finding the site?
n develop an appropriate quote for certification of your
gether.

Guidance for applicants

You can apply for FSC only, PEFC

only or Joint certification

Company that has direct management

responsibility for the COC system.

If you trade under a different name

please let us know here

Use local characters as required.

Please include full address details

including post/zip code and country

Example: Limited company, Sole

trader. Registered Office 123 Small
Street, etc

Include full international code

e.g. Alternative phone, mobile phone
or Skype number

Please state if you would like this to

remain confidential

If different from Contact person for

Chain of Custody

If different from Contact person for

Chain of Custody
Please include e-mail and phone
number. This information is
confidential and used for
correspondence regarding certification
fees only.

Include full international code

Include VAT Registration Number if

within an EU Member State.

Select from:

Brokers/Traders with physical

possession,
Brokers/Traders without physical
possession,
Distributor/Wholesaler,
Gathering of non-wood products,
Logging (Harvesting),
Primary Processor,
Secondary Processor,
Printing and related services,
Publishing activities,
Retailers.

This may be single site, multisite or

group certification (We will advise).
If more than one site, complete sheet
2b

COC matters:
a) chain of custody documentation
and chain of custody changes,
b) management review,
c) complaints,
d) evaluation of corrective actions,
e) internal audit planning and
evaluation of the results,
f) different legal requirements in
relation to the avoidance of raw
material from controversial sources.
Including full-time, part-time and
seasonal staff.

Common name and scientific name.

See Annexes E & F. If more than one
site include in Site Info.

Common name and scientific name.

See Annex D. If more than one site
include in Site Info.

Give details of proposed or actual

sources. Include supplier name &
COC code/s.
Give details of proposed or actual
sources. Include district & country of
forest of origin.
Is the material pre-consumer or post-
consumer waste? Give details of
proposed or actual sources. Include
supplier name and location.

Transfer, Credit (i.e. % bought = %

sold) or Percentage System. If no
mixing or manufacturing is taking
place, the system is likely to be
Transfer.

Attach flow diagram as a separate

worksheet, if available.

Description of production control and

records e.g. Work order, stock list, etc.

IMPORTANT NOTE: You must submit

a copy of your Chain of Custody
Procedures Manual prior to audit, to
the auditor, while at application stage.

How are outputs delivered? Are

invoices issued from the main office?
How do they link with delivered
goods?

If so, please complete worksheet 2c.

Include turnover for central office and

all sites included in scope of
certificates. Include year end date.
This is used to inform FSC AAF band.
Cell 54B in local currency converted
into USD

Information on size of company is

necessary to calculate the FSC
Annual Accreditation Fee (AAF). See
Annex G; AAF for definition of Trader.
If more than 1 site use aggregate
turnover to select band.

Where a group is a mix of

manufacturers and traders list the
band here according to the total
turnover of trader members only.
If yes, give reason for termination/
withdrawal of previous certificate,
certification body and dates.

Please give any local information that

will help in planning site audits. E.g.
Nearest airport, major road, train
station, # hours travel between sites
etc. Not needed for UK sites.
APPLICATION APPENDIX - FOR COMPANIES WITH MORE THAN ONE SITE

PLEASE COMPLETE THE SECTION BELOW:

NOTE: A diagram of company structure may be submitted if available
Total Number of Sites including Central
Office.

Structure and Functioning of Multisite/

Group, including responsibilities for
invoicing.

Information about all sites included in the scope of the certificate (including head/central office):

Does the Site

take Physical
Possession of
Products in Does the
their own or Site Issue Annual
Legal status/ Category of rented Sales Number of Turnover (in
Company Name Address Contact Details Ownership Business facilities? Invoices? Employees US $)
HEAD OFFICE

SITES (Example of 3 sites as one legal entity) DELETE IF N/A

Unit 5, Bristol Trading

Timber Floors Ltd, Estate, Bristol, BS60 COC Manager John Owned by Timber
Bristol Branch. 8TF. Smith: 0117 198272 Floors Ltd. London. Retailer Yes No 15 3,000,000
Timber Floors Ltd,
Manchester 1234 York Road, COC Manager Paul Owned by Timber
Branch. Manchester M70 2TF. Lane: 0559 980989 Floors Ltd. London. Retailer No Yes 4 6,000,000
9,000,000

NOTE: The annual limit of growth shall not exceed a 100% increase of the number of group members or participating sites compared to the number at the time of the main evaluation. If the certificate holder wishes to exceed
this limit, a new evaluation of the central office and new sites shall be required.
 APPLICATION APPENDIX - FOR OUTSOURCED FAC
Eligibility: Outsourced sites (or subcontractors) can be included in the scope of the certificate if the certificate holder maintains legal ownership of the certified materials during outsourced proc
at the outsourced site.

Part A: General information about ALL outsourcing sites

Justification for
Outsourcing

Control of
Outsourcing
Part C Level 1 Part C Level 2
If NO, then If YES, then Part C Level 3: Information about sites handling FSC® material Note:
Part B: Information about ALL outsourcing sites
automatic Low automatic High questions, then automatically LOW RISK. Stop her
Risk. Stop here. Risk. Stop here.

Product is
Is Outsourcer palletized, or
otherwise
located in a maintained as a
different country secure unit that is
Type of Was Outsourcer to Certificate Product is not broken apart
Processing & used in last Holder/Applicant permanently during
Name Contact Details & Address Purpose year? (with CPI <50?) labelled/marked outsourcing

Examples
Bob Dart, Unit 5 Sims estate,
London Road, Westbury, Wiltshire,
Y&D Bros Ltd. UK. warehousing Y N Y

Legnissimo SRL Via di legno, Roma, Italy Cutting to size Y Y

Fred's Sawmill Ltd. Oakley Road, Wiltshire, UK sawmill Y N N N

N: packs broken
assembly of and assembled
Custom furniture Ltd Beech lane, Brimford, Wiltshire, UK furniture Y N N into furniture

RT-COC-003-07 Oct 2013 (c) Produced by EcoSylva Ltd. on behalf of Soil Association Certification Ltd
ENDIX - FOR OUTSOURCED FACILITIES
ership of the certified materials during outsourced processing and meet all criteria under 3i Outsourcing. Certified materials shall be physically separated from other material
at the outsourced site.

ALL outsourcing sites Guidance for applicants

Why is outsourcing necessary?

A general description of how the chain of custody is controlled when

outsourcing materials.

ormation about sites handling FSC® material Note: If Yes to any of these Part C Level 4: Information about sites handling FSC material Note: If Yes to any of
questions, then automatically LOW RISK. Stop here. these questions, then automatically HIGH RISK

Outsourcer provides
services that do not Outsourcer
involve manufacture
Outsourcer or transformation
mixes different Does the Does the
exclusively (e.g. warehousing, Is the Outsourcer Outsourcer does Does the input materials Outsourcer Outsourcer
handles storage, FSC certified? most of the outsourcer (e.g. FSC 100% apply an FSC physically
materials from distribution, Please provide manufacturing grade or sort and Controlled label on supply direct to
Company logistics) CoC Number process the material? Wood) product? customer?

N N N N Y N N N

N N N Y Y N N N

RT-COC-003-07 Oct 2013 (c) Produced by EcoSylva Ltd. on behalf of Soil Association Certification Ltd