For companies wanting to join a chain of custody certification system, the audit is the key moment when the entire commitment to traceability, legality and responsibility becomes verifiable. Although the audit may seem intimidating at first, understanding the stages, requirements and preparation turns it from a stressful test into a professionalization exercise.
What is a Certification Audit?
The audit is an independent evaluation carried out by a third-party body, which verifies whether a company complies with the requirements of a voluntary standard regulating the chain of custody of certified materials. Simply put, it is the process by which it is confirmed that your company can demonstrate, with clear documents and procedures, that products labeled as coming from responsible sources are truly tracked and properly separated.
Types of Audits
Initial audit
The first audit, which verifies if the company is ready to enter the certification system.
Surveillance audit
Conducted annually, to verify the maintenance of compliance after obtaining the certificate.
Recertification audit
Usually conducted every 5 years, to extend the validity of the certificate.
Additionally, there may be unannounced or thematic audits, depending on identified risks or reports received by the certification body.
What is Verified During an Audit
Auditors follow a clear and standardized grid, covering several verification areas:
1. Traceability system
- Physical separation and/or clear identification of certified materials
- Existence of a clear record methodology (stocks, receipts, deliveries)
- Supporting documents for each purchase and sale
- Calculation methods for mixed or derived products
2. Documentation management
- Keeping all relevant documents (contracts, invoices, notices)
- Minimum retention period (generally 5 years)
- Clear and accessible organization of information
3. Staff training
- Clear identification of the person responsible for certification
- Training of employees involved in reception, production, sales
- Evidence that staff knows the relevant requirements
4. Supplier control
- Verification of supplier certificate validity
- Use of accepted sources (valid codes in official registers)
- Maintaining an updated list of suppliers
5. Labeling and external communication
- How products and commercial documents are marked
- Avoiding misleading claims
- Prior approval of communications, where applicable
6. Internal control system
- Own risk assessments for controlled materials
- Internal mechanisms for detecting and correcting non-conformities
- Evidence that the organization is not involved in contrary practices
How the Audit Works in Practice
The audit usually takes place at the company headquarters and, if applicable, at other operational locations. Duration depends on organization size, ranging from a few hours to several days.
Audit opening – auditor explains the purpose, schedule and criteria
Staff interviews – discussing roles, responsibilities and practical application
Documentation review – analysis of documents, records, contracts
Field visit – direct observation of spaces, markings and traceability
Conclusions – communicating findings and, possibly, non-conformities
Final report – within a few days, the company receives a detailed report
What is a Non-conformity
A non-conformity is a deviation from the standard requirements. It can be major (when it affects traceability integrity or violates basic rules) or minor (when it involves administrative gaps or potential risks).
Non-conformities are not failures, but learning opportunities. The organization must propose an action plan and demonstrate correction within the established timeframe (usually between 30 and 90 days).
How to Prepare Efficiently for Audit
Understand the standard
Read the documentation, attend courses or ask for explanations if certain requirements are unclear.
Appoint a responsible person
A person or team to coordinate implementation and communicate with auditors.
Prepare documents
Centralize, archive and organize all relevant evidence.
Simulate the audit
Do a self-assessment or request an internal audit to identify weak points.
Implement traceability
Verify that you can demonstrate at any time which materials are certified and where they were sold.
Train employees
Everyone involved must know what certification entails and how they contribute to maintaining it.
Conclusion
The certification audit is not an obstacle, but an opportunity. It is the moment when the organization can show that it works responsibly, that it has control over processes and that it respects modern market requirements. With thorough preparation and understanding the deeper meaning of certification, the audit becomes not just a verification, but a confirmation of commitment to traceability, legality and sustainability.
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