Assessor Resource

FWPCOT6202
Develop and manage a forestry chain of custody certification process

Assessment tool

Version 1.0
Issue Date: April 2024


This unit of competency describes the outcomes required to develop and manage a system for chain of custody certification for wood and forest products.

This unit applies to job roles at senior management level across the full scope of forestry industry workplaces and to operations of all sizes.

No licensing, legislative, regulatory, or certification requirements apply to this unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions.

1. Confirm certification requirements

1.1 Identify key requirements of relevant laws to confirm understanding and ensure consistency of interpretation and application to chain of custody requirements.

1.2 Clarify the relationship between chain of custody certification and forestry certification systems to ensure integration and compatibility of both systems.

1.3 Investigate each operational area for applicability to certification requirements under law and determine management system options.

1.4 Identify organisational requirements for traceability chain of documentation and all other required components.

2. Develop chain of custody certification system

2.1 Design all required components of certification system for effective and efficient operation and document all specifications.

2.2 Write a values statement, in consultation with senior managers, that outlines the organisation’s commitment to certification.

2.3 Develop policies and procedures for completing and maintaining required traceability chain documents.

2.4 Develop policies and procedures for meeting reporting requirements.

2.5 Develop policies and procedures for auditing processes and managing and documenting breaches.

2.6 Document a process for evaluating system effectiveness.

2.7 Prepare a chain of custody certification systems manual to compile all documents.

2.8 Request authorised external entities to review chain of custody certification system and make any necessary adjustments.

3. Develop chain of custody certification system

3.1 Develop an implementation plan and budget and allocate resources, roles and responsibilities.

3.2 Develop strategies for promoting a positive organisational culture at all employee levels to ensure certification system effectiveness.

3.3 Appoint internal auditors for chain of custody system and coordinate training.

3.4 Develop an induction and training process for auditors, system managers and operational personnel.

3.5 Consult with system managers to ensure effective implementation of certification system.

3.6 Prepare operational reports and those for identified compliance breaches and disseminate to relevant internal personnel and external certification authorities.

4. Evaluate system

4.1 Monitor and review operation of certification system in line with system and regulatory requirements.

4.2 Analyse audit and other operational data.

4.3 Consult with auditors and system managers to seek feedback on operational effectiveness of system.

4.4 Make required changes to system based on consultation and analysis.

4.5 Prepare reports on review of certification system in line with system and regulatory requirements.

A person demonstrating competency in this unit must satisfy all of the elements, performance criteria and foundation skills of this unit, and must be able to provide evidence that they can:

Investigate certification requirements for a given forestry industry organisation against:

Australian Standard (AS) 47072006 Chain of custody for certified wood and forest products

Forestry Stewardship Council standards.

Develop a chain of custody certification system to meet that organisation’s requirements incorporating the following system components and documents:

values statement

policies and procedures for completing and maintaining traceability chain documents

policies and procedures for auditing processes and managing and documenting breaches

process for evaluating system effectiveness

chain of custody certification systems manual

strategies for promoting a positive organisational culture for chain of custody certification

implementation plan and budget

an induction and training process for auditors, system managers and operational personnel.

A person competent in this unit must be able to demonstrate knowledge of:

Purpose and key content and of the Illegal Logging Prohibition Act 2012 or superseding law.

Purpose and key content of forestry certification standards and systems:

Australian Standard (AS) 47072006 Chain of custody for certified wood and forest products

Forestry Stewardship Council.

How a chain of custody process fits into forestry certification systems.

Operational areas and organisational processes that are linked to certification requirements.

Purpose, common content of and format for all chain of custody system components and documents, including:

values statement

policies and procedures for completing and maintaining traceability chain documents

policies and procedures for auditing processes and managing and documenting breaches

process for evaluating system effectiveness

chain of custody certification systems manual.

Format, content and use of documents and register used for certification, audit and quality purposes, including:

timber source documents

processing records

quality records

numbering and labelling documents.

Strategies for promoting a positive organisational culture for chain of custody certification.

Internal audit processes, including:

purpose of internal audits

principles of auditing against a standard

role of internal auditors

requirements for and methods of responding to non-compliances and process improvements identified by audit.

Organisational and legal requirements for reporting incidents of non-compliance.

Format content and use of the following reports:

periodic reports on system operation

audit reports

reports on breaches of compliance.

The following resources must be made available:

Computers, keyboards, printers and software used to prepare to prepare and maintain plans, policies, procedures and reports.

Documents, proformas and register commonly used for certification, quality, audit and reporting, including:

timber source documents

processing records

quality records

numbering and labelling documents.

periodic reports on system operation

audit reports

reports on breaches of compliance.

Australian Standard (AS) 47072006 Chain of custody for certified wood and forest products.

Forestry Stewardship Council certification documents.

Illegal Logging Prohibition Act 2012 or superseding law or plain English documents issued by the government regulator.

Competency is to be assessed in the workplace or a simulated environment that accurately reflects performance in a real workplace setting.

Assessor requirements

Assessors must:

Hold the appropriate assessor competency standards as outlined in regulations; and

be able to demonstrate vocational competencies at least to the level being assessed; and

be able to demonstrate how they are continuing to develop their VET knowledge and skills as well as maintaining their industry currency and assessor competence.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions.

1. Confirm certification requirements

1.1 Identify key requirements of relevant laws to confirm understanding and ensure consistency of interpretation and application to chain of custody requirements.

1.2 Clarify the relationship between chain of custody certification and forestry certification systems to ensure integration and compatibility of both systems.

1.3 Investigate each operational area for applicability to certification requirements under law and determine management system options.

1.4 Identify organisational requirements for traceability chain of documentation and all other required components.

2. Develop chain of custody certification system

2.1 Design all required components of certification system for effective and efficient operation and document all specifications.

2.2 Write a values statement, in consultation with senior managers, that outlines the organisation’s commitment to certification.

2.3 Develop policies and procedures for completing and maintaining required traceability chain documents.

2.4 Develop policies and procedures for meeting reporting requirements.

2.5 Develop policies and procedures for auditing processes and managing and documenting breaches.

2.6 Document a process for evaluating system effectiveness.

2.7 Prepare a chain of custody certification systems manual to compile all documents.

2.8 Request authorised external entities to review chain of custody certification system and make any necessary adjustments.

3. Develop chain of custody certification system

3.1 Develop an implementation plan and budget and allocate resources, roles and responsibilities.

3.2 Develop strategies for promoting a positive organisational culture at all employee levels to ensure certification system effectiveness.

3.3 Appoint internal auditors for chain of custody system and coordinate training.

3.4 Develop an induction and training process for auditors, system managers and operational personnel.

3.5 Consult with system managers to ensure effective implementation of certification system.

3.6 Prepare operational reports and those for identified compliance breaches and disseminate to relevant internal personnel and external certification authorities.

4. Evaluate system

4.1 Monitor and review operation of certification system in line with system and regulatory requirements.

4.2 Analyse audit and other operational data.

4.3 Consult with auditors and system managers to seek feedback on operational effectiveness of system.

4.4 Make required changes to system based on consultation and analysis.

4.5 Prepare reports on review of certification system in line with system and regulatory requirements.

A person demonstrating competency in this unit must satisfy all of the elements, performance criteria and foundation skills of this unit, and must be able to provide evidence that they can:

Investigate certification requirements for a given forestry industry organisation against:

Australian Standard (AS) 47072006 Chain of custody for certified wood and forest products

Forestry Stewardship Council standards.

Develop a chain of custody certification system to meet that organisation’s requirements incorporating the following system components and documents:

values statement

policies and procedures for completing and maintaining traceability chain documents

policies and procedures for auditing processes and managing and documenting breaches

process for evaluating system effectiveness

chain of custody certification systems manual

strategies for promoting a positive organisational culture for chain of custody certification

implementation plan and budget

an induction and training process for auditors, system managers and operational personnel.

A person competent in this unit must be able to demonstrate knowledge of:

Purpose and key content and of the Illegal Logging Prohibition Act 2012 or superseding law.

Purpose and key content of forestry certification standards and systems:

Australian Standard (AS) 47072006 Chain of custody for certified wood and forest products

Forestry Stewardship Council.

How a chain of custody process fits into forestry certification systems.

Operational areas and organisational processes that are linked to certification requirements.

Purpose, common content of and format for all chain of custody system components and documents, including:

values statement

policies and procedures for completing and maintaining traceability chain documents

policies and procedures for auditing processes and managing and documenting breaches

process for evaluating system effectiveness

chain of custody certification systems manual.

Format, content and use of documents and register used for certification, audit and quality purposes, including:

timber source documents

processing records

quality records

numbering and labelling documents.

Strategies for promoting a positive organisational culture for chain of custody certification.

Internal audit processes, including:

purpose of internal audits

principles of auditing against a standard

role of internal auditors

requirements for and methods of responding to non-compliances and process improvements identified by audit.

Organisational and legal requirements for reporting incidents of non-compliance.

Format content and use of the following reports:

periodic reports on system operation

audit reports

reports on breaches of compliance.

The following resources must be made available:

Computers, keyboards, printers and software used to prepare to prepare and maintain plans, policies, procedures and reports.

Documents, proformas and register commonly used for certification, quality, audit and reporting, including:

timber source documents

processing records

quality records

numbering and labelling documents.

periodic reports on system operation

audit reports

reports on breaches of compliance.

Australian Standard (AS) 47072006 Chain of custody for certified wood and forest products.

Forestry Stewardship Council certification documents.

Illegal Logging Prohibition Act 2012 or superseding law or plain English documents issued by the government regulator.

Competency is to be assessed in the workplace or a simulated environment that accurately reflects performance in a real workplace setting.

Assessor requirements

Assessors must:

Hold the appropriate assessor competency standards as outlined in regulations; and

be able to demonstrate vocational competencies at least to the level being assessed; and

be able to demonstrate how they are continuing to develop their VET knowledge and skills as well as maintaining their industry currency and assessor competence.
Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Identify key requirements of relevant laws to confirm understanding and ensure consistency of interpretation and application to chain of custody requirements. 
Clarify the relationship between chain of custody certification and forestry certification systems to ensure integration and compatibility of both systems. 
Investigate each operational area for applicability to certification requirements under law and determine management system options. 
Identify organisational requirements for traceability chain of documentation and all other required components. 
Design all required components of certification system for effective and efficient operation and document all specifications. 
Write a values statement, in consultation with senior managers, that outlines the organisation’s commitment to certification. 
Develop policies and procedures for completing and maintaining required traceability chain documents. 
Develop policies and procedures for meeting reporting requirements. 
Develop policies and procedures for auditing processes and managing and documenting breaches. 
Document a process for evaluating system effectiveness. 
Prepare a chain of custody certification systems manual to compile all documents. 
Request authorised external entities to review chain of custody certification system and make any necessary adjustments. 
Monitor and review operation of certification system in line with system and regulatory requirements. 
Analyse audit and other operational data. 
Consult with auditors and system managers to seek feedback on operational effectiveness of system. 
Make required changes to system based on consultation and analysis. 
Prepare reports on review of certification system in line with system and regulatory requirements. 

Forms

Assessment Cover Sheet

FWPCOT6202 - Develop and manage a forestry chain of custody certification process
Assessment task 1: [title]

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Assessment Record Sheet

FWPCOT6202 - Develop and manage a forestry chain of custody certification process

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Assessment task 1: [title] Result: Competent Not yet competent

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