Chain of custody — General terminology and models

This document defines a framework for chain of custody by providing: — a consistent generic approach to the design, implementation and management of chains of custody; — harmonized terminology; — general requirements for different chain of custody models; — general guidance on the application of the defined chain of custody models, including initial guidance on the circumstances under which each chain of custody model might be appropriate. This document is applicable to all materials and products. It does not apply to services as final outputs. This document can be used by any organization operating at any step in a supply chain, as well as by standard setting organizations as a reference point for specific chain of custody standards. This document can enhance the transparency of specific claims regarding materials or products and thereby support the reliability of these claims. It is not intended to be used on its own to make or verify such claims. This document is not, on its own, able to support claims about an organization's materials or products. This is misleading, especially to consumers and other end customers, as the existence of a chain of custody system alone does not specify the characteristics or the conditions under which materials or products are produced. This document includes requirements and guidance regarding this issue.

Chaîne de contrôle — Terminologie générale et modèles

General Information

Status
Published
Publication Date
18-Oct-2020
Technical Committee
Current Stage
6060 - International Standard published
Start Date
19-Oct-2020
Due Date
24-Oct-2020
Completion Date
19-Oct-2020
Ref Project

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INTERNATIONAL ISO
STANDARD 22095
First edition
2020-10
Chain of custody — General
terminology and models
Chaîne de contrôle — Terminologie générale et modèles
Reference number
ISO 22095:2020(E)
©
ISO 2020

---------------------- Page: 1 ----------------------
ISO 22095:2020(E)

COPYRIGHT PROTECTED DOCUMENT
© ISO 2020
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting
on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address
below or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO 2020 – All rights reserved

---------------------- Page: 2 ----------------------
ISO 22095:2020(E)

Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
3.1 Terms related to chain of custody design . 1
3.2 Terms related to supply chain . 2
3.3 Terms related to chain of custody models . 3
3.4 Terms related to roles and responsibilities . 4
3.5 Terms related to conformity assessment . 5
3.6 Terms related to traceability . 6
4 Chain of custody design . 6
4.1 General . 6
4.2 Roles and responsibilities . 7
4.3 Properties of chain of custody models . 7
5 Chain of custody models . 9
5.1 Principles and requirements . 9
5.2 Appropriate use of chain of custody models .10
5.3 Chain of custody models without mixing .11
5.3.1 Identity preserved model .11
5.3.2 Segregated model .12
5.4 Chain of custody models with mixing .14
5.4.1 Controlled blending model .14
5.4.2 Mass balance model .15
5.5 Book and claim model .17
6 General requirements for organizations active in a chain of custody .18
6.1 General .18
6.2 General requirements for implementation .18
6.3 Top management responsibility .19
6.4 Competence .19
6.5 Evaluating performance and dealing with non-conformities .19
6.6 Documented information .20
6.6.1 General.20
6.6.2 Control of documented information .21
6.7 Assurance .21
6.8 Conversion factor .22
6.9 Inventory balancing .22
6.10 Complaints procedure .22
6.11 Outsourcing.23
6.12 Communication .23
Annex A (informative) Traceability and chain of custody .24
Annex B (informative) Practical examples for using chain of custody models .25
Annex C (normative) Mass balance implementation .30
Bibliography .32
© ISO 2020 – All rights reserved iii

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ISO 22095:2020(E)

Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www .iso .org/ patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see www .iso .org/
iso/ foreword .html.
This document was prepared by Project Committee ISO/PC 308, Chain of custody — General terminology
and models.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www .iso .org/ members .html.
iv © ISO 2020 – All rights reserved

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ISO 22095:2020(E)

Introduction
Understanding the origin of input materials, product components, product outputs and the conditions
under which they are produced is becoming increasingly important. Manufacturers want to
demonstrate compliance with requirements regarding health and safety, as well as environmental,
social and quality-related aspects, while consumers or other end users need to be able to trust the claims
made for these products. The main drivers are government policies, consumer and business demand.
Companies directly active in a chain of custody (e.g. manufacturers, traders, logistic and transport
service providers, retailers) as well as those investing in such companies (e.g. financial institutions,
governments) need transparency to understand and manage risks, to secure quality and to facilitate
the implementation of a reliable chain of custody system.
Chain of custody systems have become an indispensable element of many different applications, such as
certification schemes for food safety, sustainable agriculture, forestry, aquaculture or fisheries, social
compliance, manufacturing, construction and mineral mining. They enable information associated with
a product and/or production characteristics to be shared among various organizations active in the chain
of custody such as material and ingredient suppliers, processors, contractors, transportation companies,
(private or regulatory) scheme owners, financial institutions, companies active in refurbishing and
recycling, governmental organizations, end customers, and consumers or other end users.
Although these many systems differ in scope and use terminology relevant to the sector and product-
specific needs, and might also diverge on semantics and presentation, they deal with the same
challenges and are based on the same range of chain of custody models. The proliferation of systems and
definitions causes unnecessary confusion, complexity and inconsistency. It also reduces the degree of
trustworthiness of information (e.g. related claims) and increases costs for organizations active in the
chain of custody. These complexities and resulting costs can be a barrier to market access, especially
for smaller companies and developing countries.
The aim of this document is to provide
— unambiguous definitions of the different chain of custody models, and
— the corresponding requirements, which are independent of sectors, materials, products, and issues
addressed.
These requirements are applicable to any organization operating at any step in the supply chain. Chain
of custody models are also referred to as "chain of custody methods" or "chain of custody concepts". In
this document, the term "chain of custody models" is used to describe the approach taken to control
inputs and outputs and associated information in a particular chain of custody system. This multi-
sector globally applicable International Standard serves as a reference point for existing and future
commodity or sector specific chain of custody standards.
As each chain of custody model represents a different level of physical presence of the specified
characteristic in the output, this document provides general guidance on the application of the defined
chain of custody models, including initial guidance on the circumstances under which each chain of
custody model might be appropriate.
This document does not specify or recommend a management system. Users can refer to this document,
clearly stating which models of chain of custody described in this document are used as a basis in their
chain of custody systems.
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INTERNATIONAL STANDARD ISO 22095:2020(E)
Chain of custody — General terminology and models
1 Scope
This document defines a framework for chain of custody by providing:
— a consistent generic approach to the design, implementation and management of chains of custody;
— harmonized terminology;
— general requirements for different chain of custody models;
— general guidance on the application of the defined chain of custody models, including initial guidance
on the circumstances under which each chain of custody model might be appropriate.
This document is applicable to all materials and products. It does not apply to services as final outputs.
This document can be used by any organization operating at any step in a supply chain, as well as by
standard setting organizations as a reference point for specific chain of custody standards.
This document can enhance the transparency of specific claims regarding materials or products and
thereby support the reliability of these claims. It is not intended to be used on its own to make or verify
such claims.
This document is not, on its own, able to support claims about an organization’s materials or products.
This is misleading, especially to consumers and other end customers, as the existence of a chain of
custody system alone does not specify the characteristics or the conditions under which materials or
products are produced. This document includes requirements and guidance regarding this issue.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at http:// www .electropedia .org/
3.1 Terms related to chain of custody design
3.1.1
chain of custody
process by which inputs (3.2.2) and outputs (3.2.3) and associated information are transferred,
monitored and controlled as they move through each step in the relevant supply chain (3.2.1)
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ISO 22095:2020(E)

3.1.2
chain of custody system
set of measures designed to implement a chain of custody (3.1.1), including documentation of these
measures
Note 1 to entry: The purpose of a chain of custody system is to provide credibility that the given material or
product has a set of specified characteristics (3.2.5).
Note 2 to entry: The information linked to materials or products is transferred, monitored and controlled
throughout the entire supply chain (3.2.1) or parts of it.
3.1.3
chain of custody model
approach taken to control inputs (3.2.2) and outputs (3.2.3) and associated information in a particular
chain of custody system (3.1.2)
Note 1 to entry: A chain of custody model is typically designed to preserve a set of specified characteristics (3.2.5).
Note 2 to entry: The chain of custody models are defined in 3.3 and summarized in Table 1.
3.2 Terms related to supply chain
3.2.1
supply chain
series of processes or activities involved in the production and distribution of a material or product
through which it passes from the source (3.2.8)
Note 1 to entry: A supply chain is typically composed of a series of different organizations.
3.2.2
input
material or product that enters an organization or part of an organization
Note 1 to entry: Input may be used at any stage of the supply chain (3.2.1).
Note 2 to entry: Input may also include reused and recycled materials or products.
Note 3 to entry: Input will have associated information.
[SOURCE: ISO 14044:2006+A1: 2017, 3.21, modified — The wording and Note 1 to entry have been
modified. Notes 2 and 3 to entry have been added.]
3.2.3
output
material or product that leaves an organization or part of an organization
Note 1 to entry: Output can be created at any stage of the supply chain (3.2.1).
Note 2 to entry: Output might include other products resulting from production processes.
Note 3 to entry: Output will have associated information.
[SOURCE: ISO 14044:2006+A1: 2017, 3.25, modified — The wording and Note 1 to entry has been
modified. Notes 2 and 3 to entry have been added.]
3.2.4
characteristic
distinguishing feature
[SOURCE: ISO 9000:2015, 3.10.1, modified — Notes 1 to 3 to entry have been deleted.]
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ISO 22095:2020(E)

3.2.5
specified characteristic
set of product characteristics (3.2.6) and/or production characteristics (3.2.7) that the chain of custody
is designed to maintain
3.2.6
product characteristic
distinguishing feature of a material or product
Note 1 to entry: A product characteristic can be qualitative or quantitative.
3.2.7
production characteristic
distinguishing feature of one or more production processes in the supply chain (3.2.1)
Note 1 to entry: Production characteristics sometimes create product characteristics (3.2.6). Examples include
the grinding of wood, the chemical treatment of wood for pulp production and food cooked at a low temperature.
Examples of production characteristics that do not normally create a product characteristic include production
according to a particular specification, such as the sustainable production of the material; the absence of child
labour; particular human rights standards or the identity of the primary processor.
Note 2 to entry: Production characteristics can include the type of transportation and storage.
3.2.8
source
specific originator at a location of a material or product with a specified characteristic (3.2.5)
Note 1 to entry: The originator is typically a specific supplier but can also be a specific manufacturer or specific
processor adding a particular characteristic.
3.2.9
site
location with geographical boundaries at which defined activities under the control of an organization
are carried out
Note 1 to entry: Sites may be in one geographical area but need not be contiguous. For example, a road can
separate two geographical areas that are operated as a single site.
Note 2 to entry: Activities can include material extraction, production, manufacturing, recycling, storage, trade
and/or transportation.
3.2.10
process
set of interrelated or interacting activities that use inputs (3.2.2) to deliver an intended output (3.2.3)
Note 1 to entry: A process can include services.
[SOURCE: ISO 9000:2015, 3.4.1, modified — The word “result” has been replaced by “output”. Notes 1 to
6 to entry have been deleted.]
3.3 Terms related to chain of custody models
3.3.1
identity preserved model
chain of custody model (3.1.3) in which the materials or products originate from a single source (3.2.8)
and their specified characteristics (3.2.5) are maintained throughout the supply chain (3.2.1)
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ISO 22095:2020(E)

3.3.2
segregated model
chain of custody model (3.1.3) in which specified characteristics (3.2.5) of a material or product are
maintained from the initial input (3.2.2) to the final output (3.2.3)
Note 1 to entry: Addition of material with different characteristics and/or grade to the input is not allowed.
Note 2 to entry: Commonly, material from more than one source contributes to a chain of custody under the
segregated model.
3.3.3
controlled blending model
chain of custody model (3.1.3) in which materials or products with a set of specified characteristics (3.2.5)
are mixed according to certain criteria with materials or products without that set of characteristics
resulting in a known proportion of the specified characteristics in the final output (3.2.3)
Note 1 to entry: This chain of custody model is also referred to as the "single percentage method".
3.3.4
mass balance model
chain of custody model (3.1.3) in which materials or products with a set of specified characteristics (3.2.5)
are mixed according to defined criteria with materials or products without that set of characteristics
Note 1 to entry: The proportion of the input (3.2.2) with specified characteristics might only match the initial
proportions on average and will typically vary across different outputs (3.2.3).
3.3.5
book and claim model
chain of custody model (3.1.3) in which the administrative record flow is not necessarily connected to
the physical flow of material or product throughout the supply chain (3.2.1)
Note 1 to entry: This chain of custody model is also referred to as "certificate trading model" or "credit trading".
Note 2 to entry: This is often used where the certified/specified material cannot, or only with difficulty, be kept
separate from the non-certified/specified material, such as green credits in an electricity supply.
3.4 Terms related to roles and responsibilities
3.4.1
organization
entity or group of people and facilities with an arrangement of responsibilities, authorities and
relationships and identifiable objectives
Note 1 to entry: An organization may encompass multiple (production /geographical) sites.
[SOURCE: ISO 26000:2010, 2.12]
3.4.2
top management
person or group of people who directs and controls an organization at the highest level
[SOURCE: ISO 9000:2015, 3.1.1, modified — Notes 1 to 3 to entry have been deleted.]
3.4.3
requirements setter
person or organization that specifies the requirements for a particular chain of custody
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ISO 22095:2020(E)

3.5 Terms related to conformity assessment
3.5.1
conformity
fulfillment of a specified requirement
[SOURCE: ISO 9000:2015, 3.6.11, modified — The definition has been modified.]
3.5.2
conformity assessment
demonstration that specified requirements are fulfilled
Note 1 to entry: Conformity assessment can be performed as first-party activity (3.5.3), second-party activity(3.5.4)
or third-party activity (3.5.5).
[SOURCE: ISO/IEC 17000:2020, 4.1, modified — Notes 1 to 4 to entry have been deleted. A new Note 1 to
entry has been added.]
3.5.3
first-party conformity assessment activity
conformity assessment (3.5.2) activity that is performed by the person or organization that provides or
that is the object of conformity assessment
[SOURCE: ISO/IEC 17000:2020, 4.3, modified — Notes 1 and 2 to entry have been deleted.]
3.5.4
second-party conformity assessment activity
conformity assessment (3.5.2) activity that is performed by a person or organization that has a user
interest in the object of conformity assessment
[SOURCE: ISO/IEC 17000:2020, 4.4, modified — Notes 1 and 2 to entry have been deleted.]
3.5.5
third-party conformity assessment activity
conformity assessment (3.5.2) activity that is performed by a person or organization that is independent
of the provider of the object and has no user interest in the object
[SOURCE: ISO/IEC 17000:2020, 4.5, modified — Note 1 to entry has been deleted.]
3.5.6
audit
process (3.2.10) for obtaining relevant information about an object of conformity assessment (3.5.2) and
evaluating it objectively to determine the extent to which specified requirements are fulfilled
[SOURCE: ISO/IEC 17000:2020, 6.4, modified — Notes 1 to 3 to entry have been deleted.]
3.5.7
inspection
examination of an object of conformity assessment (3.5.2) and determination of its conformity with
detailed requirements or, on the basis of professional judgement, with general requirements
[SOURCE: ISO/IEC 17000:2020, 6.3, modified — Notes 1 to 3 to entry have been deleted.]
3.5.8
verification
confirmation of truthfulness, through the provision of objective evidence that specified requirements
have been fulfilled
Note 1 to entry: The objective evidence needed for a verification can be the result of an inspection (3.5.7), audit
(3.5.6) or other forms of determination such as performing alternative calculations or reviewing documents.
Note 2 to entry: The activities carried out for verification are sometimes called a "qualification process" and can
result in certification (3.5.9).
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ISO 22095:2020(E)

Note 3 to entry: The word “verified” is used to designate the corresponding status.
[SOURCE: ISO 9000:2015, 3.8.12, modified — In Note 2 to entry, the wording has been modified.]
3.5.9
certification
third-party attestation related to an object of conformity assessment (3.5.2), with the exception of
accreditation
[SOURCE: ISO/IEC 17000:2020, 7.6]
3.5.10
claim
declared information regarding the specified characteristics (3.2.5) of a material or product
3.6 Terms related to traceability
3.6.1
traceability
ability to trace the history, application, location or source(s) of a material or product throughout the
supply chain (3.2.1)
[SOURCE: ISO 9000:2015, 3.6.13, modified — The wording has been modified. Notes 1 and 2 to entry
have been deleted.]
3.6.2
traceability system
manual or electronic system that provides the ability to access any or all information relating to the
material or product under consideration throughout their life cycle, by means of accessing documented
information
Note 1 to entry: "Life cycle" should be understood in the broadest possible sense, to include, for example, raw
material extraction, agricultural production, final disposal, and reuse or recycling, as well as all other stages
connected with product manufacture and use.
4 Chain of custody design
4.1 General
Although frequently considered as interchangeable, the concepts of traceability and chain of custody
are not identical. The difference between these two concepts is described in Annex A.
A chain of custody system encompasses the set of measures supporting responsibility for the custody of
materials and products as ownership or control is transferred from one organization to another within
the relevant supply chain. A chain of custody usually involves more than one organization.
This document provides a framework and fundamental requirements for a chain of custody system.
Depending on, for example, the sector of application, material or product handled, product characteristics
and/or specific claim, additional and more specific chain of custody requirements might need to be
implemented. When using this document, the organization shall check and evaluate this need.
This document can enhance the transparency of specific claims regarding materials or products by
providing common terminology and chain of custody m
...

DRAFT INTERNATIONAL STANDARD
ISO/DIS 22095
ISO/PC 308 Secretariat: NEN
Voting begins on: Voting terminates on:
2019-08-27 2019-11-19
Chain of custody — General terminology and models
Chaîne de contrôle — Terminologie générale, concepts, exigences et lignes directrices
ICS: 03.100.01
THIS DOCUMENT IS A DRAFT CIRCULATED
FOR COMMENT AND APPROVAL. IT IS
THEREFORE SUBJECT TO CHANGE AND MAY
NOT BE REFERRED TO AS AN INTERNATIONAL
STANDARD UNTIL PUBLISHED AS SUCH.
IN ADDITION TO THEIR EVALUATION AS
BEING ACCEPTABLE FOR INDUSTRIAL,
This document is circulated as received from the committee secretariat.
TECHNOLOGICAL, COMMERCIAL AND
USER PURPOSES, DRAFT INTERNATIONAL
STANDARDS MAY ON OCCASION HAVE TO
BE CONSIDERED IN THE LIGHT OF THEIR
POTENTIAL TO BECOME STANDARDS TO
WHICH REFERENCE MAY BE MADE IN
Reference number
NATIONAL REGULATIONS.
ISO/DIS 22095:2019(E)
RECIPIENTS OF THIS DRAFT ARE INVITED
TO SUBMIT, WITH THEIR COMMENTS,
NOTIFICATION OF ANY RELEVANT PATENT
RIGHTS OF WHICH THEY ARE AWARE AND TO
©
PROVIDE SUPPORTING DOCUMENTATION. ISO 2019

---------------------- Page: 1 ----------------------
ISO/DIS 22095:2019(E)

COPYRIGHT PROTECTED DOCUMENT
© ISO 2019
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting
on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address
below or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Fax: +41 22 749 09 47
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO 2019 – All rights reserved

---------------------- Page: 2 ----------------------
ISO/DIS 22095:2019(E)

Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
3.1 Chain of Custody design related terms . 1
3.2 Supply chain related terms . 2
3.3 Chain of Custody models . 3
3.4 Roles and Responsibilities . 4
3.5 Conformity assessment related terms . 4
3.6 Traceability related terms . 6
4 Chain of Custody design . 6
4.1 General . 6
4.2 Roles and responsibilities . 6
4.3 Properties of Chain of Custody models . 7
5 Chain of Custody models. 9
5.1 Principles and requirements . 9
5.2 Chain of Custody models without mixing .10
5.2.1 Identity Preserved model .10
5.2.2 Segregated model .11
5.3 Chain of Custody models with mixing .13
5.3.1 Controlled Blending model .13
5.3.2 Mass Balance model .14
5.4 Book and Claim model .16
5.4.1 General.16
6 General requirements for organizations active in a Chain of Custody .17
6.1 General .17
6.2 General requirements for the Chain of Custody system .17
6.3 T op management responsibility .17
6.4 Competence .17
6.5 Evaluating performance and dealing with non-conformities .18
6.6 Documented information .18
6.6.1 Control of documented information .19
6.7 Assurance .19
6.8 Conversion factor .20
6.9 Inventory balancing .20
6.10 Complaints procedure .20
6.11 Outsourcing .21
6.12 Communication .21
Annex A (informative) Traceability and Chain of Custody .22
Annex B (informative) Practical examples of using Chain of Custody models .23
Annex C (informative) Mass Balance implementation .27
Bibliography .34
© ISO 2019 – All rights reserved iii

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ISO/DIS 22095:2019(E)

Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www .iso .org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following
URL: www .iso .org/iso/foreword .html.
This document was prepared by Technical Committee [or Project Committee] ISO/TC [or ISO/PC] ###,
[name of committee], Subcommittee SC ##, [name of subcommittee].
This second/third/… edition cancels and replaces the first/second/… edition (ISO #####:####), which
has been technically revised.
The main changes compared to the previous edition are as follows:
— xxx xxxxxxx xxx xxxx
A list of all parts in the ISO ##### series can be found on the ISO website.
iv © ISO 2019 – All rights reserved

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ISO/DIS 22095:2019(E)

Introduction
Understanding the origin of input materials, product components, product outputs and the conditions
under which they are produced is becoming increasingly important. Producers want to demonstrate
compliance with requirements regarding health and safety, as well as environmental, social and
quality-related aspects, while consumers or other end users need to be able to trust the claims made for
these products. The main drivers are government policies, consumer and business demand. Companies
directly active in a Chain of Custody (e.g. producers, traders, manufacturers, logistic and transport
service providers, retailers) as well as those investing in such companies (e.g. financial institutions,
governments) need transparency to understand and manage risks, to secure quality and to facilitate
the implementation of a reliable Chain of Custody system.
Chain of Custody systems have become an indispensable element of many different applications, such as
certification schemes for food safety, sustainable agriculture, forestry, aquaculture or fisheries, social
compliance, manufacturing, construction and mineral mining. They enable information associated
with a product and/or production characteristics to be shared among various organizations active in
the Chain of Custody such as material and ingredient suppliers, processors, contractors, transportation
companies, (private) scheme owners, financial institutions, companies active in recycling and
refurbishing, governmental organizations and consumers or other end users.
Although these many systems differ in scope and use terminology relevant to the sector and product
specific needs, and might also diverge on semantics and presentation, they deal with the same
challenges and are based on the same range of Chain of Custody models. The proliferation of systems
and definitions is causing unnecessary confusion, complexity and inconsistency. It also reduces the
degree of trustworthiness of information (e.g. related claims) and increases costs for organizations
active in the Chain of Custody. These complexities and resulting costs can be a barrier to market access,
especially for smaller companies and developing countries.
The aim of this document is to provide unambiguous definitions of the different Chain of Custody
models and the corresponding requirements, which are independent of sectors, materials, products,
and issues addressed. These requirements are applicable to any organization operating at any step in
the supply chain. Chain of Custody models are also referred to as Chain of Custody methods or Chain
of Custody concepts. In this document the term ‘Chain of Custody models’ is used. This multi sector
globally applicable ISO document will serve as a reference point for existing and future Chain of Custody
standards.
As each Chain of Custody model represents a different level of physical presence of the specified
characteristic in the output, this document will providegeneral guidance on the application of the
defined Chain of Custody models, including initial guidance on the circumstances under which each
Chain of Custody model might be appropriate.
This document does not specify or recommend a management system. Users can refer to this document,
clearly stating which models of Chain of Custody described in this document are used as a basis in their
Chain of Custody systems.
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DRAFT INTERNATIONAL STANDARD ISO/DIS 22095:2019(E)
Chain of custody — General terminology and models
1 Scope
This document defines a framework for Chain of Custody by providing:
— a consistent generic approach to the design, implementation and management of Chains of Custody;
— harmonized terminology;
— the requirements for different Chain of Custody models;
— general guidance on the application of the defined Chain of Custody models, including initial
guidance on the circumstances under which each Chain of Custody model might be appropriate;
This document is applicable to all materials and products.
This document can be used by any organization operating at any step in a supply chain, as well as by
standard setting organizations as a reference point for specific Chain of Custody standards.
While this document can enhance the transparency of the reliability of specific claims regarding
materials or products, it is not intended to be used on its own to make or verify such claims.
This document does not apply to services as final outputs.
NOTE This document is not, on its own, able to support claims about an organization’s materials or products.
This would be misleading, especially to consumers, other end users and users of this document, as the existence
of a Chain of Custody system alone does not specify the characteristics or the conditions under which materials
or products are produced. This document includes requirements and guidance regarding this issue.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https: //www .iso .org/obp
— IEC Electropedia: available at http: //www .electropedia .org/
3.1 Chain of Custody design related terms
3.1.1
Chain of Custody
process by which inputs and outputs and associated information are transferred, monitored and
controlled as they move through each step in the relevant supply chain
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3.1.2
Chain of Custody system
set of measures designed to implement a Chain of Custody, including documentation of these measures
Note 1 to entry: The purpose of a Chain of Custody system is to provide credibility that the given material or
product has a set of specified characteristics.
Note 2 to entry: The information linked to materials or products is transferred, monitored and controlled
throughout the entire supply chain or parts of it.
3.1.3
Chain of Custody model
approach taken to control inputs and outputs and associated information in a particular Chain of
Custody system
Note 1 to entry: A Chain of Custody model is typically designed to preserve a set of specified characteristics.
3.2 Supply chain related terms
3.2.1
supply chain
series of processes or activities involved in the production and distribution of a material or product
through which it passes from the source.
Note 1 to entry: A supply chain is typically composed of a series of different organizations.
3.2.2
input
material or product that enters an organization or part of an organization
[SOURCE: ISO 14044:2006+A1: 2017 modified, the wording and note 1 to entry has been modified. Note
2 and 3 to entry have been added]
Note 1 to entry: Input may be used at any stage of the supply chain.
Note 2 to entry: Input may also include recycled and reused materials or products.
Note 3 to entry: Input will have associated information.
3.2.3
output
material or product that leaves an organization or part of an organization
[SOURCE: ISO 14044:2001+A1: 2017, 6 modified, wording and note 1 to entry has been modified. Note 2
and 3 to entry have been added.]
Note 1 to entry: Output can be created at any stage of the supply chain.
Note 2 to entry: Output might include other products resulting from production processes.
Note 3 to entry: Output will have associated information.
3.2.4
characteristic
distinguishing feature
[SOURCE: ISO 9000:2015, modified – Notes 1 to 3 to entry have been deleted]
3.2.5
specified characteristics
set of product and/or production characteristics that the Chain of Custody is designed to maintain
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3.2.6
product characteristic
distinguishing feature of a material or product
Note 1 to entry: A product characteristic can be qualitative or quantitative.
3.2.7
production characteristic
distinguishing feature of one or more production processes in the supply chain
Note 1 to entry: Production characteristics sometimes create product characteristics. Examples include the
grinding of wood, the chemical treatment of wood for pulp production and food cooked at a low temperature.
Examples of production characteristics that do not normally create a product characteristic include production
according to a particular specification, such as the sustainable production of the material; the absence of child
labour; particular human rights standards or the identity of the primary processor.
Note 2 to entry: production characteristics can include the type of transportation and storage.
3.2.8
source
specific originator at a location of a material or product with a specified characteristic
Note 1 to entry: The originator is typically a specific supplier, but can also be a specific manufacturer or specific
processor adding a particular characteristic.
3.2.9
site
location with geographical boundaries at which defined activities under the control of an organization
may be carried out
Note 1 to entry: Sites may comprise more than one geographical area.
Note 2 to entry: Activities may include material extraction, production, manufacturing, recycling, storage, trade
and/or transportation.
3.2.10
process
set of interrelated or interacting activities that use inputs to deliver an intended output
[SOURCE: ISO 9000:2015 modified – the word result has been replaced by output, Notes 1 to 6 to entry
have been deleted]
Note 1 to entry: A process can include services.
3.3 Chain of Custody models
3.3.1
Identity Preserved model
Chain of Custody model in which the materials or products originate from a single source and their
specified characteristics are maintained throughout the supply chain
3.3.2
Segregated model
Chain of Custody model in which specified characteristics of a material or product are maintained from
the initial input to the final output
Note 1 to entry: Addition of material with different characteristics and/or grade to the input is not allowed.
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3.3.3
Controlled Blending model
Chain of Custody model in which materials or products with a set of specified characteristics are mixed
according to certain criteria with materials or products without that set of characteristics resulting in
a known proportion of the specified characteristics in the final output.
Note 1 to entry: The adhered claim may refer to a certain percentage, at batch-level and /or site-level.
3.3.4
Mass Balance model
Chain of Custody model in which materials or products with a set of specified characteristics are mixed
according to defined criteria with materials or products without that set of characteristics.
Note 1 to entry: The proportion of the input with specified characteristics might only match the initial
proportions on average and will typically vary across different outputs.
3.3.5
Book and Claim model
Chain of Custody model in which the administrative record flow is not necessarily connected to the
physical flow of material or product throughout the supply chain
Note 1 to entry: This Chain of Custody model is also referred to as ‘certificate trading model' or ‘credit trading’.
3.4 Roles and Responsibilities
3.4.1
organization
entity or group of people and facilities with an arrangement of responsibilities, authorities and
relationships and identifiable objectives
[SOURCE: ISO 26000:2012]
Note 1 to entry: An organization may encompass multiple (production /geographical) sites.
3.4.2
top management
person or group of people who directs and controls an organization at the highest level
[SOURCE: ISO 9000:2015, Notes 1 to 3 to entry have been deleted]
3.4.3
requirements setter
person or organization that specifies the requirements for a particular Chain of Custody
3.5 Conformity assessment related terms
3.5.1
conformity
fulfillment of a specified requirement
[SOURCE: ISO 9000:2015, wording modified]
3.5.2
conformity assessment
evaluation whether the specified requirements related to an object are fulfilled or are not fulfilled
[SOURCE: ISO/IEC CD 17000:2018, 2.1, modified – Notes 1 to 3 to entry have been deleted.]
Note 1 to entry: three types of conformity assessment activity are used: first-party (3.5.3), second-party (3.5.4)
and third-party (3.5.5).
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3.5.3
first-party conformity assessment activity
conformity assessment activity that is performed by the person or organization that provides or is the
object of conformity assessment
[SOURCE: ISO/IEC CD 17000:2018, 2.2, modified – Notes 1 to 3 to entry have been deleted.]
3.5.4
second-party conformity assessment activity
conformity assessment activity that is performed by a person or organization that has a user interest in
the object of conformity assessment
[SOURCE: ISO/IEC CD 17000:2018, 2.3, modified – Notes 1 and 2 to entry have been deleted.]
3.5.5
third-party conformity assessment activity
conformity assessment activity that is performed by a person or organization that is not the provider of
the object and has no user interest in the object
[SOURCE: ISO/IEC CD 17000:2018, 2.4, modified – Note 1 to entry has been deleted.]
3.5.6
audit
process for obtaining evidence and evaluating it objectively to determine the extent to which specified
requirements are fulfilled
[SOURCE: ISO/IEC CD 17000:2018, 4.4, modified – Notes 1 and 2 to entry have been deleted.]
3.5.7
inspection
examination of an object of conformity assessment and determination of its conformity with detailed
requirements or, on the basis of professional judgement, with general requirements
[SOURCE: ISO/IEC CD 17000:2018, 4.3, modified – Notes 1 to 3 to entry have been deleted.]
3.5.8
verification
confirmation, through the provision of objective evidence, that specified requirements have been
fulfilled
Note 1 to entry: The objective evidence needed for a verification can be the result of an inspection, audit or other
forms of determination such as performing alternative calculations or reviewing documents.
Note 2 to entry: The activities carried out for verification are sometimes called a qualification process and can
result in certification.
Note 3 to entry: The word “verified” is used to designate the corresponding status.
[SOURCE: ISO 9000:2015 modified, Note 2 to entry the wording has been modified]
3.5.9
certification
third-party attestation related to objects of conformity assessment, with the exception of conformity
assessment bodies
Note 1 to entry: Certification is applicable to all objects of conformity assessment except for conformity
assessment bodies themselves, to which accreditation is applicable.
[SOURCE: ISO/IEC CD 17000:2018]
3.5.10
claim
declared information regarding the specified characteristics of a material or product
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3.6 Traceability related terms
3.6.1
traceability
ability to trace the history, application, location or source(s) of a material or product throughout the
supply chain
[SOURCE: ISO 9000:2015 modified, the wording has been modified, Notes 1 and 2 to entry have been
deleted]
3.6.2
traceability system
manual or electronic system that provides the ability to access any or all information relating to that
which is under consideration, throughout its life cycle, by means of accessing documented information.
Note 1 to entry: ‘Life cycle’ should be understood in the broadest possible sense, to include, for example, raw
material extraction, agricultural production, final disposal, and reuse or recycling, as well as all other stages
connected with product manufacture and use.
4 Chain of Custody design
4.1 General
Although frequently considered as interchangeable, the concepts of Traceability and Chain of Custody
are not identical. The difference between these two concepts is described in Annex A.
A Chain of Custody system encompasses the set of measures supporting responsibility for the custody
of materials and products as ownership or control is transferred from one organization to another
within the relevant supply chain. A Chain of Custody usually involves more than one organization.
This document provides a framework and fundamental requirements for a Chain of Custody system.
Depending on e.g. the specific claim, material, product or sector, further specific Chain of Custody
requirements might need to be implemented. When using this document, the organization shall check
and evaluate this need.
This document can enhance the transparency and reliability of specific claims regarding materials or
products by providing common terminology and Chain of Custody models. However, this document
shall not be used on its own to support claims about an organization’s materials or products. This would
be misleading, especially to consumers, other end users and users of this document, as the existence
of a Chain of Custody system al
...

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