ISO/FDIS 22095

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

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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

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

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bodies (ISO member bodies). The work of preparing International Standards is normally carried out

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different types of ISO documents should be noted. This document was drafted in accordance with the

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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

This document was prepared by Technical Committee [or Project Committee] ISO/TC [or ISO/PC] ###,

This second/third/… edition cancels and replaces the first/second/… edition (ISO #####:####), which

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

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

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,

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

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

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

— a consistent generic approach to the design, implementation and management of Chains of Custody;

— 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 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.

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.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

process by which inputs and outputs and associated information are transferred, monitored and

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

Note 2 to entry: The information linked to materials or products is transferred, monitored and controlled

approach taken to control inputs and outputs and associated information in a particular Chain of

Note 1 to entry: A Chain of Custody model is typically designed to preserve a set of specified characteristics.

series of processes or activities involved in the production and distribution of a material or product

Note 1 to entry: A supply chain is typically composed of a series of different organizations.

[SOURCE: ISO 14044:2006+A1: 2017 modified, the wording and note 1 to entry has been modified. Note

Note 2 to entry: Input may also include recycled and reused materials or products.

[SOURCE: ISO 14044:2001+A1: 2017, 6 modified, wording and note 1 to entry has been modified. Note 2

Note 2 to entry: Output might include other products resulting from production processes.

set of product and/or production characteristics that the Chain of Custody is designed to maintain

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.

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

location with geographical boundaries at which defined activities under the control of an organization

Note 2 to entry: Activities may include material extraction, production, manufacturing, recycling, storage, trade

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

Chain of Custody model in which the materials or products originate from a single source and their

Chain of Custody model in which specified characteristics of a material or product are maintained from

Note 1 to entry: Addition of material with different characteristics and/or grade to the input is not allowed.

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

Note 1 to entry: The adhered claim may refer to a certain percentage, at batch-level and /or site-level.

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

Chain of Custody model in which the administrative record flow is not necessarily connected to the

Note 1 to entry: This Chain of Custody model is also referred to as ‘certificate trading model' or ‘credit trading’.

entity or group of people and facilities with an arrangement of responsibilities, authorities and

Note 1 to entry: An organization may encompass multiple (production /geographical) sites.

person or group of people who directs and controls an organization at the highest level

person or organization that specifies the requirements for a particular Chain of Custody

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)

conformity assessment activity that is performed by the person or organization that provides or is the

[SOURCE: ISO/IEC CD 17000:2018, 2.2, modified – Notes 1 to 3 to entry have been deleted.]

conformity assessment activity that is performed by a person or organization that has a user interest in

[SOURCE: ISO/IEC CD 17000:2018, 2.3, modified – Notes 1 and 2 to entry have been deleted.]

conformity assessment activity that is performed by a person or organization that is not the provider of

[SOURCE: ISO/IEC CD 17000:2018, 2.4, modified – Note 1 to entry has been deleted.]

process for obtaining evidence and evaluating it objectively to determine the extent to which specified

[SOURCE: ISO/IEC CD 17000:2018, 4.4, modified – Notes 1 and 2 to entry have been deleted.]

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.]

confirmation, through the provision of objective evidence, that specified requirements have been

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

Note 3 to entry: The word “verified” is used to designate the corresponding status.

third-party attestation related to objects of conformity assessment, with the exception of conformity

Note 1 to entry: Certification is applicable to all objects of conformity assessment except for conformity

declared information regarding the specified characteristics of a material or product

ability to trace the history, application, location or source(s) of a material or product throughout the

[SOURCE: ISO 9000:2015 modified, the wording has been modified, Notes 1 and 2 to entry have been

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

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

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