GB/T 43461-2023 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.
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)
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: 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: 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: A chain of custody model is typically designed to preserve a set of specified characteristics (3.2.5).
Note 2: 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: 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: Input may be used at any stage of the supply chain (3.2.1).
Note 2: Input may also include reused and recycled materials or products.
Note 3: Input will have associated information.
[SOURCE: ISO 14044:2006+A1:2017, 3.21, modified]
3.2.3
output
material or product that leaves an organization or part of an organization
Note 1: Output can be created at any stage of the supply chain (3.2.1).
Note 2: Output might include other products resulting from production processes.
Note 3: Output will have associated information.
[SOURCE: ISO 14044:2006+A1:2017, 3.25, modified]
3.2.4
characteristic
distinguishing feature
[SOURCE: ISO 9000:2015, 3.10.1, modified]
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: 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: 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: 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: 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: 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: 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: A process can include services.
[SOURCE: ISO 9000:2015, 3.4.1, modified]
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)
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: Addition of material with different characteristics and/or grade to the input is not allowed.
Note 2: 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: 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: 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: This chain of custody model is also referred to as "certificate trading model" or "credit trading".
Note 2: 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: An organization may encompass multiple (production/geographical) sites.
[SOURCE: GB/T 36000-2015, 3.22, modified]
3.4.2
top management
person or group of people who directs and controls an organization at the highest level
[SOURCE: GB/T 19000-2016, 3.1.1]
Standard
GB/T 43461-2023 Chain of custody—General terminology and models (English Version)
GB/T 43461-2023 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.
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)
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: 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: 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: A chain of custody model is typically designed to preserve a set of specified characteristics (3.2.5).
Note 2: 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: 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: Input may be used at any stage of the supply chain (3.2.1).
Note 2: Input may also include reused and recycled materials or products.
Note 3: Input will have associated information.
[SOURCE: ISO 14044:2006+A1:2017, 3.21, modified]
3.2.3
output
material or product that leaves an organization or part of an organization
Note 1: Output can be created at any stage of the supply chain (3.2.1).
Note 2: Output might include other products resulting from production processes.
Note 3: Output will have associated information.
[SOURCE: ISO 14044:2006+A1:2017, 3.25, modified]
3.2.4
characteristic
distinguishing feature
[SOURCE: ISO 9000:2015, 3.10.1, modified]
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: 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: 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: 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: 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: 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: 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: A process can include services.
[SOURCE: ISO 9000:2015, 3.4.1, modified]
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)
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: Addition of material with different characteristics and/or grade to the input is not allowed.
Note 2: 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: 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: 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: This chain of custody model is also referred to as "certificate trading model" or "credit trading".
Note 2: 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: An organization may encompass multiple (production/geographical) sites.
[SOURCE: GB/T 36000-2015, 3.22, modified]
3.4.2
top management
person or group of people who directs and controls an organization at the highest level
[SOURCE: GB/T 19000-2016, 3.1.1]
