SIST-TS CEN/TS 16214-2:2020

SLOVENSKI STANDARD
01-december-2020
Nadomešča:
SIST-TS CEN/TS 16214-2:2014
Merila trajnostnosti za proizvodnjo biogoriv in biotekočin za uporabo v energetiki -
Načela, merila, kazalniki in preskuševalniki - 2. del: Ugotavljanje skladnosti,
vključno s postopki nadzora in masne bilance
Sustainability criteria for the production of biofuels and bioliquids for energy applications
- Principles, criteria, indicators and verifiers - Part 2: Conformity assessment including
chain of custody and mass balance
Nachhaltigkeitskriterien für die Herstellung von Biokraftstoffen und flüssigen
Biobrennstoffen für Energieanwendungen - Grundsätze, Kriterien, Indikatoren und Prüfer
- Teil 2: Konformitätsbewertung einschließlich überwachter Lieferkette und
Massenbilanz
Critères de durabilité pour la production de biocarburants et de bioliquides pour des
applications énergétiques - Principes, critères, indicateurs et vérificateurs - Partie 2:
évaluation de la conformité, incluant chaîne de surveillance et bilan massique
Ta slovenski standard je istoveten z: CEN/TS 16214-2:2020
ICS:
27.190 Biološki viri in drugi Biological sources and
alternativni viri energije alternative sources of energy
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

CEN/TS 16214-2
TECHNICAL SPECIFICATION
SPÉCIFICATION TECHNIQUE
September 2020
TECHNISCHE SPEZIFIKATION
ICS 75.160.40; 27.190 Supersedes CEN/TS 16214-2:2014
English Version
Sustainability criteria for the production of biofuels and
bioliquids for energy applications - Principles, criteria,
indicators and verifiers - Part 2: Conformity assessment
including chain of custody and mass balance
Critères de durabilité pour la production de Nachhaltigkeitskriterien für die Herstellung von
biocarburants et de bioliquides pour des applications Biokraftstoffen und flüssigen Biobrennstoffen für
énergétiques - Principes, critères, indicateurs et Energieanwendungen - Grundsätze, Kriterien,
vérificateurs - Partie 2: évaluation de la conformité, Indikatoren und Prüfer - Teil 2:
incluant chaîne de surveillance et bilan massique Konformitätsbewertung einschließlich überwachter
Lieferkette und Massenbilanz
This Technical Specification (CEN/TS) was approved by CEN on 17 August 2020 for provisional application.

The period of validity of this CEN/TS is limited initially to three years. After two years the members of CEN will be requested to
submit their comments, particularly on the question whether the CEN/TS can be converted into a European Standard.

CEN members are required to announce the existence of this CEN/TS in the same way as for an EN and to make the CEN/TS
available promptly at national level in an appropriate form. It is permissible to keep conflicting national standards in force (in
parallel to the CEN/TS) until the final decision about the possible conversion of the CEN/TS into an EN is reached.

CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,
Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway,
Poland, Portugal, Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and
United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION

EUROPÄISCHES KOMITEE FÜR NORMUNG

CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels
© 2020 CEN All rights of exploitation in any form and by any means reserved Ref. No. CEN/TS 16214-2:2020 E
worldwide for CEN national Members.

Contents Page
European foreword . 3
Introduction . 4
1 Scope . 6
2 Normative references . 6
3 Terms and definitions . 7
4 Principle . 7
5 Requirements for conformity assessment . 7
5.1 Basic elements . 7
5.2 Requirements for sustainability . 8
5.3 Requirements for economic operators . 9
5.4 Competence of conformity assessment bodies . 9
5.5 Requirements for the conformity assessment process . 9
5.5.1 General requirements . 9
5.5.2 Conformity assessment process . 9
6 Requirements for chain of custody control – mass balance method . 10
6.1 Basic elements for application of the mass balande method . 10
6.2 Product declaration – Identification of compliant consignment . 11
6.3 Management system requirements . 12
6.3.1 General . 12
6.3.2 Commitment . 12
6.3.3 Responsibilities and authorities . 12
6.3.4 Documentation . 12
6.3.5 Records . 13
Annex A (informative) Examples of conformity assessments procedures . 14
Annex B (informative) Checklists . 15
B.1 Initial audit (focus on management system). 15
B.2 Surveillance audit (focus on data verification) . 16
Annex C (informative) Example of use of self-declaration documents in a group-auditing
scheme . 18
Annex D (informative) Example of use of conformity of specific consignments . 20
Annex E (informative) Example of mass balance. 22
Annex F (informative) Examples for GHG balance . 26
Annex G (informative) Example of product declaration . 29
Annex H (informative) Relationship between this document and the Essential
Requirements of EU Directives 2009/28/EC and 98/70/EC, amended by Directive
2015/1513 . 30
Bibliography . 34

European foreword
This document (CEN/TS 16214-2:2020) has been prepared by Technical Committee CEN/TC 383
“Sustainably produced biomass for energy applications”, the secretariat of which is held by NEN.
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. CEN shall not be held responsible for identifying any or all such patent rights.
This document supersedes CEN/TS 16214-2:2014.
It has been aligned with amended regulations [3].
According to the CEN/CENELEC Internal Regulations, the national standards organisations of the
following countries are bound to announce this Technical Specification: Austria, Belgium, Bulgaria,
Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland,
Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Republic of
North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United
Kingdom.
Introduction
Directive 2009/28/EC of the European Commission on the promotion of the use of energy from
renewable sources, referred to as the Renewable Energy Directive (RED, [1]), incorporates an advanced
binding sustainability scheme for biofuels and bioliquids for the European market. The RED contains
binding sustainability criteria for greenhouse gas savings, land with high biodiversity value, land with
high carbon stock and agro-environmental practices. Several articles in the RED present requirements to
European Member States and to economic operators in Europe. Non-EU countries may have different
requirements and criteria on, for instance, the GHG emission reduction set-off in the framework of their
own national legislation.
The sustainability criteria for biofuels are also mandated in Directive 98/70/EC relating to the quality of
petrol and diesel fuels [2], via the amending Directive 2009/30/EC (as regards the specification of petrol,
diesel and gas-oil and introducing a mechanism to monitor and reduce greenhouse gas emissions, [43]).
Directive 98/70/EC is referred to as the Fuels Quality Directive (FQD).
Directive 2015/1513 [3], referred to as the ILUC Directive, amends both the RED and the FQD.
Created in 2008, CEN/TC 383 initiated the elaboration of a standardization programme on sustainability
criteria for biomass for energy application. After being contacted by CEN, the European Commission in
return in May 2009 formally wrote to request CEN to work on standard(s) on:
— the implementation of the mass balance method of custody chain management;
— the provisions of evidence that the production of raw material has not interfered with nature
protection purpose;
— the auditing by member states and by voluntary schemes using them of the information submitted
by economic operators.
Both the EC and CEN agreed that these may play a role in the implementation of the EU biofuel and
bioliquid sustainability scheme. In the Communication from the Commission on the practical
implementation of the EU biofuels and bioliquids sustainability scheme and on counting rules for biofuels
(2010/C 160/02, [54]), awareness of the CEN work is indicated.
It is widely accepted that sustainability at large encompasses environmental, social and economic
aspects. The European Directives make mandatory the compliance of several sustainability criteria for
biofuels and bioliquids. This European Standard has been developed with the aim to assist EU Member
States and economic operators with the implementation of EU biofuel and bioliquids sustainability
requirements mandated by the European Directives. This document is limited to certain aspects relevant
for a sustainability assessment of biomass produced for energy applications. Therefore compliance with
parts of CEN/TS 16214 or parts of EN 16214 alone does not substantiate claims of the biomass being
produced sustainably.
This document defines requirements for the verification of compliance with the sustainability criteria for
biofuels and bioliquids, in accordance with legal requirements, such as in Article 18 of the RED [1]. In
particular, this document defines requirements for an adequate standard of independent auditing of the
information submitted by economic operators (Clause 5), and the implementation by economic
operators, of the mass balance method of chain of custody control (Clause 6).
This document is a tool that can be used as part of voluntary schemes, national systems or bilateral
agreements.
This document defines requirements for a mass balance system which:
a) allows consignments of raw material or biofuel or bioliquids with differing sustainability
characteristics to be mixed;
b) requires information about the sustainability characteristics and sizes of the consignments referred
to in a) to remain assigned to the mixture; and
c) provides for the sum of all consignments withdrawn from the mixture to be described as having the
same sustainability characteristics, in the same quantities, as the sum of all consignments added to
the mixture.
Each economic operator in the chain of custody is responsible for the data supplied in the product
declarations submitted to the next economic operator as detailed in 5.1. The validity of these declarations
is assessed through conformity assessment procedures carried out as described in Clause 5 of this
document.
Where applicable, the different parts of CEN/TS 16214 and EN 16214 contain at the end an annex that
informs the user of the link between the requirements in the European Directive and the requirements
in the CEN Standard.
1 Scope
This document specifies a set of rules and procedures as a framework for conformity assessment
describing biofuels and bioliquids as the objects of conformity assessment, identifying the applicable
specified requirements and providing the methodology for performing conformity assessment. It (this
set of rules and procedures) defines requirements for provision by economic operators of the required
evidence that biofuels and bioliquids fulfil the sustainability criteria as defined in the Renewable Energy
Directive [1] and in Directive 2015/1513 [3]. This document is applicable to the initial biomass
production or to the point of collection for waste and residue and to each stage within the chain of
custody. It also defines requirements on conformity assessment bodies when checking compliance with
the present standard.
NOTE 1 This edition of the standard does not cover the requirements in Directive 2018/EU/2001, the recast of
the Renewable Energy Directive (referred to as RED II).
NOTE 2 An example of supply chain of biofuels and bioliquids to be covered by the chain of custody is given in
Figure 1. This supply chain is a simple representation, actual supply chains are typically more complex.

Figure 1 — Example of a supply chain of biofuels and bioliquids
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
EN 16214-1:2012, Sustainability criteria for the production of biofuels and bioliquids for energy
applications - Principles, criteria, indicators and verifiers - Part 1: Terminology
EN 16214-3, Sustainability criteria for the production of biofuels and bioliquids for energy applications –
Principles, criteria, indicators and verifiers – Part 3: Biodiversity and environmental aspects related to
nature protection purposes
EN 16214-4, Sustainability criteria for the production of biofuels and bioliquids for energy applications -
Principles, criteria, indicators and verifiers - Part 4: Calculation methods of the greenhouse gas emission
balance using a life cycle analysis approach
EN ISO/IEC 17000:2004, Conformity assessment – Vocabulary and general principles
(ISO/IEC 17000:2004)
EN ISO/IEC 17050-1, Conformity assessment – Supplier’s declaration of conformity – Part 1: General
requirements (ISO/IEC 17050-1)
EN ISO/IEC 17050-2, Conformity assessment – Supplier’s declaration of conformity – Part 2: Supporting
documentation (ISO/IEC 17050-2)
3 Terms and definitions
For the purposes of this document, the terms and definitions given in EN ISO/IEC 17000:2004 and
EN 16214-1:2012 apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— IEC Electropedia: available at http://www.electropedia.org/
— ISO Online browsing platform: available at https://www.iso.org/obp
4 Principle
This document defines the requirements for the economic operators, based on the following principles:
1) Economic operators transfer the data of their consignments to the next operator through a product
declaration, and need to meet the sustainability requirements as laid down in this document, and
2) Economic operators have the possibility to follow the conformity assessment procedures set out in
this document (see 5.1.5).
5 Requirements for conformity assessment
5.1 Basic elements
5.1.1 In order to ensure that the sustainability criteria for biofuels and bioliquids are fulfilled different
conformity assessment procedures as described in this clause shall be used.
5.1.2 Each economic operator shall issue a product declaration in accordance with 6.2 and on the basis
of EN ISO/IEC 17050-1 and EN ISO/IEC 17050-2 for each consignment it delivers. The product
declaration is the basis of further conformity assessment procedures.
5.1.3 The economic operator can be assessed whether it fulfils the requirements for economic
operators described in 5.3.
5.1.4 When an economic operator takes delivery from an economic operator which has not been
assessed according to 5.4, it shall take responsibility for the sustainability data of the delivering non-
assessed operator within its own assessment scope, including verification of supplier. This may be
extended to cover previous economic operators and up to the full chain of custody.
5.1.5 The economic operator shall be assessed.
NOTE This assessment can be done by a conformity assessment body in accordance with European and
national legislation in this regard, the requirements of EC recognized voluntary schemes or with the requirements
of a national system (see 5.5). The result of this assessment is a conformity assessment statement issued by the
conformity assessment body.
5.2 Requirements for sustainability
5.2.1 The consignments taken into account for this document shall not be made from raw material
obtained from land with high biodiversity value, namely land that had one of the following statuses in or
after January 2008, whether or not the land continues to have that status:
a) primary forest and other wooded land, namely forest and other wooded land of native species, where
there is no clearly visible indication of human activity and the ecological processes are not
significantly disturbed;
b) areas designated:
1) by law or by the relevant competent authority for nature protection purposes; or
2) for the protection of rare, threatened or endangered ecosystems or species recognized by
international agreements or included in lists drawn up by intergovernmental organisations or
the International Union for the Conservation of Nature, unless evidence is provided that the
production of that raw material did not interfere with those nature protection purposes;
c) highly biodiverse grassland that is:
1) natural, namely grassland that would remain grassland in the absence of human intervention
and which maintains the natural species composition and ecological characteristics and
processes; or
2) non-natural, namely grassland that would cease to be grassland in the absence of human
intervention and which is species-rich and not degraded, unless evidence is provided that the
harvesting of the raw material is necessary to preserve its grassland status.
5.2.2 The consignments taken into account for this document shall not be made from raw material
obtained from land with high carbon stock, namely land that had one of the following statuses in January
2008 and no longer has that status:
a) wetlands, namely land that is covered with or saturated by water permanently or for a significant
part of the year;
b) continuously forested areas, namely land spanning more than one hectare with trees higher than five
metres and a canopy cover of more than 30 %, or trees able to reach those thresholds in situ;
c) land spanning more than one hectare with trees higher than five metres and a canopy cover of
between 10 % and 30 %, or trees able to reach those thresholds in situ, without providing that the
carbon stock of the area before and after conversion is included in the GHG balance of the
consignment,
The provisions of this paragraph shall not apply if, at the time the raw material was obtained, the land
had the same status as it had in January 2008.
5.2.3 The consignments taken into account for this document shall not be made from raw material
obtained from land that was peatland in January 2008, unless evidence is provided that the cultivation
and harvesting of that raw material does not involve drainage of previously undrained soil.
5.2.4 The greenhouse gas emission saving from the use of biofuels and bioliquids taken into account
for this document shall be at least 50 %.
The greenhouse gas emission saving shall be at least 60 % for biofuels and bioliquids produced in
installations starting operation after 5th October 2017. An installation shall be considered to be in
operation if the physical production of biofuels or bioliquids has taken place.
5.3 Requirements for economic operators
Requirements for economic operators consist of:
a) Compliance with the land-related criteria:
1) For raw materials for biofuel production (except for waste and processing residues, but
including agricultural, aquaculture, fisheries and forestry residues) compliance with
environmental criteria in 5.2.1 to 5.2.3. EN 16214-3 shall be used as guidance for verifying
compliance as regards the exceptions from the land-use related requirements.
2) For agricultural material cultivated within EU, compliance with requirements referred under the
heading ‘Environment’ in part A and in point 9 of Annex II to Council regulation (EC) 73/2009
and with minimum requirements for good agricultural and environmental condition defined
pursuant to Article 6(1) of that regulation [6].
b) Compliance with the mass balance requirements detailed in 6.1.
c) Compliance with the requirements for GHG emission savings according to 5.2.4. EN 16214-4 shall be
used as guidance for calculating the GHG emission savings.
d) Compliance of the product declaration provided to the next economic operator in the chain of
custody to 6.2.
e) Compliance of the management system to 6.3.
5.4 Competence of conformity assessment bodies
All conformity assessment bodies doing any conformity assessment work under this document shall first
have demonstrated, and shall then continue to demonstrate, that they are competent to do that work.
One of the ways for conformity assessment bodies or individuals to demonstrate competence is to obtain
accreditation from their national accreditation body or approval from the responsible authority from a
EU Member State in accordance with such arrangements as are made by that government for
implementation of the directive in that country.
5.5 Requirements for the conformity assessment process
5.5.1 General requirements
Conformity assessment shall be undertaken by an independent conformity assessment body.
The requirements that shall be included in the conformity assessment process are specified in 5.2.
Conformity assessments based on this document are open for all conformity assessment bodies fulfilling
the requirements as stated in 5.4. The level of auditing recommended is a limited assurance level
according to ISAE 3000 [7].
5.5.2 Conformity assessment process
5.5.2.1 General
The conformity assessment process shall consist of conducting special audits described in 5.5.2.2 and
5.5.2.3. For a checklist that may be used see Annex B.
Compliance with the sustainability requirements of this document may be demonstrated by conformity
assessment processes other than those defined in 5.1. In this case, economic operators may use the
following options to demonstrate compliance with:
— Group auditing systems (see Annex A, Example 3) - in particular for farmers, producer organisations
and cooperatives. Conformity assessment is done on a sample of units. Such an example is given in
Annex C. Group auditing for compliance with the scheme's land related criteria is only acceptable
when the areas concerned are near each other and have similar sustainability characteristics. Group
auditing for the purpose of calculating greenhouse gas savings is only acceptable when the units have
similar production systems and products.
— Conformity assessments of specific consignments as described in Annex D.
NOTE For ”small-holder” farmers, producer organisations and cooperatives relevant conformity assessment
processes can be used, e.g. “group auditing” regarding 2.2.2 in communication 2010/C 160/01 [5].
5.5.2.2 Initial audit
This is the first procedure for assessment if the economic operator has not been assessed previously or
has no valid conformity assessment statement according to this document (initial assessment, before
delivery of first consignment). The conformity assessment process will specifically check the conformity
of the management system as described in 6.3 and whether the operator fulfils all the requirements set
out in this document, as described in 5.2.
5.5.2.3 Surveillance audit
This is the assessment procedure used during the surveillance visits and when the economic operator
has been assessed previously and has a valid conformity assessment statement running according to this
document. The conformity assessment process will verify whether the conditions for issuing the first
conformity assessment statement are still in place.
Furthermore, it will check the conformity of the data supplied product declarations according to this
document, the conformity of the operator according to 5.2 as well as all the data requirements as set out
in 6.2 and the conformity of the mass balances with 6.1.
6 Requirements for chain of custody control – mass balance method
6.1 Basic elements for application of the mass balande method
The mass balance method shall balance the sustainability data, including GHG emission data, taken from
the product declarations as defined in 6.2, of all consignments at the end of the inventory period. An
example of such a mass balance is given in Annex E. The sustainability data from the proportion of
compliant consignments that are not destined for use as biofuels and bioliquids shall be excluded from
the mass balance calculation, to avoid allocation of sustainability data to only the bioenergy consignments
portion.
When consignments with different (or no) sustainability characteristics are mixed, the separate sizes and
sustainability characteristics of each consignment remain assigned to the mixture.
If a mixture is split up, any consignment taken out of it may be assigned any of the sets of sustainability
characteristics (accompanied with sizes) as long as the combination of all consignments taken out of the
mixture has the same sizes for each of the sets of sustainability characteristics that were in the mixture.
It is necessary for appropriate arrangements to be in place to ensure that the balance is respected. The
amount of compliant material going out of a mixture shall be equal to the amount of compliant material
going into the mixture (provided that corresponding conversion values have been applied).
Non-compliant consignments shall not be used in calculating aggregated GHG emission saving data. When
a facility operates simultaneously for production of the same material both for energy and non-energy
application, the production for non-energy application is excluded from the GHG balance. When a
production facility cannot distinguish the process between bio-based material for energy purpose and
for other applications, the GHG impact of the production process will be deemed equal for all applications.
When consignments with the same sustainability characteristics are mixed only the size of the
consignment is adjusted accordingly.
When several consignments are aggregated, the aggregated consignment shall be allocated the highest
GHG intensity of all combined consignments.
The mass balance method shall be applied within a set periodic inventory period. The recommended
period has a maximum duration of three months. When national legislation allows for additional
flexibility, the period shall not exceed 12 months.
6.2 Product declaration – Identification of compliant consignment
When the economic operator delivers or transfers a consignment of compliant products, the economic
operator shall provide the next economic operator with a product declaration clearly stating at least the
following information concerning each consignment when applicable for the specific step in the supply
chain:
a) date and place of product declaration emission;
b) economic operator's identification;
c) conformity assessment statement reference (case 5.1.2) or other valid reference demonstrating the
compliance of the economic operator (case 5.1.3);
d) quantity of delivery;
e) date of delivery;
f) product description (including feedstock);
g) point of delivery;
h) unique reference number enabling the tracing of the issued document within the internal mass-
balance accounting system;
i) cumulative greenhouse gas emission (saving) data, using actual or default values (see example in
Annex F) up to the point of delivery, including emission received from the previous economic
operators, in gCO eq/MJ (LHV) or gCO eq/t. When using actual values, they shall be calculated in
2 2
accordance with EN 16214-4. Biofuels and bioliquids GHG emission data shall be reported as in
EN 16214-4. The detailed procedures for the calculation of the GHG emission saving as provided in
EN 16214-4 shall be respected.
It is possible for operators to use actual data regarding transport for the calculation of the GHG profile
of their product. In this case they should ensure that there is no double counting of GHG emission by
using actual data for all the previous transport legs;
j) declaration by the economic operator that delivered material is conform to the land-use
requirements as in RED art 17(3) to 17(5) and/or in FQD art. 7(b)(3) to 7(b)(5) (see also
EN 16214-3);
NOTE Waste and processing residues (see EN 16214-1) are exempted from fulfilling the land-use
requirements.
k) country of biomass origin;
l) if applicable, fraction of origin from severely and heavily degraded land according to EN 16214-3;
m) whether the feedstock is a waste or a residue and which type of residue;
n) if one or several sustainability criteria are not assessed under Clause 4, reference shall be made of
the EU approved scheme (or bilateral agreement);
o) has a recognized voluntary scheme certified the operator (Yes / No) and in case “Yes”, the name of
this voluntary scheme;
p) has the bonus for degraded land be applied? (Yes / No);
q) has the factor for emissions savings from soil carbon accumulation via improved agricultural
management be used (Yes / No);
r) name, function and signature of authorized person acting on behalf of the issue.
Product declarations for several consignments may be included on the same document, provided every
consignment has its unique reference number and its own set of the above data.
Consignments fulfilling these requirements are deemed sustainable according to this document.
An example of such a product declaration is given in Annex G.
6.3 Management system requirements
6.3.1 General
The economic operator shall operate a management system covering the requirements in 6.3.2 to 6.3.5,
which ensure correct implementation and maintenance of the chain of custody process. The management
system shall be appropriate to the type, range and volume of work performed. These requirements may
be incorporated in an economic operator's quality or environmental management system.
6.3.2 Commitment
The economic operator shall define and document its commitment to implement and maintain the chain
of custody requirements in accordance with this document. The operator's commitment shall be made
available to the operator's personnel, suppliers, customers, and other interested parties.
6.3.3 Responsibilities and authorities
The economic operator shall appoint a member of the management who, irrespective of other
responsibilities, shall have overall responsibility and authority for management of the chain of custody.
The economic operator shall identify personnel performing work affecting the implementation and
maintenance of chain of custody and establish and set responsibilities and authorities.
6.3.4 Documentation
The economic operator shall prepare and keep as evidence all necessary documentation to be able to
demonstrate their conformity with this document.
The chain of custody documentation shall include at least the following elements:
a) description of the economic operators processes which influence and define the allocation of
sustainability characteristics (conversion, blending, etc.);
b) organization structure, responsibilities and authorities relating to chain of custody;
c) procedures for chain of custody control covering all requirements of this document.
6.3.5 Records
The economic operator shall establish and maintain records necessary to provide evidence of conformity
with the requirements of this document.
The product declaration shall be in line with 6.2 and with EN ISO/IEC 17050-2. The operator shall keep
at least the following records:
a) records of all suppliers of product including information which confirms that the requirements at the
supplier level are met;
b) records of all received product including all information included in the product declarations;
c) records of all products delivered and all information included in the product declarations and next
economic operator identification;
d) records of internal audits, non-conformities which occurred and corrective actions taken.
The economic operator shall retain documentation for a period of at least five years or longer if
mandatory according to prevailing laws and regulations.
Annex A
(informative)
Examples of conformity assessments procedures
Examples of conformity assessment procedures are given below (based on [8] and [9]).
EXAMPLE 1
Operator N-1 is conformity assessed according to the document (5.4) by an independent conformity assessment
body and issues a product declaration of its consignment to Operator N.
Operator N (next operator in the chain of custody) receives the product declaration from N-1. Operator N is itself
conformity assessed by an independent conformity assessment body. Operator N can use
N-1’s product declaration, data in this declaration are N-1’s responsibility. The audit of Operator N will check that
Operator N-1 was in possession of a valid conformity assessment statement and will ensure data from the product
declaration has been appropriately used. The data supplied in the product declaration will only be verified as part
of the conformity assessment of Operator N-1.
EXAMPLE 2
Operator N-1 is not conformity assessed according to this document (5.4) by an independent conformity assessment
body. It issues a product declaration of its consignment to Operator N.
Operator N receives the product declaration and takes responsibility for the data supplied in this product
declaration. It may conduct its own (non-independent) 2nd party audit of Operator N-1 or rely on other (non-
independent) 1st or 2nd party conformity assessments of Operator N-1, as for example internal audits by Operator
N-1. Data included in the Product declaration from Operator N-1 are included in the audits of Operator N.
EXAMPLE 3
Operator N-1 is, together with other Operators supplying Operator N, engaged in a “group auditing” scheme. It
issues a product declaration to Operator N of its consignment.
Operator N will accept the product declarations from Operators N-1 in the group auditing scheme and will ensure
that a sample of them is independently conformity assessed. The group auditing of Operators N-1 is part of the audit
of Operator N.
Annex B
(informative)
Checklists
B.1 Initial audit (focus on management system)
Criteria minor major critical
1. Is there a description of
a. Site boundaries
b. Operations and Processes
c. Conversion factors
2. Is there a system in place to
a. Check that incoming product declarations are
complete, including validity of conformity
assessment
b. Provide accurate information on outgoing
consignments with regard to:
i. Product declaration template and system
ii. GHG intensity data
iii. Land related criteria
c. Mass balance of the site:
i. Has the operation introduced a suitable
mass balance system that guarantees that
the allocation of sustainability
characteristics to consignments is carried
out as it is described in 6.1?
ii. Is there a reference period fixed for
performing regular mass balance?
iii. Is there an internal bookkeeping
system to link data records with incoming
and outgoing consignments?
Criteria minor major critical
3. Is there a document available defining at least the
following elements:
a. description of the economic operators
processes;
b. organization structure, responsibilities and
authorities relating to chain of custody;
c. procedures for chain of custody control
covering all requirements of this document.
4. Is this document available to
a. Personnel
b. Suppliers
c. Customers
d. Interested 3rd parties
5. Is there a management member appointed to have
overall responsibility and authority for management of
the chain of custody?
6. Are the people affected aware of their responsibilities?
7. Is there a record system that ensures that the following
information is kept for a minimum of 5 years:
a. records of all suppliers of product including
information which confirms that the
requirements at the supplier level are met,
b. records of all received product including all
information included in the product declarations,
c. records of all products delivered and all
information included in the product declarations
and next economic operator identification
d. records of internal audits, non-conformities
which occurred and corrective actions taken.
Additional requirements for biomass producer or economic operator taking delivery of non-
assessed biomass
1. Is there a system in place to guarantee
compliance with 5.2?
Definitions:
minor deviation: correction needed until the next audit
major deviation: correction needed before certificate can be granted
critical deviation: no certificate without additional inspection
B.2 Surveillance audit (focus on data verification)
Criteria minor major critical
1. Is the management system in place and the boundaries still the
ones that were in place during the initial audit?
2. Is the management system still operational?
3. Have there been deviations in the system and has this been
correctly addressed?
4. Have the incoming product declarations been appropriately
used?
5. Were the incoming product declarations complete?
6. Was the information on the incoming product declaration
plausible?
7. Was the validity of the suppliers’ conformity assessment
verified?
8. Was all the input from the incoming product declaration
correctly transferred to the mass balance system?
9. Was the calculation inside the mass balance system correct and
performed according to the definition of that system? Did the
operator balance its mass balance system within the pre-defined
period?
10. Do all the outgoing product declarations contain a unique
reference number?
11. Does this unique reference number allow tracking of the
consignment in the mass balance system?
12. Was the information of the outgoing product declaration
accurate and complete?
13. Were all records saved in an appropriate way for the past 5
years or since the preliminary audit (whichever is the most
recent) and made available?
14. Were all non-compliant consignments excluded from the
mass balance?
15. Were sustainability characteristics of consignments
aggregated only when these sustainability characteristics were
similar?
16. Have the GHG emissions of the processing step correctly
accounted for? Has the allocation principle been correctly
implemented?
Definitions:
minor deviation: correction needed until the next audit
major deviation: correction needed before certificate can be granted
critical deviation: no certificate without additional inspection
Annex C
(informative)
Example
...