Forest Evaluation Process

Version:09-02-2008

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FM Preassessment

FM Assessment

FM Surveillance Audit

Contents

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Forest Management Unit - FMU

a clearly defined forest area mapped with

boundaries, managed by a single

management body to a single managerial body to a set of

explicit objectives which are expressed in a self-contained multi-year management plan

FSC-STD-01-002 FSC Glossary of Terms, July 2004

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FMU as the basis for evaluation

An FMU or group of similar FMUs is the defined unit for evaluation. Compliance for the full FSC standard must be demonstrated at the FMU level.

Examples of FMUs:–Community managed forest–Privately owned estate (may contain several forest blocks if managed under a single FMP)–A management subdivision of a national forest

Not an FMU:–The forest of a region or country consisting of many independent forest owners.

Note: It is not a requirement that all forest area within an FMU be contiguous. An FMU may consist of a number of separate sites or blocks of forest.

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SW TMSW TM Lead Auditor/AuditorsLead Auditor/Auditors

Lead Auditor + TMLead Auditor + TM SW TM /R0/HQSW TM /R0/HQ

5. Evaluation Planning6. Preassessment (Large

FME, HVO, HCVF)7. Stakeholder consultation8. Field evaluation9. Prepare evaluation report

10. Final draft of the report11. Send to FM SW task manager12. Redraft report if necessary 13. Review by FME

14. Peer review 15. Final report 16. Certification decision17. Certification contract18. Certificate issuing

Evaluation Process: Steps

1. Application2. Preliminary screening3. Stakeholder notification4. Stakeholder Consultation (preassessment)

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reassessmentsFSC-STD-20-005 Forest Pre-Evaluation VisitsFM-34 SW Applicability and Procedural Guidance for FSC FM PreassessmentsP

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FM Preassessments

Audits carried out prior to a main evaluation with the overall objective to improve quality, reduce uncertainty and reduce

risk of unforeseen obstacles. The preassessment provides for:

The orientation of the forest manager(s) with the main requirements of the standard to be used for the audit and the certification process.

Identification of potential significant conformance issues or gaps that the manager should work to correct before committing to the cost of a full evaluation.

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Requirement: Applicability: Means of identification

large-scale forests(FSC requirement)

FMEs greater than 10,000 hectares,Unless, the whole area meets the SLIMF eligibility criteria.

As defined in the FM application form and confirmed by TM.

High conservation value forests (FSC requirement)

Designated HCVF or evidence that contains HCV attributes. Note: precautionary approach should be applied .

1.FME identifies presence of HCVFs on application form or 2.FMU(s) are formally defined as HCVF by NI, or 3.forest is not formally designated as HCVF but is commonly accepted as such.

High visibility Organization (RA requirement)

Organizations meet SW HVO requirements

See Q-11.

Preassessments are required for these situations:

FM Preassessments

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When are Preassessments Not Required?

Formal Preassessments are not required for non large-scale FMEs (less then 10,000 hectares) that are not classified as an HVO and do not contain HCVFs.

NOTE! If a pre-assessment is not conducted and HCVFs are identified during the assessment the assessment must be immediately suspended and HCVF targeted stakeholder

consultation must be completed.

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FM Preassessments: Small-scale FME with HCVFs

Adjusted two-phase assessment process to include pre-consultation with “HCVF stakeholders”

Phase IStakeholder list developmentStakeholder notification – 60 days prior to assessment field workPre-consultation

Phase IIField evaluation

Preassessment alternative for non large-scale FMEs with (or have a high likelihood of containing) HCVFs:

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Preassessment: Preparation for Primary Assessment

1. Documents and Records: Prepare copies of key documents or records needed for the main evaluation (e.g. FMP, Inventory results, maps, etc.).

2. Stakeholders and Officials: Provide SmartWood with an initial list of individuals and organizations that can be contacted as stakeholders to the main assessment

The primary purpose of the preassessment is to prepare for the main assessment.

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ssessment“The main Evaluation”A

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Multi-disciplinary teams

Independent auditors with no conflict of interest

Audit is both office & forest-based

Stakeholder consultation

Written Report

Multi-disciplinary teams

Independent auditors with no conflict of interest

Audit is both office & forest-based

Stakeholder consultation

Written Report

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FSC Certification Assessment Features

Standardized Process

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Before the Auditors Arrival at the Field Site

Prepare the management documentation:

• Management plans

• Policies

• Org. charts & staff directories

Review FSC standards• Prepare a checklist/questions

• Categorize areas of interest/concern

Assessment Planning

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Evaluation of Management Systems

NOTE: For large FMEs a fully documented management system is expected. A system based on verbal descriptions and simple documentation may be acceptable for small scale or low intensity FMEs.

NOTE: For large multiple FMU enterprises it is necessary to evaluate the functionality of their management systems at the regional or sub-regional offices

Assessment team shall complete an explicit analysis of the critical aspects of FME management control required to ensure that the specified FM Standard(s) is implemented over: (3.2.1 FSC-STD-20-007)

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The full geographical area of the evaluation and•Evaluate all districts and major forest types•Evaluate compliance in separate regulatory jurisdictionsThe full range of management operations•Harvest planning•Active harvesting•Road building

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Evaluation of Management Systems (cont)

Assessment team shall evaluate the capacity of the applicant to implement its management system consistently and effectively as described, with explicit consideration of : (3.2.3 FSC-STD-20-007)

2The technical resources available

•Type and quality of equipment•GIS systems for large FMEs•Adequate resources to fulfill required monitoring and inventory updates

The human resources available •Adequate number of people involved in the management, •Adequate level of training and experience; •Availability of expert advice if required.•Availability of skill forest workers and appropriate harvesting systems.

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management is functioning effectively;•Healthy balance sheets

•Updated inventory data•Valid contracts & agreements

management is functioning as described;•On the ground observation consistent with written plans•Updated monitoring documents•Harvest volume summaries consistent with management plan.

and is in compliance with all applicable FM standards and policies.

•Current tax receipts•Compliance reports from applicable regulatory bodies•Required CoC tracking documentation and reports

Evaluation of Management Systems (cont)

The Assessment team shall evaluate the documentation and records applicable to each level of management (including CoC), sufficient to confirm that:(3.2.4 FSC-STD-20-007)

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Opening Meeting with Client

Introduction of audit team and FME staffReview certification process and confirm evaluation scopeFME provides overview of forest holdings and management system. Auditors review documentation inventory Finalize assessment logistics. (People, vehicles, documents…)

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Meeting points:

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FMU-level analysis

At each FMU the SmartWood auditors will:

Sites – visit a sufficient variety and number of sites so as to make direct, factual observations to verify compliance with all the relevant indicators Documents and records - Identify and assess management documentation and a sufficient variety and number of records to verify indicator compliance at that FMU

Stakeholder consultation – Interview a sufficient variety and # of people affected by or involved in the forest management at the sampled FMU to make observations as to compliance with the standard.

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A nnual Surveillance Audits

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Managing annual audits:

1. Evaluate continued conformance with the standard and FSC requirements.

2. Evaluate all open CARs;

3. Follow-up on any complaints or allegations of non-compliance with any aspect of the standard received since the last audit; and,

4. Verify that management systems are working effectively and consistently, across the certified operation.

Surveillance Audit objectives:

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Ongoing P&C conformance

FSC requires evaluation of conformance against complete FM standard over the certification period.

SmartWood will choose specific criteria to evaluate based on:

Stakeholder complaints; Past audit scope or focus, Current CARs, Auditor qualifications

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Surveillance Audits: Documentation & Records

Changes to forest area included in the scopeChanges in the FME management systemsComplaints receivedAccident recordsOperational plan(s) for next 12 monthsInventory recordsHarvesting recordsChemical use recordsCoC documented procedures (for large FMEs)Records of sales of FSC certified products (invoices, trip tickets, shipping documents, TMK use, TMK approvals from SW)

The SmartWood auditor will review the following documentation during annual audits. This information can be provided to the audit team in advance of the onsite audit (if applicable)

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1. The list of group members2. The rate of change of membership

within the group3. Any formal communication sent to

group members by the group manager since the previous audit/assessment.

4. Records of monitoring carried out by the group manager

5. Records of corrective actions issued by the group manager.

Surveillance Audits: Documentation & Records - Groups

In the case of group certificates the audit team will review:

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THANK YOU!