Assessment of the revised PEFC Austria Forest Certification Scheme · 2019-04-04 · Assessment of...

Assessment of the revised PEFC Austria Forest Certification

Scheme

Final Report

Date: 22.11.2017

Prepared by

Andreas Knoell Consulting

Mr Andreas Knoell

Goethestraße 18

68161 Mannheim

Germany

info@andreas‐knoell.consulting

0049 177 6893999

Client:PEFCCouncil 2 [byAndreasKnoellConsulting]

Table of Contents

TableofContents..............................................................................................................................2

Acknowledgments............................................................................................................................4

AcronymsandAbbreviations.......................................................................................................5

1. Introduction..............................................................................................................................6 1.1. Scopeoftheassessment..............................................................................................6 1.2. Assessmentprocess......................................................................................................7 1.3. Methodologyadopted..................................................................................................8 1.3.1. Deskassessmentofdocuments...................................................................................8 1.3.2. Stakeholdersurveyandpublicconsultation.........................................................8 1.3.3. ElaborationofDraftReports........................................................................................8 1.3.4. PanelofExpertsreview..................................................................................................8

1.4. Timetableoftheassessment.....................................................................................9 1.5. Referencedocuments/sources.............................................................................10 1.6. Personnel.......................................................................................................................11

2. Recommendation..................................................................................................................12

3. Summaryofthefindings....................................................................................................13 3.1. Structureofthesystem.............................................................................................13 3.2. Standardsettingproceduresandprocesses.....................................................14 3.3. Forestcertificationstandard(s).............................................................................14 3.4. Groupcertificationmodel........................................................................................15 3.5. Chainofcustodystandard(s)..................................................................................15 3.6. Certificationandaccreditationprocedures......................................................15 3.7. Stakeholderassessment...........................................................................................16 3.8. Anyotheraspects........................................................................................................17

4. Structureofthesystem.......................................................................................................18

5. Standardsettingprocess....................................................................................................20 5.1. Overviewabouttheprocess....................................................................................20 5.2. Non‐conformitiesatthelevelofstandardsettingprocedures...................22 5.3. Non‐conformitiesatthelevelofstandardsettingprocess..........................22

6. ForestManagementStandards........................................................................................23 6.1. Overviewaboutforestmanagementstandards...............................................23 6.2. Non‐conformities.........................................................................................................24

7. GroupCertificationModel.................................................................................................25 7.1. Overviewaboutgroupcertificationmodel........................................................25 7.2. Non‐conformities.........................................................................................................25

8. ChainofCustodystandard.................................................................................................26

9. Certificationandaccreditationarrangements...........................................................27 9.1. Overviewaboutcertificationandaccreditationarrangements.................27 9.2. Non‐conformities.........................................................................................................28


Annex1:PEFCStandardRequirementsChecklist..............................................................29 1.1 Purpose...........................................................................................................................29 1.2 Methodology..................................................................................................................29 1.3 Legend.............................................................................................................................29 1.4 PartI:StandardandSystemRequirementChecklistforstandardsetting(PEFCST1001:2010)...............................................................................................................30 1.4.1 1Scope.....................................................................................................................................30 1.4.2 2Checklist..............................................................................................................................30 1.4.3 3Applicationdocumentation.........................................................................................70

1.5 PARTII:StandardandSystemRequirementChecklistforGroupFORESTMANAGEMENTCERTIFICATION(PEFCST1002:2010)................................................71 1.5.1 1Scope.....................................................................................................................................71 1.5.2 2Checklist..............................................................................................................................71

1.6 PARTIII:StandardandSystemRequirementChecklistforSUSTAINABLEFORESTMANAGEMENT(PEFCST1003:2010)................................................................82 1.6.1 1Scope.....................................................................................................................................82 1.6.2 2Checklist..............................................................................................................................82

1.7 PARTIV:StandardandSystemRequirementChecklistforcertificationandaccreditationprocedures(Annex6).......................................................................143 1.7.1 1Scope...................................................................................................................................143 1.7.2 2Checklist............................................................................................................................143

1.8 PartV:StandardandSystemRequirementChecklistforsystemspecificChainofcustodystandards–COMPLIANCEWITHPEFCSTPEFC2002:2013...161 1.8.1 1Scope...................................................................................................................................161 1.8.2 2Checklist............................................................................................................................161

Annex2:Resultsofstakeholdersurvey..............................................................................162 1. Stakeholdersurveyresponse...................................................................................162 2. Surveyresults.................................................................................................................162 3. Breakdownofcomments............................................................................................164 4. Listofstakeholderrespondentstotheconsultation.......................................165

Annex3:Resultsofinternationalconsultation................................................................166

Annex4:PanelofExpertscomments...................................................................................167

Annex5:Anyotherrelevantinformation...........................................................................183


Acknowledgments The assessor would like to thank the following persons for their contribution and support of the assessment process:

Dr. Michael Berger and Mr. Christian Kaemmer (technical unit, PEFC International)

Mr. Gerhard Pichler (managing director, PEFC Austria)

Members of the Working Groups of the PEFC Austria scheme for answering the stakeholder survey questionnaire


Acronyms and Abbreviations

AB Accreditation Body

AT ST Standards of the PEFC Austria scheme

BFW Austrian Research Centre for Forests

BoD Board of Directors

CB Certification body

C&I Criteria & Indicators

CIP Continual Improvement Process

CoC Chain of Custody

DAkkS Deutsche Akkreditierungsstelle GmbH

engl. Englisch

FM Forest Management

GD Guidance

IAF International Accreditation Forum

ILO International Labour Organization

ISO International Organization for Standardization

MRC Minimum Requirement Checklist

NC Non‐conformity

NGO Non‐governmental organization

p. Page

PAGA PEFC Austria General Assembly

PB Prozessbeschreibung, engl. process description

PEFC Programme for the Endorsement of Forest Certification schemes

PEFCC PEFC Council, the legally registered name of PEFC International (also

referred to as the PEFC Secretariat)

PoE Panel of Experts

RL Richtlinie, engl. guideline

Sec/Sek Secretariat of the PEFC Austria scheme

SFM Sustainable Forest Management

SRR Standard Revision Report

ST Standard

SWG Sub‐Working Group

TD Technical document

TFG Task Force Group

WG Working Group


1. Introduction

1.1. Scope of the assessment

The scope of this assessment is to compare the revised Austrian Forest Certification Scheme

(the PEFC Austria scheme) with the international requirements of the PEFCC as documented

in the PEFCC´s technical documents and specified in the PEFC IGD 1007:2012. The

assessment shall result in a recommendation to the PEFCC´s Board of Directors (BoD) as to

whether the revised PEFC Austria scheme should be re‐endorsed or if changes are required

prior to a re‐endorsement decision.

In particular, the Terms of Reference required the following activities:

1. A general analysis of the structure of the Applicant System’s technical

documentation.

2. An assessment of the standard setting procedures and process against PEFC

ST 1001:2010, Standard Setting – Requirements.

3. An assessment of the forest certification standard(s) against PEFC ST

1003:2010, Sustainable Forest Management – Requirements.

4. An assessment of the group certification model against PEFC ST 1002:2010,

Group Forest Management Certification ‐ Requirements.

5. An assessment of the chain of custody standard(s) against PEFC ST

2002:2013, Chain of Custody of Forest Based Products – Requirements.

6. An assessment of certification and accreditation procedures, as defined in

the PEFC Council Technical Document, Annex 6 and PEFC ST 2003:2012,

Requirements for Certification Bodies operating Certification against the

PEFC International Chain of Custody Standard.

7. A stakeholder survey to check the basic contents of the development report

on the standard setting process.

8. Any other aspect which can affect functions, credibility and efficiency of the

submitted system.


1.2. Assessment process

The assessment has been conducted according to the following activities (as outlined in

phase 1 and phase 2 in chapter 1.4):

1) Review of the scheme documentation provided by the PEFC Austria scheme to the

PEFCC and forwarded to the assessment team with the tender dossier on

08.06.2017.

2) The scheme documentation (see Chapter 1.5 of this report) was assessed for

compliance against the PEFCC´s PEFC IGD 1007:2012 “Standard and System

Requirement Checklist)

3) A stakeholder survey using questionnaires to verify the standard setting process

which was implemented during the revision of the PEFC Austria scheme, was

conducted from 12.08.2017 to 25.08.2017.

4) A public consultation has been carried out via the PEFCC´s website for a period of 60

days from 07.06.2017 to 07.08.2017, to gather comments of other national and

international stakeholders concerned.

5) A first draft report and an overview of identified non‐conformities and open

questions was elaborated and forwarded to PEFCC and the PEFC Austria scheme for

review on 28.08.2017.

6) The PEFC Austria scheme provided comments related to the findings of the first

draft report on 14.09.2017 and the comments and further information were

assessed and considered by the assessor.

7) Clarification on the use of the term “annually” was provided by PEFCC on

19.09.2017.

8) A final draft report was elaborated and forwarded to PEFCC on 21.09.2017.

9) The PoE comments were received on 03.11.2017 and assessed and

noted/considered.

10) The final report was submitted on 22.11.2017.


1.3. Methodology adopted

The following methodology was used to reach the scope of the conformity assessment of

the revised PEFC Austria scheme, as outlined in Chapter 1.1 of this report.

1.3.1. Desk assessment of documents

The provided documents (see chapter 1.5) were reviewed in relation to their structure and

relevance for the assessment and their availability in English (a requirement of PEFC GD

1007:2012, Chapter 7.2.2.1). The PEFC IGD 1007:2012 “PEFC Standard Requirements

Checklist” (Minimum Requirement Checklists (MRC)) were used to assess the provided

documentation against the minimum requirements of the endorsement process of the

PEFCC. In case of non‐conformities (NCs) of the PEFC Austria scheme documents against the

MRC requirements, these would be rated as Minor NCs or Major NCs. In several cases open

questions arose which were marked with question marks in the MRC during the first phase

of the assessment.

1.3.2. Stakeholder survey and public consultation A stakeholder survey was implemented from 12.08.2017 to 25.08.2017 and the responses

were evaluated and considered for the assessment and elaboration of the draft report. All

25 organizations involved in the standard setting process based on the provided list of

members of the Working Group (14 members) and the Sub‐Working Group (11 members) in

charge of the revision of the PEFC Austria scheme (see Annexes of the standard revision

report) were contacted by e‐mail and invited to provide comments in a survey questionnaire

including several questions related to the standard setting process (see Annex 2). A

reminder was sent on 21.08.2017 to all stakeholders who did not answer the questionnaire

at that time.

A public consultation was held by PEFCC from 07.06.2017 to 07.08.2017. Any comments

would have been evaluated and considered, if relevant, during the assessment. However,

there were none (see Annex 3).

1.3.3. Elaboration of Draft Reports The results of the assessment were documented in full in the MRC and the first Draft Report

was elaborated and submitted to PEFCC and the PEFC Austria scheme for review on

28.08.2017. To support the communication during the 2 weeks comment period following

the submission of the Draft Report, an additional document showing an overview of the

identified NCs, open questions and options to comment for the PEFC Austria scheme was

elaborated and submitted to PEFCC and the PEFC Austria scheme. All comments by

stakeholders, PEFCC and the PEFC Austria scheme were evaluated and considered by the

assessor.The final draft report was submitted to PEFCC on 21.09.2017.

1.3.4. Panel of Experts review

Three members of the Panel of Experts (PoE) received the final draft report on 24.10.2017

and submitted their comments to PEFCC, which forwarded the comments on 03.11.2017 to

the assessor. The comments were assessed and noted / considered and changes to the

report were made if considered to be necessary by the assessor (see Annex 4).


1.4. Timetable of the assessment

The following figure shows the expected timetable of the assessment.

Workplan ‐ Assessment of the PEFC Austria scheme (PEFC Austria)

Activity 7.8.17 14.8.17 21.8.17 28.8.17 4.9.17 11.9.17 18.9.17 25.9.17 2.10.17 9.10.17 ######

Contract signature, technical documentation provision & startup conference

Assessment scheme documentation against PEFCC requirements Stakeholder survey Develop and finalise Draft Report Submission of Draft Report to PEFCC and PEFC Austria Comments & clarifications by PEFC Austria Phase 2Developing Final Draft Report, reviewing comments & clarification Submission to PEFCC and PEFC Austria Panel of Expert Review Review of any comments from PoESubmission of Final Report PEFCC and PEFC Austria

Work in progress

External activities

Key outputs

Phase 1


1.5. Reference documents / sources

Table 1 contains an overview of the documents provided by PEFC Austria to the PEFCC for the

conformity assessment to evaluate the potential re‐endorsement of the PEFC Austria scheme:

Table 1: Documents provided for assessment by PEFC Austria

No. Document Description

1 PEFC AT 0001 System Description of the PEFC Forest Certification Scheme in Austria

2 PEFC AT ST 1001 PEFC‐Standard for Sustainable Forest Management in Austria

3 PEFC AT ST 1002 Criteria and Indicators for the Determination of Sustainable Forest Management in Austria

4 PEFC AT ST 1003 Group Forest Certifications according to the PEFC‐System in Austria ‐ Requirements

5 PEFC AT ST 1004 Requirements for Certification Bodies for Forest Management Certification

6 PEFC AT ST 2001 PEFC Logo Usage Rules ‐ Requirements

7 PEFC AT ST 2002 Chain of Custody of Forest Based Products ‐ Requirements

8 PEFC AT ST 2003 Requirements for Certification Bodies operating Certification against the PEFC International Chain of Custody Standard

9 PEFC AT RL 3001 PEFC Declaration of Participation for Forest Owners and Forestry Cooperatives

10 PEFC AT RL 3002 PEFC Confirmation of Participation for Forest Owners and Forest Cooperatives

11 PEFC AT RL 3003 Checklist for Internal Audits

12 PEFC AT RL 3004 Complaint Procedures and Rules of Arbitration for Group Organisations

13 PEFC AT GD 2001 Chain of Custody of Forest‐Based Products – Guidance for Use

14 PEFC AT PB 4001 Standard Setting Process ‐ Requirements

15 PEFC AT PB 4002 Issuance of PEFC Logo Usage Licenses

16 PEFC AT PB 4003 Notification of Certification Bodies

17 PEFC AT PB 4004 Complaint Procedures and Rules of Arbitration

18 PEFC AT PB 4005 Schedule of Fees

19 PEFC AT PB 4006 Endorsement of Control Systems for Forest Entrepreneurs

20 PEFC AT PB 4007 Transition to the revised PEFC Austria Scheme 2017

21 PEFC Austria ‐ Standard revision report 2014‐2017 and Annexes

Standard revision report

22 PEFC IGD 1007‐01:2012 – PEFC Austria 2017

PEFC Standard and System Requirement Checklist – PEFC Austria filled by the PEFC Austria scheme (self assessment)


Table 2 provides an overview of the technical documents provided by the PEFCC which were used

for this assessment.

Table 2: List of technical documents from PEFCC used for assessment

No. Document

1 PEFC GD 1001:2008 Structure of PEFC Technical Documents

2 PEFC ST 1001:2010 Standard Setting

3 PEFC ST 1002:2010 Group Forest Management Certification

4 PEFC ST 1003:2010 Sustainable Forest Management

5 PEFC ST 2002:2013 Chain of Custody of Forest Based Products

6 PEFC ST 2003:2012 Chain of Custody Certification Body Requirements

7 PEFC GD 1007:2012 Endorsement of National Schemes

8 Annex 6 PEFC TD Accreditation and Certification Procedures

Furthermore, the websites of PEFCC (www.pefc.org) and the PEFC Austria scheme (www.pefc.at)

were used as a source for information and documents/processes relevant for the assessment.

1.6. Personnel

This conformity assessment has been undertaken by the independent Senior Consultant Andreas

Knoell. Further information about the assessor is outlined in the proposal submitted to PEFCC as a

tender for the assessment of the revised PEFC Austria scheme on 06.07.2017.


2. Recommendation

All potential cases of non‐conformities identified in the first assessment phase were clarified by the

PEFC Austria scheme by providing further explanations on submitted scheme documentation or

clarifications especially of state led forest management processes supporting the implementation of

the PEFC Austria scheme, such as inventories in areas dominated by small scale forest plots.

Generally it is observed that the PEFC Austria scheme should consider in upcoming reviews that any

unclear terms (for example sufficient, appropriate etc.) need to be specified as much as possible. For

more details regarding specific assessment results see the following chapters.

The assessor recommends to the BoD of PEFCC to re‐endorse the PEFC Austria scheme according

to the PEFCC endorsement procedures.


3. Summary of the findings

3.1. Structure of the scheme

PEFC Austria is a national organisation with the purpose of facilitating sustainable forest

management in Austria through forest certification and labelling of wood‐based products. As such it

represents the National Governing Body and the Logo Licensing Body of the Austrian Forest

Certification Scheme. PEFC Austria functions a work group responsible for the standard setting and

the administration of the Austrian PEFC scheme. Since 1999, the PEFC Austria scheme has been a full

member of PEFC International. The highest authority of the scheme is the General Assembly of PEFC

Austria which is responsible for the final approval of scheme documents elaborated by the Working

Group(s). The PEFC Austria scheme is valid in the territory of the Austria.

The structure of the PEFC Austria scheme is shown in the figure below (source: PEFC AT 0001:2017,

p. 18):

For more detailed information see chapter 4.


3.2. Standard setting procedures and processes

The PEFC Austria General Assembly (PAGA) adopted the resolution to start the third system revision

process on the 06.05.2014. Standard setting procedures were elaborated by the PEFC Austria

scheme which defined clear procedures for the standard setting process, the development of the

Working Group(s) in charge of the standard revision, relevant stakeholders and other responsibilities

and comply with the PEFC ST 2001:2010 requirements. The standard setting procedures were

published with the invitation to participate in the standard setting process and no comments to

change the standard setting process were received. The standard setting process is documented in

the standard revision report (SRR) (Revision of the Austrian PEFC scheme 2014 ‐ 2017). The

implemented process which followed the standard setting procedures is summarized in the table

below (source: PEFC Austria ‐ Standard revision report 2014‐2017, p. 4):

The procedures of the PEFC Austria scheme meet the international requirements of PEFCC.

For more detailed information see chapter 5 and Part I in Annex 1.

3.3. Forest certification standard(s)

The 6 criteria of sustainable forest management as adopted in Helsinki in 1993 formed the initial

basis for the sustainability requirements of the PEFC Austria scheme. Over time many and diverse

other sources have informed the further development of standards for sustainable forest

management. The current version of the main technical document PEFC AT ST 1001:2017 “PEFC‐

Standard for Sustainable Forest Management in Austria”, which was a core document of this

assessment, reflects largely the PEFC international standard PEFC ST 1003:2010 “Sustainable Forest


Management – Requirements”. This standard is complemented by a second standard, PEFC AT ST

1002:2017 “Criteria and Indicators for the Determination of Sustainable Forestry in Austria”, which

provides a detailed catalogue for assessing sustainable forest management for group certifications in

natural growth regions (part A) and the criteria and indicators for assessing sustainable forest

management for the group certification in general and the individual certification (part B). The result

is a comprehensive set of forest management requirements designed to fit the forestry structure of

the country, e.g. in terms of historical development, forest vegetation type or ownership pattern.

PEFC AT ST 1001:2017 represents the PEFC Austria standard for SFM in Austria and PEFC AT ST

1002:2017 represents the criteria and indicators to measure SFM implementation in Austria. In

short, there is an element of additionality and complementary between these two standards with

the aim to cater for all forms of applicability in forest management.

The requirements of the PEFC Austria scheme match the international requirements of PEFCC.

For more detailed information see chapter 6 and Part III in Annex 1.

3.4. Group certification model

The main standard PEFC AT ST 1003:2017 “Group Forest Certifications according to the PEFC‐System

in Austria ‐ Requirements” is based in its scope on the two PEFC Austria scheme standards

mentioned in 3.3 above. It describes over all the objectives, organisation and management of

regional forest certification and specifies tasks and responsibilities for the regional applicant for

certification. Besides conditions for the voluntary participation of forest managers it defines the

minimum requirements for the management system for appropriate implementation of certification

requirements of sustainable forest management. This considers the specific situation of Austria with

more than 170.000 small forest owners managing more than 50% of the national forest area.


For more detailed information see chapter 7 and Part II in Annex 1.

3.5. Chain of custody standard(s)

The PEFC ST 2002:2013 was adopted by PEFC Austria in full and translated into the document PEFC

AT ST 2002:2013 (Produktkettennachweis von Holzprodukten – Anforderungen). In this document

the adoption of the PEFC ST 2002:2013 is documented on page 2. Thus, the criteria required by the

PEFCC for the Chain of Custody of a national scheme are fulfilled.

3.6. Certification and accreditation procedures

The notification procedures for CBs being active in FM and/or CoC certification in the PEFC Austria

scheme are laid down in the document PEFC AT PB 4003:2017 “Notification of Certification Bodies”.


The Notification Body is PEFC Austria. PEFC Austria adopted the PEFC ST 2003:2012 in full as

specified on the cover page of PEFC AT ST 2003:2012 (Anforderungen an Zertifizierungsstellen ‐

Zertifizierung nach dem PEFC International Chain of Custody Standard).Thus, the criteria required by the PEFCC for the CBs operating in Chain of Custody certification are fulfilled. The requirements for

CBs operating in FM certification are laid down in the document PEFC AT ST 1004:2017

“Requirements for Certification Bodies for Forest Management Certification”.


For more detailed information see chapter 9 and Part IV in Annex 1.

3.7. Stakeholder assessment

A stakeholder survey was conducted from 12.08.2017 to 25.08.2017. Invitations to complete the

stakeholder survey were sent to all participants of the Working Group and Sub‐Working Group

responsible for the standard setting process via e‐mail – this included a total of 25 stakeholder

organisations (14 Working Group and 11 Sub‐Working Group). A reminder was sent on 21.08.2017.

The survey was completed by 9 stakeholders (36 %). The questionnaire was sent to the stakeholders

having been translated into the German language.

Respondents indicated they represented largely two interest groups, dominated by “Forest owners

and managers” (77,7%), followed by “Business sector and industry” (22,2%).

Almost 100% of the stakeholders indicated that they were absolutely satisfied with the standard

setting process and its results. No respondent answered with “No” or “Partially”. Only one

stakeholder skipped two questions. In general, stakeholders

felt that the range of interests in forest management in Austria were represented;

were satisfied with the way of determining and approaching disadvantaged stakeholders;

had access to all standard revision documents;

were given meaningful opportunities to contribute to revising the standard;

felt that comments were handled in an open and transparent manner;

were satisfied that the enquiry draft was accessible and publicly available;

were satisfied with the decision making process where a consensus was not reached;

received a final draft and had a meaningful opportunity to comment on it; and

were satisfied with the way the final draft was approved by the Working Group

In total 7 additional comments were received from the stakeholders concerning 5 questions. Overall

there was a high degree of satisfaction with the quality of the review process. Comments received

expressed further support for individual positive answers, such as “Absolut!”. Two comments on

question 3 expressed the opinion, that there were no disadvantaged stakeholders in the process.

Thus, the stakeholder survey shows that the respondents were satisfied with the standard setting

process and its results.


3.8. Any other aspects

All required documentation is detailed, concise and available in English language. The assessment of

the scheme documentation of the PEFC Austria scheme during the extraordinary assessment in 2013

did reveal significant non‐compliances. In a first response this resulted in a modification of the

relevant content in identified scheme documents (such as the former Annex 8). During the recent

review process those modifications have been integrated into the current scheme documentation.


4. Structure of the system

PEFC Austria acts also a work group responsible for the standard setting and the administration of

the Austrian PEFC scheme. The founding members represent the most important interest groups in

the branches of forestry, wood processing, retailing, environment and social affairs. PEFC Austria as

a national organisation aims to promote sustainable forest management and consumption of forest

based products as a renewable resource, nature protection and sustainable development of the

society. It represents the National Governing Body and the Logo Licensing Body of the Austrian

Forest Certification Scheme (PEFC Austria) and is the PEFC Council member since June 30, 1999. The

Standardizing Body in charge of standard revision is the General Assembly of PEFC Austria which is

responsible for the final approval of scheme documents elaborated by the Working group(s). The

PEFC Austria scheme is valid in the territory of the Austria. The PEFC Austria scheme was recognised

by the PEFC Council members on July 27, 2000.

PEFC Austria has obligated itself to continually improve its own national scheme. Being the

controlling body for the national certification scheme this includes the revision of the scheme

objectives at five‐year intervals.

The applied Continual Improvement Process (CIP) is shown in the figure below (source: PEFC AT

0001:2017, p. 7):


The General Assembly of the PEFC Austria scheme, consisting of all members, is the highest

authority of the scheme. It holds the power to elect and withdraw both the Chairman and Vice‐Chairmen of the association. The decision‐making process is based on the absolute majority of votes

of all PEFC Austria General Assembly members. In case of equal count of votes the Chairman´s vote

is decisive. The Chairman represents the interests of the scheme outwards.

The Managing Director of the secretariat is appointed by the PEFC Austria General Assembly. He

oversees the activities of the secretariat.

The Arbitration Body is an ad‐hoc Task Force Group (TFG) convened by the secretariat to

investigate the accepted complaint or appeal. In justified circumstances requiring a balanced

stakeholders representation, the TFG shall consist of three to five persons, whereby this must always

include one representative from the forestry, one from the environmental groups and, in particular,

one representative of that interest group which is at the focus of the complaint.

Working Group(s) are established by the PAGA, if appropriate, for specific tasks regarding mainly the

amendment of technical documents and the scheme revision processes.


5. Standard setting process

5.1. Overview about the process

The standard‐setting process is assessed at two levels:

1) Conformity assessment of standard‐setting procedures as documented in the document

PEFC AT PB 4001:2017 “Standard Setting – Requirements” against the requirements of the

PEFCC as required in the PEFC ST 1001:2010 ‘Standard Setting’.

2) Conformity assessment of the standard setting process as described in the document

“Revision of the Austrian PEFC scheme 2014‐2017” against the requirements of the PEFCC as

required in the PEFC ST 1001:2010 ‘Standard Setting’.

The general organization and the structures and responsibilities of the involved bodies of the PEFC

Austria scheme are already described in Chapter 4 of this report. The detailed assessment results are

documented in the checklists (Parts) in Annex 1.

The PEFC Austria General Assembly adopted the resolution to start the third scheme revision

process on the 06.05.2014., which approved the proposal for the revision. The PEFC Austria General

Assembly also installed the Working Group(s) and appointed their members based on nominations

received. The Sub‐Working Group (SWG) “Group certification NEW” was concerned with questions

regarding the implementation of the PEFC forest group certification in the natural growth regions in

Austria. Furthermore, in a workshop with forest entrepreneurs possibilities to integrate forest

service providers in the PEFC‐certification were developed. The Working Group (WG) revised the

normative documents, guidelines and process descriptions, which was supported by an external

consultant.

In the Working Group the following stakeholder groups were represented:

Forestry

Chain of Custody

Social issues

Environment

In the Sub‐Working Group additionally representatives of the forest group certification and experts

were included. Those members of the PEFC Austria scheme expert panel are listed in Annex 5.

The following issues were taken into consideration to define the scope of the revision of the entire

scheme documentation of PEFC Austria:

changes of the PEFC Council standards and guidelines

consideration of contributions through stakeholders and the Working Group

A list of all relevant documents including descriptions of their type, title, names and, if applicable,

relevant annexes is shown in chapter 3.5 in the Standard Revision Report.


Following the requirements of the standard setting procedures PEFC AT PB 4001:2017 “Standard

Setting – Requirements” the identification of relevant stakeholders, including the disadvantaged and

key stakeholders, was carried out by the secretariat of the PEFC Austria scheme using the mapping

exercise in order to determine:

relevant interest sectors,

key issues for each relevant sector,

key stakeholders in each sector,

disadvantaged stakeholders and constraints to their participation.

In total 215 stakeholders were identified, including 26 key stakeholders and 18 disadvantaged

stakeholders. Disadvantaged stakeholders were asked to contact the secretariat of the PEFC Austria

scheme in case they would like to contribute in the standard setting process, but it would be difficult

for them due to financial or time constraints. A description of this process step is available in chapter

3.1.2 in the Standard Revision Report.

The start of the process of the revision of documents of the PEFC Austria scheme and invitation for

stakeholders to nominate their representatives to the Working Group was publicly announced on

27.08.2014 by a press release. The invitation included the option to comment on the scope of the

revision. On 06.10.2014 an online‐forum was published with the opportunity to comment on the

existing PEFC Austria scheme documents. The website also contained a description of the revision

process including a timetable. The online‐forum was online for 10 weeks until the 15.12.2014. No

comments were made in the online‐forum. A description of this process step is available in chapter

3.1.3 in the Standard Revision Report.

On the 13.10.2014 a letter was sent to 44 representatives of key‐ and disadvantaged stakeholders

and the members of the PEFC Austria scheme with the request to nominate members for the PEFC

working group for the revision process. The PEFC Austria scheme secretariat received initially 17

nominations from organisations and 3 negative replies. None of the disadvantaged stakeholders

applied for participation. In the end 14 organisations with 17 nominated stakeholders participated in

the Working Group. Three organisations sent 2 representatives, which represented sub‐

organisations in two cases. In order to address issues regarding the implementation of the forest

certification in the PEFC regions, a sub‐working group „Gruppenzertifizierung NEU“ (group

certification new) was constituted. Therefore in addition to the working group members,

representatives of the group forest certification, the Austrian Research Centre for Forests (BFW) and

the PEFC Austria scheme panel of experts were brought in. 5 organisations with 11 stakeholders

participated in the Sub‐Working Group. The voting is done according the principle of unanimity. The

formal constitution of the Working Group(s) was agreed by the PEFC Austria General Assembly on

16.12.2014. The composition of the working groups is available in Annex 5 of this report and in

Annex 1 of the Standard Revision Report of the PEFC Austria scheme. A description of this process

step is available in chapter 3.1.5 in the Standard Revision Report.

The work of the Working Groups was managed and coordinated by the PEFC Austria scheme

national secretary, who had no voting rights. The Working Group members met six times between

16.12.2014 and 17.05.2017 in Vienna. The members of the Sub‐Working Group met twice in this

period. The objective of the first meeting of Working Group members was to introduce Working


Group members, present requirements for periodic revision of documents and tasks and role of the

Working Group as defined by PEFC AT PB 4001:2017. The timetable for the system revision and

results of the online‐forum and the first workshop regarding the system revision were discussed. The

Working Group meeting on 07.07.2015 in Vienna included discussions about the report over the

draft documents and changes in particular documents. The draft documents of PEFC AT ST 1001,

PEFC AT ST 1002,PEFC AT ST 1003 and PEFC AT ST 1004 were unanimously adopted and released for

the public consultation. A detailed list of comments received is available as part of the scheme

documentation. A description about the meeting of the Working Group and later on of the newly

installed Sub‐Working Group on group certification is available in chapter 3.2 in the Standard

Revision Report.

In addition two public workshops regarding the system revision process and presentation of

intermediate results were held on 04.12.2014 and 22.06.2015.

A public consultation was organised by the PEFC Austria scheme secretariat from 10.07.2015 to

21.09.2015 which was announced on 10.07.2015 in several web pages and press releases. The

enquiry draft and comment forms were available on the PEFC Austria scheme webpage. The two

registered entries in the online‐platform were added to the list of comments, which was publicly

available on the PEFC Austria webpage and accessible to the Working Group members. The final

drafts of the PEFC Austria scheme documents were elaborated considering the received comments

and consensus was created within the Working Group in the meeting on the 17.05.2017. The

documents were formally adopted (unanimously agreed) by the PEFC Austria General Assembly on

the 29.05.2017. The documents, including the list of comments and the development report were

published on the PEFC Austria scheme website on the 30.05.2017 and a press release announced the

publication of the revised scheme documents.

For more detailed information see Part I in Annex 1.

5.2. Non‐conformities at the level of standard setting procedures

No non‐conformities were identified.

5.3. Non‐conformities at the level of standard setting process



6. Forest Management Standards

6.1. Overview about forest management standards

The 6 criteria of sustainable forest management as adopted in Helsinki in 1993 formed the initial

basis for the sustainability requirements of the PEFC Austria scheme. Over time many and diverse

other sources have informed the further development of standards for sustainable forest

management. The current version of the main technical document PEFC AT ST 1001:2017 “PEFC‐

Standard for Sustainable Forest Management in Austria”, which was a core document of this

assessment, reflects largely the PEFC international standard PEFC ST 1003:2010 “Sustainable Forest

Management – Requirements”. This standard is complemented by a second standard, PEFC AT ST

1002:2017 “Criteria and Indicators for the Determination of Sustainable Forestry in Austria”, which

provides a detailed catalogue for assessing sustainable forest management for group certifications in

natural growth regions (part A) and the criteria and indicators for assessing sustainable forest

management for the group certification in general and the individual certification (part B). The result

is a comprehensive set of requirements designed to fit the forestry structure of the country, e.g. in

terms of historical development, forest vegetation type or ownership pattern.

The PEFC Austria scheme established a specific process to develop the catalogue of criteria and

indicators for SFM assessment. This document, PEFC AT ST 1002, has been elaborated in three steps:

1) Analysis of legal regulations on SFM in Austria,

2) Analysis of existing catalogues of criteria and indicators for SFM and elaboration of criteria and

indicators for SFM in Austria,

3) Analysis of existing official forest‐related sources.

Much of the required information to assist in meeting the PEFC Austria scheme requirements can be

drawn from established resource bases. Such monitoring systems, investigations and statistics are

above all:

• Austrian Forest Inventory

• Other monitoring systems of the Federal Research Centre for Forests

• Forest Development Plan

• Danger Zone Map

• Study on the naturalness of forest stands

• Official statistics

• Alpine Convention / Mountain Forest Protocol

Forest management practices in Austria are governed by national legislation. To this end the

standard requirements of the PEFC Austria scheme are tied to the general legislative system of the

country and relevant aspects such as environmental protection, fire protection and generally

forestry are considered. Especially the following legal bases have been taken into consideration:

• Austrian Forest Act of 1975 (in its current amended version)

• Provincial laws on hunting


• Provincial laws on nature protection

• Laws on water rights

• Forestry propagation law (Federal Law Gazette No. 110/2002)

• Land Labour Law (Federal Law Gazette No. 287/1984)

The same applies to the fundamental ILO Conventions or other international conventions, e.g.

Convention on Biological Diversity, which have been ratified and implemented into the national

legislation and are therefore not directly addressed by the PEFC Austria scheme certification criteria.


For more detailed information see Part III in Annex 1.

6.2. Non‐conformities



7. Group Certification Model

7.1. Overview about group certification model

The main standard PEFC AT ST 1003:2017 “Group Forest Certifications according to the PEFC‐System

in Austria ‐ Requirements” is based in its scope on the two PEFC Austria scheme standards

mentioned in 3.3 above. It describes over all the objectives, organisation and management of

regional forest certification and specifies tasks and responsibilities for the regional applicant for

certification. Next to conditions for the voluntary participation of forest managers it defines the

minimum requirements for the management system for appropriate implementation of certification

requirements of sustainable forest management. Group forest management certification requires

establishing a specific management structure that includes the individual forest owners/managers or

their representatives. All roles and responsibilities are clearly described in PEFC AT ST 1003:2017.

Further relevant supportive documentation, such as PEFC AT RL 3003:2017 “Checklist for Internal

Audits” or PEFC AT RL 3001:2017 “PEFC Declaration of Participation for Forest Owners and Forest

Cooperatives” complete the set of requirements for group certification and provide for valuable

implementation guidance. This considers the specific situation of Austria with more than 170.000

small forest owners managing more than 50% of the national forest area. The regional committee is

the governing body of the group organisation of the group certification in natural growth regions.

The regional committee is represented through its chairman or his deputy and is attached to the

regional chambers of agriculture.

The governing body of the group organisation shall operate an annual internal monitoring

programme that reviews and evaluates the following elements:

a. Compliance with the PEFC standard for sustainable forest management in Austria (PEFC AT

ST 1001) and other relevant requirements of the forest certification scheme of.

b. Compliance with the general legal regulations for forestry (in particular Austrian Forest Law

1975 in the current version)

c. Activities of the group organisation or participants for the achievements of the targets in the

sustainability report.

A specific supporting document in that regard is PEFC AT RL 3003:2017 “Checklist for Internal

Audits”.


For more detailed information see Part II in Annex 1.




8. Chain of Custody standard The PEFC ST 2002:2013 “Chain of Custody of Forest Based Products ‐ Requirements“ was adopted by

the PEFC Austria scheme in full and translated into the document PEFC AT ST 2002:2013

(Produktkettennachweis von Holzprodukten – Anforderungen). The requirements of the PEFC

Austria scheme match the international requirements of PEFCC.


9. Certification and accreditation arrangements

9.1. Overview about certification and accreditation arrangements

The general notification procedures for CBs being active in FM and/or CoC certification in the PEFC

Austria scheme are laid down in the PEFC AT PB 4003:2017 “Notification of Certification Bodies”. The

Notification Body is PEFC Austria.

For Forest Management Certification: The PEFC Austria scheme specifies that the entity applying for

the notification shall have a valid accreditation according to ISO 17021‐1, issued by a national

accreditation body that is a member of the European co‐operation for Accreditation. The

accreditation shall be issued against ISO 17021‐1 and PEFC AT ST 1004. The scope of the

accreditation shall explicitly cover documents of the PEFC Austria scheme relating to forest

management certification in their valid version and/or with reference to any future amendments

adopted by the PEFC Austria scheme (PEFC AT ST 1001, PEFC AT ST 1003).

For Chain of Custody certification: PEFC Austria adopted the PEFC ST 2003:2012 “Certification Body

Requirements – Chain of Custody” in full. The adoption of the PEFC ST 2003:2012 is documented on

the cover page of PEFC AT ST 2003:2012 (Anforderungen an Zertifizierungsstellen ‐ Zertifizierung

nach dem PEFC International Chain of Custody Standard). Thus, the criteria required by the PEFCC

for the CBs operating in Chain of Custody certification are fulfilled.

The CBs will have to report all important information (e.g. new certificates, changes in the scope of a

certificate, etc.) to the PEFC Austria scheme. The CBs will have to pay an annual notification fee to

PEFC Austria for each certificate. The notification is valid for the period of the validity of the CB´s

accreditation. The PEFC notification can be terminated or suspended by the PEFC Austria scheme if

the notification contract is violated.

The direct requirements for CBs operating in FM certification are laid down in the PEFC AT ST

1004:2017 “Requirements for Certification Bodies for Forest Management Certification”. This

document requires the accreditation bodies for CBs operating in FM certification to be a national

accreditation body in its Appendix 1. The scope of the accreditation shall explicitly cover documents

of the PEFC Austria scheme relating to forest management certification in their valid version and/or

with reference to any future amendments adopted by the PEFC Austria scheme (PEFC AT ST 1001,

PEFC AT ST 1003). The scope of accreditation also explicitly requires the application of the

requirements of ISO 17021.

The CBs have to be impartial and the qualifications of auditors require at least a secondary

education related to forestry, participation in forest management and auditing training according to

ISO 19011, having at least 2 years of professional experience in forestry and need a minimum

auditing experience of 4 audit days under the leadership of a qualified Lead Auditor and at least 5

audit days per year to maintain the status as FM Auditor. Furthermore, several hard and soft skills

are required for auditors being active in SFM certification. Summaries of the audit reports need to


be made publicly available and certificates issued have to carry an accreditation mark as proof of

valid accreditation. Audits have to be prepared and carried out according to detailed audit

programmes and audit plans, and the selection of the audit teams has to follow certain

requirements to guarantee competence and impartiality of the audit team members. Detailed

requirements for writing audit reports and handling of complaints are laid down. Furthermore,

detailed requirements for auditing group certification in natural growth regions are documented in

Appendix 3.





Annex 1: PEFC Standard Requirements Checklist

1.1 Purpose The purpose of this Informative Guide is to assist the assessment against the PEFC Council´s core documents as

listed in chapter 5 of PEFC GD 1007:2012. Any inconsistencies between this text and the original referred to

document will be overruled by the content and wording of the technical document.

These standard setting checklists were used by the lead assessor to identify compliances and non‐

compliances of the Austrian Forest Certification Scheme (the PEFC Austria scheme) documents with the

requirements of PEFC Council.

1.2 Methodology

The results of the assessments are show in the columns "Reference to application documents" and "YES/NO"

in the standard requirement checklists. When the PEFC Austria scheme standard documents were found to

fully comply with the relevant requirement of the PEFC Council international standards this is indicated with a

black YES. In case of non‐conformities (NC) the assessor grouped those in either Major or Minor NC. A Minor

NC identified by the assessor is marked with a red PARTLY. Minor NCs are seen as a partial non‐compliance

related to the fulfillment of a certain PEFC Council requirement. In case a Major non‐compliance was identified

by the assessor, this is marked with a red NO. This means that a crucial part of the PEFC Council requirements

has not been met. The references to the PEFC Austria scheme documents are given at the beginning of the

relevant section. In cases where requirements were met by the PEFC Austria scheme documents, citations

from the standard documents are copied into the checklists to demonstrate compliance. Citations are written

in black colour and are marked with quotation marks ("......"). In cases where the assessor formulated the

findings in his own words, e.g. by interpreting the content of the documented information, the results are

written in black colour without quotation marks. In case of Minor NCs or Major NCs, the non‐conformities are

indicated in bold red colour including a reference to the PEFC international standards.

1.3 Legend Column YES/NO:

YES = Assessment showed compliance with the PEFC international standards

PARTLY = Minor non‐compliance with the PEFC international standards

NO = Major non‐compliance with the PEFC international standards

Column "Reference to application documents":

Black = Evaluations made by the lead assessor

"Black" = Quotations from PEFC Austria Scheme Documents

RED = Minor CARs, Major CARs and Observations


1.4 Part I: Standard and System Requirement Checklist for standard setting (PEFC ST 1001:2010)

1.4.1 1 Scope

Part I covers the requirements for standard setting defined in PEFC ST 1001:2010, Standard Setting – Requirements. Any inconsistencies between this text and the original referred to document will be overruled by the content and wording of the technical document.

1.4.2 2 Checklist

Question Assess. basis* YES

/NO* Reference to application documents

Standardising Body

4.1 The standardising body shall have written procedures for standard‐setting activities describing:

a) its status and structure, including a

body responsible for consensus building

(see 4.4) and for formal adoption of the

standard (see 5.11),

Procedures YES

PEFC AT PB 4001, 4.3:

“4.3 PEFC Austria shall establish a permanent or temporary working group responsible for

standard‐setting activities (see 3.12). The working group shall be convened by the PEFC Austria

Secretariat. The working group shall:

a) be accessible to materially and directly affected stakeholders,

b) have balanced representation and decision‐making by stakeholder categories relevant to

the subject matter and geographical scope of the standard where single concerned interests shall

not dominate nor be dominated in the process. To ensure a balanced representation and

effectiveness of its work, the working group shall be limited to 24 seats divided in following

stakeholder groups:

• Forestry (max 6 seats)

• Wood processing/Trade/Energy (max 6 seats)

• Environment (max 4 seats)

• Social ‐ labour (max 4 seats)

• Other interest groups (Science, Hunting, Visitors of forests‐Recreational, Consumers,… max




4 seats).

c) include stakeholders with expertise relevant to the subject matter of the standard, those

that are materially affected by the standard, and those that can influence the implementation of

the standard. The materially affected stakeholders shall represent a meaningful segment of the

participants.

Note: Five stakeholder groups defined in 4.4b ensure that the WG includes sufficient expertise and

that materially affected stakeholder represent a meaningful segment.”

PEFC AT PB 4001, 5.11:

“5.11 PEFC Austria’s General Assembly shall formally approve the standards/normative

documents based on evidence of consensus reached by the working group.”

b) the record‐keeping procedures, Procedures YES

PEFC AT PB 4001, 4.3:









stakeholder groups:









4 seats).




participants.



PEFC AT PB 4001, 5.10: “5.10 PEFC Austria Secretariat shall develop a standard‐setting report that provides summary of the standard‐setting process. The report shall be made publicly available.” PEFC AT PB 4001, 4.2: “4.2 The PEFC Austria secretariat shall keep records relating to the standard‐setting process providing evidence of compliance with the requirements of this document. The records shall be kept for a minimum of five years and shall be available to interested parties upon request.”

c) the procedures for balanced representation of stakeholders,

Procedures YES

PEFC AT PB 4001, 4.3:









stakeholder groups:









4 seats).




participants.



d) the standard‐setting process, Procedures YES

PEFC AT PB 4001, 5:

Chapter 5 describes in 12 paragraphs the details of the standard‐setting process.

“5. Standard‐setting process

5.1 PEFC Austria shall identify stakeholders relevant to the objectives and scope of the standard‐

setting work.

5.2 PEFC Austria shall identify disadvantaged and key stakeholders. PEFC Austria shall address the

constraints of their participation and proactively seek their participation and contribution in the

standard‐setting activities.

5.3 PEFC Austria shall make a public announcement of the start of the standard‐setting process and

include an invitation for participation in a timely manner on its website and in suitable media as

appropriate to afford stakeholders an opportunity for meaningful contributions. The announcement

and invitation shall include:

a) information about the objectives, scope and the steps of the standard‐setting process and its

timetable,

b) information about opportunities for stakeholders to participate in the process,




c) an invitation to stakeholders to nominate their representative(s) to the working

group/committee. The invitation to disadvantaged and key stakeholders shall be made in a manner

that ensures that the information reaches intended recipients and in a format that is

understandable,

d) an invitation to comment on the scope and the standard‐setting procedures and on the projected

standard setting process, and

e) reference to publicly available standard‐setting procedures.

5.4 PEFC Austria shall review the standard‐setting procedures and the projected process based on

comments received from the public announcement and establish a working group/ or adjust the

composition of an already existing working group based on received nominations. The acceptance

and refusal of nominations shall be justifiable in relation to the requirements for balanced

representation of the working group/committee and resources available for the standard‐setting.

The constitution of the working group is approved by the PEFC Austria General assembly.

5.5 The work of the working group shall be organised in an open and transparent manner where:

a) working drafts shall be available to all members of the working group,

b) all members of the working group shall be provided with meaningful opportunities to contribute

to the development or revision of the standard and submit comments to the working drafts, and

c) comments and views submitted by any member of the working group shall be considered in an

open and transparent way and their resolution and proposed changes shall be recorded.

5.6 The PEFC Austria secretariat shall organise a public consultation, which may also include

conducting workshops, on the enquiry draft and shall ensure that:

a) the start and the end of the public consultation is announced in a timely manner in suitable

media, including PEFC Austria,

b) the invitation of disadvantaged and key stakeholders shall be made by means that ensure that

the information reaches its recipient and is understandable,

c) the enquiry draft is publicly available and accessible,




d) the public consultation is for at least 60 days,

e) all comments received are considered by the working group in an objective manner,

f) a synopsis of received comments compiled from material issues, including the results of their

consideration by the Working Group, is publicly available, for example on PEFC Austria’s website.

5.7 PEFC Austria shall organise pilot testing of the new standards and the results of the pilot testing

shall be considered by the working group/committee.

Note: Pilot testing is not required in case of revision of a standard where experience from its usage

can substitute for pilot testing.

5.8 The decision of the working group to recommend the final draft for formal approval shall be

taken on the basis of a consensus within a period of three sessions. In addition, external experts

may be consulted, if required. In order to reach a consensus the working group can utilise the

following alternative processes to establish whether there is opposition:

a) a face‐to face meeting where there is a verbal yes/no vote, show of hands for a yes/no vote; a

statement on consensus from the Chair where there are no dissenting voices or hands (votes); a

formal balloting process, etc.,

b) a telephone conference meeting where there is a verbal yes/no vote,

c) an e‐mail meeting where a request for agreement or objection is provided to members with the

members providing a written response (a proxy for a vote), or

d) combinations thereof.

5.9 In the case of a negative vote which represents sustained opposition to any important part of

the concerned interests surrounding a substantive issue, the issue shall be resolved using the

following mechanism(s):

a) discussion and negotiation on the disputed issue within the working group/committee in order to

find a compromise,

b) direct negotiation between the stakeholder(s) submitting the objection and stakeholders with

different views on the disputed issue in order to find a compromise,




c) dispute resolution process ( PEFC AT PB 4004). If a consensus‐based resolution cannot be

achieved by the working group, the Arbitration Body of PEFC Austria will make a decision within 30

days. The decision is binding for the working group.

5.10 PEFC Austria Secretariat shall develop a standard‐setting report that provides summary of the

standard‐setting process. The report shall be made publicly available.

5.11 PEFC Austria’s General Assembly shall formally approve the standards/normative documents

based on evidence of consensus reached by the working group.

5.12 The formally approved standards/normative documents shall be published in a timely manner

no later than two weeks from its formal approval and made publicly available (e.g. on PEFC Austria’s

website).”

e) the mechanism for reaching consensus,

and Procedures YES

PEFC AT PB 4001, 5.8:

“5.8 The decision of the working group to recommend the final draft for formal approval shall

be taken on the basis of a consensus within a period of three sessions. In addition, external experts



a) a face‐to face meeting where there is a verbal yes/no vote, show of hands for a yes/no

vote; a statement on consensus from the Chair where there are no dissenting voices or hands

(votes); a formal balloting process, etc.,


c) an e‐mail meeting where a request for agreement or objection is provided to members

with the members providing a written response (a proxy for a vote), or

d) combinations thereof.”

PEFC AT PB 4001, 5.9:

“5.9 In the case of a negative vote which represents sustained opposition to any important part

of the concerned interests surrounding a substantive issue, the issue shall be resolved using the





a) discussion and negotiation on the disputed issue within the working group/committee in

order to find a compromise,

b) direct negotiation between the stakeholder(s) submitting the objection and stakeholders

with different views on the disputed issue in order to find a compromise,



days. The decision is binding for the working group.”

f) revision of standards/normative

documents. Procedures YES

PEFC AT PB 4001, 5.6:

Chapter 6 describes in 6 paragraphs the details of the standard‐setting process.

4.2 The standardising body shall make its

standard‐setting procedures publicly

available and shall regularly review its

standard‐setting procedures including

consideration of comments from

stakeholders.

Procedures YES

PEFC AT PB 4001, 4.1:

“4.1 PEFC Austria shall make its standard‐setting procedures publicly available and shall

regularly review its standard‐setting procedures including consideration of comments from

stakeholders.”

PEFC AT PB 4001, 5.3:

“5.3 PEFC Austria shall make a public announcement of the start of the standard‐setting process

and include an invitation for participation in a timely manner on its website and in suitable media as



a) information about the objectives, scope and the steps of the standard‐setting process and

its timetable,








understandable,

d) an invitation to comment on the scope and the standard‐setting procedures and on the

projected standard setting process, and

e) reference to publicly available standard‐setting procedures.”

PEFC AT PB 4001, 5.4:

“5.4 PEFC Austria shall review the standard‐setting procedures and the projected process based

on comments received from the public announcement and establish a working group/ or adjust the




The constitution of the working group is approved by the PEFC Austria General assembly.”

Process YES

Further clarification by PEFC Austria: “PEFC Austria published the standard setting procedures which were valid and applied for the revision process (Appendix 8 – Version 2014) asked for comments at the beginning of the revision process: SRR 3.1.3 “Start of the online‐forum – On the 06.10.2014 an online‐forum was published with the possibility to comment on the existing PEFC Austria scheme documents. However, no comments were made in the online forum‐ so also no comments covering the standard setting procedures: SRR 3.1.3 “The online‐forum was online for 10 weeks until the 15.12.2014. No comments were made in the online‐forum”

4.3 The standardising body shall keep

records relating to the standard‐setting Procedures YES

PEFC AT PB 4001, 4.2:

“4.2 The PEFC Austria secretariat shall keep records relating to the standard‐setting process

providing evidence of compliance with the requirements of this document. The records shall be




process providing evidence of compliance

with the requirements of this document

and the standardising body’s own

procedures. The records shall be kept for

a minimum of five years and shall be

available to interested parties upon

request.

kept for a minimum of five years and shall be available to interested parties upon request.“

Further clarification by PEFC Austria:

“The term „the standardising body’s own procedures“ in PEFC ST 1001 means the standardising

body’s procedures for standard setting. All those procedures are covered by PB 4001 and when

PEFC AT PB 4001, 4.2 states „compliance with the requirements of this document“, it means with

PEFC AT PB 4001, i.e. standardising body’s own procedures for standard setting.”

Process YES

The annexes of the SRR, especially annex 3, provide for a detailed overview of activities undertaken

(for example conducted workshops & consultations).

4.4 The standardising body shall establish

a permanent or temporary working

group/committee responsible for

standard‐setting activities.

Procedures YES

PEFC AT PB 4001, 4.3:

“ 4.3 PEFC Austria shall establish a permanent or temporary working group responsible for

standard‐setting activities…”

Process YES

SRR, 3.1.5:

“3.1.5 Constitution of the working groups


and the members of PEFC Austria with the request to nominate members for the PEFC working

group for the revision process. Before already in a press release to the start of the system revision,

which was sent to the whole distribution list, stakeholders were invited to nominate

representatives for the working group and the call was also made on the website.

In total 17 nominations for the working group and three negative replies were received.

None of the disadvantaged stakeholders applied for participation.




On the 16.12.2014 the nominated members meet at the working group meeting 3/2014 and the

working group system revision was new constituted. The working group system revision consisted

of 17 members (appendix 1). Three organisations sent 2 representatives, which represented sub‐

organisations in two cases. The voting is done according the principle of unanimity.

In order to address issues regarding the implementation of the forest certification in the PEFC

regions, a sub‐working group „Gruppenzertifizierung NEU“ (group certification new) was

constituted. Therefore in addition to the working group members, representatives of the group

forest certification, the Austrian Research Centre for Forests (BFW) and the PEFC panel of experts

were brought in.”

Note from the Assessor: PEFC Panel of experts refers to PEFC Austria panel of experts.

4.4 The working group/committee shall:

a) be accessible to materially and directly

affected stakeholders, Procedures YES

PEFC AT PB 4001, 3.12:

“3.12 Working group

At the initiative of forestry interest parties, different groups participating in the national PEFC

process, particularly materially and directly affected stakeholders (forestry, wood processing, pulp

and paper industry, environmental groups, retailing, trade unions, etc.), are invited to nominate

representatives to the working group“

PEFC AT PB 4001, 4.3:








….”

Process YES

SRR, 3.1.2:

“3.1.2 Stakeholder mapping – identification of stakeholders, key‐ and disadvantaged stakeholders

The PEFC‐Secretariat identified with the involvement of the working group a list with stakeholders

which are relevant for the revision process and are not members of PEFC Austria in a stakeholder

mapping. Thereby also the substantial interest of the stakeholders were identified. In total 215

stakeholders were identified, thereof 26 key‐stakeholders and 18 disadvantaged stakeholders.

Disadvantaged stakeholders were asked to contact the PEFC‐Secretariat in case they would like to

contribute in the standard setting process, but it would be difficult for them due to financial or time

constraints. If necessary, these organisations would have been supported through the secretariat

through the contribution to expenses or in the analysis of documents and submitting their

concerns.“

SRR, 3.1.5:

“3.1.5 Constitution of the working groups



















were brought in (Appendix 2).”

Note from the Assessor: PEFC Panel of experts refers to PEFC Austria panel of experts.

SRR, Appendix 1:

SRR, Appendix 1, lists all stakeholders that participated in the review process.

b) have balanced representation and

decision‐making by stakeholder categories

relevant to the subject matter and

geographical scope of the standard where

single concerned interests shall not

dominate nor be dominated in the

process, and

Procedures YES

PEFC AT PB 4001, 4.3:




…





stakeholder groups:









4 seats).“

Process YES

SRR, 3.1.2, 3.1.3, 3.1.5, Appendix 1:

See 4.4 a) above

c) include stakeholders with expertise

relevant to the subject matter of the

standard, those that are materially

affected by the standard, and those that

can influence the implementation of the

standard. The materially affected

stakeholders shall represent a meaningful

segment of the participants.

Procedures YES

PEFC AT PB 4001, 4.3:




…




participants. “

Process YES SRR, 3.1.2, 3.1.3, 3.1.5, Appendix 1

See 4.4 a) above





procedures for dealing with any

substantive and procedural complaints

relating to the standardising activities

which are accessible to stakeholders.

Procedures YES

PEFC AT PB 4001, 4.4:

“4.4 Procedures for dealing with any substantive and procedural complaints relating to the

standardising activities, which are accessible to stakeholders, are given in Complaint Procedures and

Rules of Arbitration (PEFC AT PB 4004). Upon receipt of the complaint, PEFC Austria shall:

a) acknowledge receipt of the complaint to the complainant,

b) gather and verify all necessary information to validate the complaint, impartially and

objectively evaluate the subject matter of the complaint, and make a decision upon the complaint,

and

c) formally communicate the decision on the complaint and of the complaint handling

process to the complainant.“

Process YES No substantive or procedural complaints were received.

4.5 Upon receipt of the complaint, the standard‐setting body shall:

a) acknowledge receipt of the complaint

to the complainant,

Procedures YES

PEFC AT PB 4001, 4.4:




a) acknowledge receipt of the complaint to the complainant,

…“

Process YES No complaints received.

b) gather and verify all necessary

information to validate the complaint,

impartially and objectively evaluate the

Procedures YES

PEFC AT PB 4001, 4.4:







subject matter of the complaint, and

make a decision upon the complaint, and

…

b) gather and verify all necessary information to validate the complaint, impartially and

objectively evaluate the subject matter of the complaint, and make a decision upon the complaint,

…“


c) formally communicate the decision on

the complaint and of the complaint

handling process to the complainant.

Procedures YES

PEFC AT PB 4001, 4.4:




…

c) formally communicate the decision on the complaint and of the complaint handling

process to the complainant.“



at least one contact point for enquiries

and complaints relating to its standard‐

setting activities. The contact point shall

be made easily available.

Procedures YES

PEFC AT PB 4001, 4.5:

“4.5 The PEFC Austria secretariat shall serve as the contact point for enquiries and complaints

relating to its standard‐setting activities. For easy accessibility complaints and enquiries shall be

directed to PEFC Austria’s office.“

Standard‐setting process

5.1 The standardising body shall identify

stakeholders relevant to the objectives Procedures YES

PEFC AT PB 4001, 5.1:

“5.1 PEFC Austria shall identify stakeholders relevant to the objectives and scope of the

standard‐setting work.




and scope of the standard‐setting work. Note: A stakeholder mapping exercise that includes defining which interest sectors are relevant

and why, and for each sector what are likely to be the key issues, who are the key stakeholders, and

what means of communication will best reach them, is a recognised means of meeting the

requirement. “

Process YES

SRR, 3.1.2:

“3.1.2 Stakeholdermapping – identification of stakeholders, key‐ and disadvantaged stakeholders









concerns.“

5.2 The standardising body shall identify disadvantaged and key stakeholders. The standardising body shall address the constraints of their participation and proactively seek their participation and contribution in the standard‐setting activities.

Procedures YES

PEFC AT PB 4001, 5.2:

“5.2 PEFC Austria shall identify disadvantaged and key stakeholders. PEFC Austria shall address

the constraints of their participation and proactively seek their participation and contribution in the

standard‐setting activities.“

Process YES

SRR, 3.1.2:

“3.1.2 Stakeholdermapping – identification of stakeholders, key‐ and disadvantaged stakeholders












concerns.“

SRR, 3.1.3:

“3.1.3 Announcement of the system revision and begin of the online‐forum, invitation of

stakeholders to contribute

On the 27.08.2014 a press release was made to announce the 3. PEFC Austria Systemrevision.

The press release was send to the whole distribution list including all stakeholders (see distribution

list in appendix 3).

Start of the online‐forum – On the 06.10.2014 an online‐forum was published with the possibility to

comment on the existing PEFC Austria scheme documents. The website contained also a description

of the revision process including a timetable.

On the same day a press release was made referring to the online‐forum with all scheme

documents including the document „Standard setting ‐ Requirements“ and it was asked to

comment the documents. Furthermore, stakeholders were invited to nominate representatives for

the working group.

The notification of the revision process was replicated in several branch media (see media coverage

appendix 3).

The online‐forum was online for 10 weeks until the 15.12.2014. No comments were made in the

online‐forum.“




5.3 The standardising body shall make a

public announcement of the start of the

standard‐setting process and include an

invitation for participation in a timely

manner on its website and in suitable

media as appropriate to afford

stakeholders an opportunity for

meaningful contributions.

Procedures YES

PEFC AT PB 4001, 5.3:

“5.3 PEFC Austria shall make a public announcement of the start of the standard‐setting process

and include an invitation for participation in a timely manner on its website and in suitable media as




its timetable,





understandable,



e) reference to publicly available standard‐setting procedures. “

Process YES

SRR, 3.1.3:















the working group.


appendix 3).


online‐forum.“

5.3 The announcement and invitation shall include:

a) information about the objectives, scope and the steps of the standard‐setting process and its timetable,

Procedures YES

PEFC AT PB 4001, 5.3:

“The announcement and invitation shall include:


its timetable,

… “

Process YES

SRR, 3.1.3:















the working group.


appendix 3).


online‐forum.“

SRR, 3.1.4:

“3.1.4 1. workshop systemrevision

As event to the system revision process a public stakeholder workshop was conducted on the

04.12.2014.

The invitation was published on the 03.11.2014 on the website of PEFC Austria and sent to all

stakeholders by E‐Mail.

To key‐ and disadvantaged stakeholders the invitation was additionally sent by mail.

On the 28.11.2014 the program of the workshop was sent again by E‐Mail as reminder.

43 persons took part in this first workshop on the 4th of December 2014.

Issues regarding climate change and economic challenges in forest management, forest

entrepreneurs in the PEFC certification, group forest certification and sustainability in public

relations were addressed (see program). The essential results were sent as press release to the




whole distribution list.“


Procedures YES

PEFC AT PB 4001, 5.3:


…


…”

Process YES SRR, 3.1.3, 3.1.4:

See requirement a) above

(c) an invitation to stakeholders to

nominate their representative(s) to the

working group/committee. The invitation

to disadvantaged and key stakeholders

shall be made in a manner that ensures

that the information reaches intended

recipients and in a format that is

understandable,

Procedures YES

PEFC AT PB 4001, 5.3:


…




understandable,

…”

Process YES SRR, 3.1.3, 3.1.4:


d) an invitation to comment on the scope Procedures YES PEFC AT PB 4001, 5.3:




and the standard‐setting process, and “The announcement and invitation shall include:

…



…”

Process YES SRR, 3.1.3:


e) reference to publicly available

standard‐setting procedures.

Procedures YES

PEFC AT PB 4001, 5.3:


…

e) reference to publicly available standard‐setting procedures.”

Process YES SRR, 3.1.3:


5.4 The standardising body shall review

the standard‐setting process based on

comments received from the public

announcement and establish a working

group/committee or adjust the

composition of an already existing

Procedures YES

PEFC AT PB 4001, 5.4:

“5.4 PEFC Austria shall review the standard‐setting procedures and the projected process based

on comments received from the public announcement and establish a working group/or adjust the




The constitution of the working group is approved by the PEFC Austria General assembly.“




working group/committee based on

received nominations. The acceptance

and refusal of nominations shall be

justifiable in relation to the requirements

for balanced representation of the

working group/committee and resources

available for the standard‐setting.

Process YES

PEFC Austria: “No comments on standard‐setting process received, no nominations refused.”

SRR, 3.15:

3.1.5 Constitution of the working groups
















were brought in (Appendix 2).

The Working Group consisted of the following stakeholders:

• Forestry (6 seats)




• Wood processing/Trade/Energy (5 seats)

• Environment (1 seat)

• Social ‐ labour (2 seats)

• Other interest groups (Science, Hunting, Visitors of forests‐Recreational, Consumers,… (0

seats).“

5.5 The work of the working group/committee shall be organised in an open and transparent manner where:

a) working drafts shall be available to all

members of the working

group/committee,

Procedures YES

PEFC AT PB 4001, 5.5:

“5.5 The work of the working group shall be organised in an open and transparent manner

where:

a) working drafts shall be available to all members of the working group,

…“

Process YES

SRR, 3.2:

“3.2 Working group stage

For each meeting, the WG members were invited by email with an agenda enclosed and draft

documents where available;

All meeting were managed in open and transparent manner, all WG members were free to express

their opinion and all comments were considered by the WG.

The meetings were recorded in minutes that were available and timely distributed to all members.

…”

This paragraph is followed by several pages of minutes of diverse Working Group meetings. All




stakeholders supporting the review process as members of the Working Group confirmed during

the stakeholder survey that working drafts were made available to them.

SRR, 3.4:

“3.4 Approval stage

The final drafts of the PEFC Austria scheme documents were elaborated considering the received

comments and consensus was created within the working group in the working group meeting on

the 17.05.2017. The documents were formally adopted (unanimously agreed) by the PEFC Austria

general assembly on the 29.05.2017.”

b) all members of the working group shall

be provided with meaningful

opportunities to contribute to the

development or revision of the standard

and submit comments to the working

drafts, and

Procedures YES

PEFC AT PB 4001, 5.5:


where:

…

b) all members of the working group shall be provided with meaningful opportunities to

contribute to the development or revision of the standard and submit comments to the working

drafts, and

… “

Process YES

SRR, 3.2, 3.4:

See 5.5a) above

Two detailed documents publicly available via the website of PEFC Austria demonstrate compliance

with this requirement: “Übersicht Änderungen 3. Systemrevision” (engl. „overview of system

changes“ 16 pages) and “Abgegebene Kommentare zu den Standardentwürfen“ (engl. „list of

comments“ (13 pages).




The documents include the comments from each individual member in a transparent way. The high

number of comments and their documentation and consideration from various members of the

Working Group show that the members were provided with meaningful opportunities to contribute

to the process.

c) comments and views submitted by any

member of the working group/committee

shall be considered in an open and

transparent way and their resolution and

proposed changes shall be recorded.

Procedures YES

PEFC AT PB 4001, 5.5:


where:

…

c) comments and views submitted by any member of the working group shall be considered

in an open and transparent way and their resolution and proposed changes shall be recorded.“

Process YES

SRR, 3.2, 3.4:

See 5.5a) above

On 24.08.2017 the synopsis of received comments, detailed and separated according to scheme

document concerned, including the results of their consideration in terms of changes is publicly

available via the website of PEFC Austria: https://www.pefc.at/wp‐content/uploads/2017/05/PEFC‐

AT‐Übersicht‐Änderungen‐Systemrevision_2017‐05‐30_Kurzvers.pdf

5.6 The standardising body shall organise a public consultation on the enquiry draft and shall ensure that:

a) the start and the end of the public

consultation is announced in a timely

manner in suitable media,

Procedures YES

PEFC AT PB 4001, 5.6:

“5.6 The PEFC Austria secretariat shall organise a public consultation, which may also include


a) the start and the end of the public consultation is announced in a timely manner in suitable

media, including PEFC Austria,

… “




Process YES

SRR, 3.3.2:

“3.3.2 Public Consultation

On the 10.07.2015 the start of the public consultation was announced with a press release, therein

the results of the second workshop were reported. The press release was send to the whole

distribution list including all stakeholders, key‐ and disadvantaged stakeholders (see distribution list

in appendix 3).

The public consultation was online from 10.07.2015 – 21.09.2015.

Two entries were registered in the online‐platform. One of the senders submitted his comments in

an own document via E‐Mail. This comments concerned the standards ST 1001, ST 1002 (see list of

comments). “

The Annexes provide evidence for the process described in the development report:

“13) Press release „3. Systemrevision – Öffentliche Befragung startet“ (3rd system revision – public

consultation begins), 10.07.2015

14) Screenshots Website Public Consultation_2015 1 / 2, Website Ende Public

Consultation_2015_09_22 (end of public consulation)”

They also show that the end of the open consultation (21.09.2015) was also announced.

b) the invitation of disadvantaged and key

stakeholders shall be made by means that

ensure that the information reaches its

recipient and is understandable,

Procedures YES

PEFC AT PB 4001, 5.6.



…

b) the invitation of disadvantaged and key stakeholders shall be made by means that ensure

that the information reaches its recipient and is understandable,

…“

Process YES

SRR, 3.1.2:

“3.1.2 Stakeholder mapping – identification of stakeholders, key‐ and disadvantaged stakeholders












concerns.”

SRR, 3.1.4:

“3.1.4 1. workshop systemrevision

…

The invitation was published on the 03.11.2014 on the website of PEFC Austria and sent to all

stakeholders by E‐Mail.

To key‐ and disadvantaged stakeholders the invitation was additionally sent by mail.

…”

SRR, 3.3.2:





in appendix 3).

…”

SRR, Annex 3:

“Press releases, communication on the website and with stakeholders




1) Press release „Revisionankuendigung“ (announcement of the system revision), 27.08.2014

2) Screenshot start 3. system revision and screenshot online‐forum with comment function,

06.10.2014

3) Press release „Startschuss‐Revision“ (start system revision), 06.10.2014

4) Letter to disadvantaged stakeholders, 13.10.2014

5) Letter to key‐stakeholders, 13.10.2014

6) E‐Mail invitation and program of the 1. workshop system revision, 03.11.2014

7) Letter to key‐ and disadvantaged stakeholders, 07.11.2014

…“

The development report and its Annexes show that main (key) stakeholders and disadvantaged

stakeholders were invited in addition to the public announcements by direct mail and newsletters,

which is seen as sufficient to reach these stakeholders in Austria.

c) the enquiry draft is publicly available

and accessible,

Procedures YES

PEFC AT PB 4001, 5.6:



…

c) the enquiry draft is publicly available and accessible,

…“

Process YES

SRR, 3.3.2:





in appendix 3).

…”

The enquiry drafts together with commenting forms were publicly available on the website of PEFC




Austria (http://www.pefc.at/content/downloadcenter/systemrevision.php).

d) the public consultation is for at least 60

days,

Procedures YES

PEFC AT PB 4001, 5.6:



…

d) the public consultation is for at least 60 days,

…“

Process YES

SRR, 3.3.2:





in appendix 3).

The public consultation was online from 10.07.2015 – 21.09.2015.

…”

e) all comments received are considered

by the working group/committee in an

objective manner,

Procedures YES

PEFC AT PB 4001, 5.6:



…

e) all comments received are considered by the working group in an objective manner,

…“

Process YES

SRR, 3.4:

“The final drafts of the PEFC Austria scheme documents were elaborated considering the received





the 17.05.2017.

…”

All submitted comments are publicly available on https://www.pefc.at/wp‐

content/uploads/2017/05/List‐of‐comments_Systemrev_2017‐05‐30.pdf and were sent to the

Working Group members for consideration. Regarding their consideration no evidence can be found

in the document that this was not conducted in an objective manner.

(f) a synopsis of received comments

compiled from material issues, including

the results of their consideration, is

publicly available, for example on a

website.

Procedures YES

PEFC AT PB 4001, 5.6.



…

f) a synopsis of received comments compiled from material issues, including the results of

their consideration by the Working Group, is publicly available, for example on PEFC Austria’s

website.“

Process YES

SRR, 3.3.2, 3.4, Appendix 3, List of comments (published on www.pefc.at)

On 24.08.2017 the synopsis of received comments, detailed and separated according to scheme

document concerned, including the results of their consideration is publicly available via the

website of PEFC Austria: https://www.pefc.at/wp‐content/uploads/2017/05/List‐of‐

comments_Systemrev_2017‐05‐30.pdf

5.7 The standardising body shall organise

pilot testing of the new standards and the

results of the pilot testing shall be

considered by the working

Procedures YES

PEFC AT PB 4001, 5.7:

“5.7 PEFC Austria shall organise pilot testing of the new standards and the results of the pilot

testing shall be considered by the working group/committee.

Note: Pilot testing is not required in case of revision of a standard where experience from its

usage can substitute for pilot testing. “




group/committee.Process YES Not applicable, since this is a standard revision process.

5.8 The decision of the working group to

recommend the final draft for formal

approval shall be taken on the basis of a

consensus.

Procedures YES

PEFC AT PB 4001, 5.8:


be taken on the basis of a consensus within a period of three sessions.

…“

Process YES

SRR, 3.4:




general assembly on the 29.05.2017.“

SRR, 3.2:

“Working group meeting on the 17.05.2017, Vienna

3. system revision process – objectives and changes

Consensus on the final drafts is reached.

Unanimous resolution to approve the revised PEFC Austria scheme documents”

5.8 In order to reach a consensus the working group/committee can utilise the following alternative processes to establish whether there is opposition:

a) a face‐to face meeting where there is a Procedures YES PEFC AT PB 4001, 5.8:





verbal yes/no vote, show of hands for a

yes/no vote; a statement on consensus

from the Chair where there are no

dissenting voices or hands (votes); a

formal balloting process, etc.,




a) a face‐to face meeting where there is a verbal yes/no vote, show of hands for a yes/no

vote; a statement on consensus from the Chair where there are no dissenting voices or hands

(votes); a formal balloting process, etc.,

… “

Process YES

Consensus was reached in face‐to‐face meetings (SRR, 3.4) by showing of hands and a statement on

consensus by the Chair.

SRR, 3.4:




general assembly on the 29.05.2017.“

b) a telephone conference meeting where

there is a verbal yes/no vote,

Procedures YES

PEFC AT PB 4001, 5.8:





…


…”

Process YES This method was not applied.




c) an e‐mail meeting where a request for

agreement or objection is provided to

members with the members providing a

written response (a proxy for a vote), or

Procedures YES

PEFC AT PB 4001, 5.8:





…

c) an e‐mail meeting where a request for agreement or objection is provided to members

with the members providing a written response (a proxy for a vote), or

…“

Process YES This method was not applied.

d) combinations thereof.

Procedures YES

PEFC AT PB 4001, 5.8:





…

d) combinations thereof. “

Process YES see 5.8a)

5.9 In the case of a negative vote which represents sustained opposition to any important part of the concerned interests surrounding a substantive issue, the issue shall be

resolved using the following mechanism(s):




a) discussion and negotiation on the

disputed issue within the working

group/committee in order to find a

compromise,

Procedures YES

PEFC AT PB 4001, 5.9:




a) discussion and negotiation on the disputed issue within the working group/committee in

order to find a compromise,

…“

Process YES No sustained opposition within Working Group.

b) direct negotiation between the

stakeholder(s) submitting the objection

and stakeholders with different views on

the disputed issue in order to find a

compromise,

Procedures YES

PEFC AT PB 4001, 5.9:




…

b) direct negotiation between the stakeholder(s) submitting the objection and stakeholders

with different views on the disputed issue in order to find a compromise,

…“

Process YES No sustained oppositionwithin Working Group.

c) dispute resolution process. Procedures YES

PEFC AT PB 4001, 5.9 with reference to PEFC AT PB 4004:




…






days. The decision is binding for the working group.“

Process YES No sustained opposition within Working Group.

5.10 Documentation on the

implementation of the standard‐setting

process shall be made publicly available.

Procedures YES

PEFC AT PB 4001, 5.10.

“5.10 PEFC Austria Secretariat shall develop a standard‐setting report that provides summary of

the standard‐setting process. The report shall be made publicly available.“

Process YES

SRR, 3.5:

“3.5 Publication

The documents, including the list of comments and the development report were published on

PEFC Austria’s website on the 30.05.2017 and a press release was made to announce the

publication of the revised scheme documents. In Table 2 the approved documents and former

scheme documents are shown.

…”

The revised technical documents, process of revision and the development report for the revision

process are available on https://www.pefc.at/allgemein/3‐systemrevision‐ueberarbeitete‐

systemdokumente‐veroeffentlicht/.

The revision process has been documented. The records from the revision process of PEFC Austria

scheme documents comprise among others:

‐ written documentation for the establishment of Working Group,

‐ minutes of the Working Group meetings,

‐ comments, views and proposals of the members of Working Group and changes to the

documentation,

‐ comments, views and proposals of documentation changes resulting from public consultation,




‐ all documents and changes to the documents created in individual phases of the documents

development and revision process.

The records on the revision process are available at the PEFC Austria secretariat.

5.11 The standardising body shall formally

approve the standards/normative

documents based on evidence of

consensus reached by the working

group/committee.

Procedures YES

PEFC AT PB 4001, 5.11:

“5.11 PEFC Austria’s General Assembly shall formally approve the standards/normative

documents based on evidence of consensus reached by the working group.”

Process YES

SRR, 3.4:

“3.4 Approval stage

The final drafts of the PEFC Austria scheme documents were elaborated considering the received



general assembly on the 29.05.2017.”

5.12 The formally approved

standards/normative documents shall be

published in a timely manner and made

publicly available.

Procedures YES

PEFC AT PB 4001, 5.12:

“5.12 The formally approved standards/normative documents shall be published in a timely

manner no later than two weeks from its formal approval and made publicly available (e.g. on PEFC

Austria’s website).“

Process YES

SRR, 3.5:

“The documents, including the list of comments and the development report were published on

PEFC Austria’s website on the 30.05.2017 and a press release was made to announce the

publication of the revised scheme documents.

…”

All documents are publicly accessible by the time of the assessment via the website of PEFC Austria:




https://www.pefc.at/allgemein/3‐systemrevision‐ueberarbeitete‐systemdokumente‐veroeffentlicht

Revisions of standards/normative documents

6.1 The standards/normative documents

shall be reviewed and revised at intervals

that do not exceed a five‐year period. The

procedures for the revision of the

standards/normative documents shall

follow those set out in chapter 5.

Process YES

SRR, ch. 1:

“PEFC Austria is responsible for the standard setting and the administration of the Austrian PEFC

scheme. The last revision process was finalised in November 2010. The endorsement through the

PEFC Council (www.pefc.org) was affected in November 2011 and is, including an extension, valid

until November 2017. The standard revision process documented within this report officially

commenced with the press release on the 6th of October 2014. In May 2017 the revised documents

(translated into English) shall be submitted to the PEFC Council for the review. The revised scheme

documents of the Austrian PEFC scheme are shown in chapter 5.“

PEFC AT 0001, 7.1:

“7.1 Preparation of technical documents

7.1.1 PEFC Austria regularly checks whether it is necessary to make changes and continually

improve the certification scheme (i.e. for the consideration of new scientific findings). This includes,

if required, the inspection and revision of the corresponding normative documents, amongst others

the ST 1001 (PEFC‐Standard for Sustainable Forest Management in Austria), which must take place

no later than in five years intervals. The national certification scheme is regularly evaluated on the

basis of this analysis and improved upon, if necessary. The expertise of external scientists and other

experts will flow into this process of revision.

7.1.2 The standard setting process is based on PEFC AT PB 4001 and ISO Guide 59 and organised by

PEFC Austria. Standard setting is conducted through participation of diverse stakeholder groups. It

is an open, transparent, multi‐stakeholder based process and shall aim for consensus among all

participants.

7.1.3 The process includes the mapping of stakeholders, the public announcement of the start of




the standard setting process, an invitation of stakeholders to forming technical committees, pubic

consultations, formal approval by the General Assembly of PEFC Austria and the publication of the

standards.

7.1.4 The standards are subject to revisions every five years.

7.1.5 All standards are publicly available through the website of PEFC Austria.”

6.2 The revision shall define the

application date and transition date of the

revised standards/normative documents.

Process YES

SRR, ch. 4:

“4 Transition to the revised PEFC Austria scheme documents

The PEFC Austria standards enter into force on the 29.04.2018, eleven months after their approval.

The procedures for the transition to the revised scheme documents are described in PEFC AT PB

4007 (Transition to the revised PEFC Austria Scheme 2017). A transition period of one year was

determined (until 29.04.2019).“

6.3 The application date shall not exceed a

period of one year from the publication of

the standard. This is needed for the

endorsement of the revised

standards/normative documents,

introducing the changes, information

dissemination and training.

Process YES

SRR, ch. 4:

“4 Transition to the revised PEFC Austria scheme documents

The PEFC Austria standards enter into force on the 29.04.2018, eleven months after their approval.

The procedures for the transition to the revised scheme documents are described in PEFC AT PB

4007 (Transition to the revised PEFC Austria Scheme 2017). A transition period of one year was

determined (until 29.04.2019).“

PEFC AT PB 4007, 4.1.2:

“4.1.2 Within the period between the formal approval date and the application date the entities

involved in the scheme shall perform the following activities:

a) PEFC Austria to ensure endorsement of the revised scheme by the PEFC Council; to disseminate

information about changes to the scheme; provide necessary training and provide support in the

implementation of organizational changes required by the revised scheme;

…”




6.4 The transition date shall not exceed a

period of one year except in justified

exceptional circumstances where the

implementation of the revised

standards/normative documents requires

a longer period.

Process YES

PEFC AT PB 4007, 4.2.1:

“4.2.1 The transition date of 29 April 2019 is set up one year from the application date.“


“PEFC ST 1001, 6.4 does not require the standardization body to apply a longer period than 1 year.

PEFC AT PB 4007 clearly complies with PEFC ST 1001, 6.1‐6.4 as it defines the transition period

shorter than 1 year. The question what would have happened if PEFC Austria has had decided

otherwise is therefore irrelevant.”

1.4.3 3 Application documentation

The application for the endorsement and mutual recognition as defined in Chapter 5 of Annex 7 (Endorsement and Mutual Recognition of National Systems and their Revision) shall include information which enables the assessment of the applicant system’s compliance with the PEFC Council requirements.

The application documentation should identify and make reference to other detailed documentation such as minutes, internal procedures and rules, reports, etc. which do

not need to create a part of the application documentation.

Asses. basis* The standard setting is assessed against the PEFC Council requirements in two stages: (i) compliance of written standard setting procedures

(“Procedures”) and (ii) compliance of the standard setting process itself (“Process”).

For “Procedures” the applicant should refer to the part(s) of its standard setting procedures related to the respective PEFC requirement. For “Process”

the applicant should either refer to the report/records of the standard setting process forming a part of the submitted application documents, or describe

how the PEFC requirement was fulfilled during the standard setting process.

YES/NO* If the answer to any question is no, the application documentation shall indicate for each element why and what alternative measures have been taken to

address the element in question.


1.5 PART II: Standard and System Requirement Checklist for Group FOREST MANAGEMENT CERTIFICATION (PEFC ST 1002:2010)

1.5.1 1 Scope

Part II covers requirements for group forest management certification as defined in PEFC ST 1002:2010, Group Forest Management Certification – Requirements. Any inconsistencies between this text and the original referred to document will be overruled by the content and wording of the technical document.

1.5.2 2 Checklist

Question YES /

NO* Reference to system documentation

General

4.1 Does the forest certification scheme provide clear definitions for the following terms in conformity with the definitions of those terms presented in chapter 3 of PEFC ST

1002:2010:

a) the group organisation,

YES

PEFC AT ST 1003:2017, 3.5:

“3.5 Group organisation

A group of participants represented by the governing body of the group for the purposes of implementation of the

sustainable forest management standard and its certification.

Note1: The term “group organisation” is equivalent to the term “region” or other terms chosen by the relevant forest

certification scheme and complying with the content of this definition.

Note 2: The relationship between the terms “group organisation”, “governing body of the group organisation” and

“participant” is shown in Figure 1.

Note 3: The participants can be members of a specific geographic region or an organisation. However, this is not a

requirement of the issuance of a group forest certificate.”


Question YES /


b) the group entity

YES PEFC AT ST 1003, 3.2:

“3.2 Governing body of the group organisation

The governing body of the group organisation represents the participants, with overall responsibility for ensuring the

conformity of forest management in the certified area to the sustainable forest management standard and other

applicable requirements of the forest certification scheme.

Note 1: In the group certification of natural growth regions the “regional committee” is the “governing body of the

group organisation” (see 3.7).


“participant” is shown in Figure 1.”

PEFC AT ST 1003, 3.7:

“3.7 Regional committee

The regional comitee is the governing body of the group organisation of the group certification in natural growth

regions. The regional commitee is represented through its chairman or his deputy.

Note: Group certification in natural growth regions is a one option of group forest certification in Austria.”

Note: The document is using the term ‘governing body of the group organisation’, in case of the group certification in

natural growth regions this is the ‘regional committee’.

c) the participant,


“3.8 Participant

A forest owner/manager, person responsible or other entity or a forest cooperative covered by the group forest


Question YES /


certificate, who has the legal right to manage the forest in a clearly defined forest area, and the ability to implement

the requirements of the sustainable forest management standard in that area.

Note1: The term “ability to implement the requirements of the sustainable forest management standard” requires the

entity to have a long‐term legal right to manage the forest and would disqualify one‐off contractors, such as forest

entrepreneurs, from becoming participants in group certification.


“participant” is shown in Figure 1.“

d) the certified area,


“3.1 Certified area

The forest area covered by a group forest certificate representing the sum of forest areas of the participants.“

e) the group forest certificate, and


“3.3 Group forest certificate

A document confirming that the group organisation complies with the requirements of the sustainable forest

management standard and other applicable requirements of the forest certification scheme.

Note: The term “group forest certificate” is equivalent to the term “regional group certificate” or other terms chosen

by a relevant forest certification scheme which comply with the content of this definition.“

f) the document confirming participation in

group forest certification.


“3.10 Declaration of participation

A document, in which the participant commits himself, to comply with the requirements of the sustainable forest


Question YES /


management standard and other applicable requirements of the forest certification scheme.“

PEFC AT ST 1003, 3.9:

“3.9 Confirmation of participation

A document issued to an individual participant or is made accesible to him that refers to the group forest certificate

and that confirms the participant as being covered by the scope of the group forest certification.”

4.1.2 In cases where a forest certification

scheme allows an individual forest owner to

be covered by additional group or individual

forest management certifications, the scheme

shall ensure that non‐conformity by the forest

owner identified under one forest

management certification is addressed in any

other forest management certification that

covers the forest owner.

YES

PEFC AT ST 1003, 4.1.1:

“4.1.1 A participant shall be only covered by one certificate.

Note: This can be either an individual certificate or a certificate of the group certification in natural growth regions or

another group forest certificate.“

The standard text demonstrates that PEFC Austria does not allow an individual forest owner to be covered by

additional group or individual forest management certifications.

4.1.3 The forest certification scheme shall

define requirements for group forest

certification which ensure that participants’

conformity with the sustainable forest

management standard is centrally

administered and is subject to central review

and that all participants shall be subject to the

internal monitoring programme.

YES PEFC AT ST 1003, 4.1.3:

“4.1.3 The governing body of the group organisation shall take the overall responsibility for the implementation of the

requirements of this document and participant’s compliance with the requirements for sustainable forest

management as defined in PEFC AT ST 1001 and other applicable documents.”

PEFC AT ST 1003, 4.1.6:

“4.1.6 The governing body of the group organisation shall centrally administer the compliance with the sustainable


Question YES /


forest management standard through the participants.”

PEFC AT ST 1003, 4.1.7:

“4.1.7 Participants shall be subject to an internal annual monitoring programme of the group organisation, which

creates sufficient confidence, that the whole group organisation with the requirements of the sustainable forest

management standard and other applicable requirements of PEFC Austria.”

4.1.4 The forest certification scheme shall

define requirements for an annual internal

monitoring programme that provides

sufficient confidence in the conformity of the

whole group organisation with the sustainable

forest management standard.


“4.1.7 Participants shall be subject to an internal annual monitoring programme of the group organisation, which

creates sufficient confidence, that the whole group organisation with the requirements of the sustainable forest

management standard and other applicable requirements of PEFC Austria.”

PEFC AT ST 1003, 4.2.10:

“4.2.10 The governing body of the group organisation shall operate an annual internal monitoring programme that

provides for the evaluation of the participants’ conformity with the certification requirements. The observations and

results shall be documented.”

Functions and responsibilities of the group entity

4.2.1 The forest certification scheme shall define the following requirements for the function and responsibility of the group entity:

a) To represent the group organisation in the

certification process, including in

communications and relationships with the

certification body, submission of an

YES

PEFC AT ST 1003, 4.2.2:

“4.2.2. The governing body of the group organisation shall represent the group organisation in the certification

process and have the responsibility for following


Question YES /


application for certification, and contractual

relationship with the certification body;

a. communication and representation towards the certification body and third parties

o upon request, making available a summary of the auditing results

b. filing the application for certification (4.2.1.1)

c. concluding a contract with the certification body.“

b) To provide a commitment on behalf of the

whole group organisation to comply with the

sustainable forest management standard and

other applicable requirements of the forest

certification scheme;

YES PEFC AT ST 1003, 4.2.2.1:

“4.2.2.1 The application shall contain

a. data of the participants (contact details, identification of their forest property and its/their size(s))

b. sustainability report

c. documented procedure for system stability

d. a description of the applicant in charge (responsibility, training, etc.)”

PEFC AT ST 1003, 4.2.2.2:

“4.2.2.2 The governing body of the group organisation shall provide a commitment on behalf of the whole group

organisation to comply with the sustainable forest management standard and other applicable requirements of the

PEFC Austria.“

c) To establish written procedures for the

management of the group organisation;


“4.2.3 The governing body of the group organisation shall establish written procedures for the management of the

group organisation and document the implementation (procedure for system stability), these contain:

… “


Question YES /


d) To keep records of:

- the group entity and participants’ conformity with the requirements of the sustainable forest management standard, and other applicable requirements of the forest certification scheme,

- all participants, including their contact details, identification of their forest property and its/their size(s),

- the certified area,

- the implementation of an internal monitoring programme, its review and any preventive and/or corrective actions taken;

YES PEFC AT ST 1003, 4.2.12:

“4.2.12 The governing body of the group organisation shall keep records of

a. the governing’s body and participants’ conformity with the requirements of the sustainable forest

management standard, and other applicable requirements of PEFC Austria,

b. all participants, including their contact details, identification of their forest property and its/their size(s),

c. the certified area,

d. the implementation of an internal monitoring programme, its review and any preventive and/or corrective

actions taken

e. the achievement of targests formulated in the sustainability report or the corresponding measures for their

implementation, and the development concerning target achievement.

Note: Additional requirements to the group certification in natural growth regions are given in appendix 1“

e) To establish connections with all

participants based on a written agreement

which shall include the participants’

commitment to comply with the sustainable

forest management standard. The group

entity shall have a written contract or other

written agreement with all participants

covering the right of the group entity to

implement and enforce any corrective or

preventive measures, and to initiate the

exclusion of any participant from the scope of

certification in the event of non‐conformity

YES

PEFC AT ST 1003, 4.2.4:

“4.2.4 The governing body of the group organisation shall establish connections based on a written agreement, which

include the participants’ commitment to comply with the sustainable forest management standard and other

applicable requirements of the PEFC Austria, particularly the targets and measures for achieving these targets, which

are formulated in the sustainability report. Group representatives shall have a written contract or other written

agreement with all participants covering the right of the group organisation to implement and enforce any corrective

or preventive measures, and to initiate the exclusion of any participant from the scope of certification in the event of

non‐conformity with the sustainable forest management standard and other applicable documents of the PEFC

Austria.

Note 1: The requirements for “participant’ commitment” and “written contract or other written agreement with all

participants” can also be satisfied by the commitment of and written agreement of the forest owners/managers’


Question YES /


with the sustainable forest management

standard;

association, where the association can demonstrate that it has a legal mandate to represent the participants and

where its commitment and the terms and conditions of the contract are enforceable.

Note 2: The agreements do not need to be available in paper. Electronically concluded or submitted agreements fulfil

the requirement.

Note 3: The membership of forest cooperatives is only possible in case of the group certification in natural growth

regions.

Note 4: Additional requirements to the group certification in natural growth regions are given in appendix 1. “

f) To provide participants with a document

confirming participation in the group forest

certification;


“4.2.5 The governing body of the group organisation shall provide participants with the access to a confirmation of

participation in the group forest certification.

Note: The access to a document in electronic form fulfils the requirement.“

g) To provide all participants with information

and guidance required for the effective

implementation of the sustainable forest

management standard and other applicable

requirements of the forest certification

scheme;


“4.2.8 The governing body of the group organisation shall provide all participants and persons who perform tasks in

sustainable forest management, with information and guidance required for the effective implementation of the

sustainable forest management standard and other applicable requirements of PEFC Austria, particularly the targets

formulated in the sustainability report and measures for achieving these targets.

Note: Information about targets, for example as folders, can be also transmitted electronically, for instance, as

download document.“

PEFC AT ST 1003, 4.2.9:

“4.2.9 The governing body of the group organisation shall take care of the provision of information about new markets


Question YES /


particulary market opportunities for products and services.

Note: This information can be provides, for instance, in articles, pubications or on websites, in newsletter,

presentations, etc.”

h) To operate an annual internal monitoring

programme that provides for the evaluation

of the participants’ conformity with the

certification requirements, and;

YES PEFC AT ST 1003, 4.2.10:



results shall be documented.“

i) To operate a review of conformity with the

sustainable forest management standard, that

includes reviewing the results of the internal

monitoring programme and the certification

body’s evaluations and surveillance;

corrective and preventive measures if

required; and the evaluation of the

effectiveness of corrective actions taken.

YES PEFC AT ST 1003, 4.2.10:



results shall be documented.“

PEFC AT ST 1003, 4.2.11:

“4.2.11 The governing body of the group organisation shall assess the compliance with the requirements of the

standard for sustainable forest management (management evaluation), which contains:

a. the evaluation of the results of the annual internal monitoring programme and the evaluation through the

certification body and their surveillance activities

b. preventive and corrective measures, if applicable.

c. the evaluation of the effectiveness of applied corrective measures.”


Question YES /


PEFC AT ST 1003, 4.2.12:

“4.2.12 The governing body of the group organisation shall keep records of






actions taken


implementation, and the development concerning target achievement.”

Function and responsibilities of participants

4.3.1 The forest certification scheme shall define the following requirements for the participants:

a) To provide the group entity with a written

agreement, including a commitment on

conformity with the sustainable forest



scheme;

YES

PEFC AT ST 1003, 4.3.1:

“4.3.1 Participants shall provide the group organisation with a written agreement (declaration of participation),

including a commitment on conformity with the sustainable forest management standard and other applicable

requirements of the forest certfication scheme of PEFC Austria.”

b) To comply with the sustainable forest



YESPEFC AT ST 1003, 4.3.2:

“4.3.2 Participants shall comply with the sustainable forest management standard (PEFC AT ST 1001) and other other


Question YES /


scheme; applicable documents of the forest certfication scheme of PEFC Austria.“

c) To provide full co‐operation and assistance

in responding effectively to all requests from

the group entity or certification body for

relevant data, documentation or other

information; allowing access to the forest and

other facilities, whether in connection with

formal audits or reviews or otherwise;


“4.3.3 Participants shall provide full co‐operation and assistance in the effective implementation of all requirements of

the group organisation or the certification body; which includes providing:

a. relevant data, documentation or other information,

b. access to his forests and other facilities,

whether in connection with external audits, internal monitoring or other control measures.“

d) To implement relevant corrective and

preventive actions established by the group

entity.

YESPEFC AT ST 1003, 4.3.4:

“4.3.4 Participants shall implement relevant corrective and preventive actions established by the group organisation.“


1.6 PART III: Standard and System Requirement Checklist for SUSTAINABLE FOREST MANAGEMENT (PEFC ST 1003:2010)

1.6.1 1 Scope

Part III covers requirements for sustainable forest management as defined in PEFC ST 1003:2010, Sustainable Forest Management – Requirements. Any inconsistencies between this text and the original referred to document will be overruled by the content and wording of the technical document.

1.6.2 2 Checklist

Question YES / NO* Reference to scheme documentation

General requirements for SFM standards

4.1 The requirements for sustainable forest management defined by regional, national or sub‐national forest management standards shall

a) include management and performance

requirements that are applicable at the

forest management unit level, or at

another level as appropriate, to ensure

that the intent of all requirements is

achieved at the forest management unit

level.

YES

PEFC AT ST 1001:2017, 5.1.2:

“5.1.2.1 Forest management shall comprise the cycle of inventory and planning, implementation, monitoring and

evaluation, and shall include an appropriate assessment of the social, environmental and economic impacts of forest

management operations. This shall form a basis for a cycle of continuous improvement to minimise or avoid

negative impacts. Forest owners/managers shall have access to and make use of results of the national forest

inventory while planning and performing forest management activities.

5.1.2.2 Inventory and mapping of forest resources shall be established and maintained, adequate to local and

national conditions and in correspondence with the topics described in this document and the standards PEFC AT ST

1002.

5.1.2.3 Management plans or their equivalents, appropriate to the size and use of the forest area, shall be

elaborated and periodically updated. They shall be based on legislation as well as existing land‐use plans, and

adequately cover the forest resources.

5.1.2.4 A forest management plan shall contain:

a. A description of the current state of the forest / forest management (acc. PEFC AT ST 1002)



b. Interpretation of the current state of the forest / forest management

c. Derivation of short‐term and long‐term operational targets for the corresponding assessment unit (group

organisations / individual holdings). For at least 10 system‐relevant indicators (target indicators) operational and

measurable targets and suitable measures, or plans for measures, have to be defined.

d. For individual certification the average annual allowable cut and, where applicable, the annually allowable

exploitation of non‐timber forest products

…

5.1.2.6 Monitoring of forest resources and evaluation of their management shall be periodically performed, and

results fed back into the planning process. The results shall be illustrated in a management report.

5.1.2.6.1 A management report shall contain:

a. the implementation and the results of internal audits or an internal monitoring programme

b. events and information, that concern the compliance with the requirements of the standard, other

applicable requirements of PEFC Austria or the achievement of targets,

c. the formulation and implementation of preventive and/or corrective actions

d. the implemented activities and measures of the last year, especially the advancement regarding the

achievement of targets which are formulated in the forest management.

e. analysis and planning of measures: based on the results, if required, corrective and preventive measures in

case of non‐conformities, or potentials for improvement shall be identified and activities and measures for the

following year shall be planned.

…“

PEFC AT ST 1002:2017:

“1 Scope

This document defines of criteria and indicators of the Austria PEFC‐system on regional level (group certification in



natural growth regions – part A) and on level and for individual certification of the group certification in general

(part B).”

b) be clear, objective‐based and auditable. YES

PEFC AT ST 1001:2017 5.1.2;

See 4.1a) above

PEFC AT ST 1002:2017, chapter 3:

“3 Definitions

3.1 Criterion: is defined as main focus and aspect with regard to the contents of SMF assessment, criteria 1–6 of the

pan‐European criteria

3.2 Subcriterion: element or relevant aspect within a criterion, preferably identical wording as the Pan‐European

Operational Level Guidelines

3.3 Description: further specification or more detailed explanations of the subcriterion, where relevant identical

wording as the Pan‐European Operational Level Guidelines

3.4 Indicator: concrete assessment object which serves as evidential sign for the existence or non‐existence of the

respective aspect

…”

Note assessor: This document, titled “Criteria and Indicators for the Determination of Sustainable Forestry in

Austria” provides for detailed descriptions, often with figures, of subcriteria.

c) apply to activities of all operators in the

defined forest area who have a

measurable impact on achieving

compliance with the requirements.

YES

PEFC AT ST 1001:2017, 4. c;:

“4 General requirements

Requirements for sustainable forest management for individual or group certifications include:

…

c. All operators on the defined forest areas shall comply with the relevant requirements of this standard.



Forest owners shall only contract sub‐contractors that are meeting PEFC Austria’s requirements for forest

entrepreneurs. For forest operations when forest machinery is used (forwarder, harvester, machinery for cable log

hauling (not ground‐based)) only those service providers and forest contractors should be deployed, which have a

valid document (certificate, confirmation of participation,…) of a control‐ or certification systems which is recognised

by PEFC Austria. Self‐employed forestry workers (Bauernakkordanten) can prove their qualification through other

means, e.g. participation in PEFC‐forest certification. Exempted from this regulation is the processing of damaged

timber (effected by storms, natural disasters, beetles,… “Kalamitätsholz”).

Note: The requirement regarding certification for service providers and forest contractors becomes effective as of 1

January 2019. “

d) require record‐keeping that provides

evidence of compliance with the

requirements of the forest management

standards.

YES

PEFC AT ST 1001:2017, 4.a;:



a. Records that provide evidence on the compliance with this standard and other applicable requirements of

the forest certification scheme shall be kept. “

PEFC AT ST 1003:2017, 4.2.10‐4.2.12:



results shall be documented.

4.2.11 The governing body of the group organisation shall assess the compliance with the requirements of the

standard for sustainable forest management (management evaluation), which contains:

a. the evaluation of the results of the annual internal monitoring programme and the evaluation through the

certification body and their surveillance activities

b. preventive and corrective measures, if applicable.

c. the evaluation of the effectiveness of applied corrective measures.



4.2.12 The governing body of the group organisation shall keep records of






actions taken


implementation, and the development concerning target achievement.”

Specific requirements for SFM standards

Criterion 1: Maintenance and appropriate enhancement of forest resources and their contribution to the global carbon cycle

5.1.1 Forest management planning shall

aim to maintain or increase forests and

other wooded areas and enhance the

quality of the economic, ecological,

cultural and social values of forest

resources, including soil and water. This

shall be done by making full use of related

services and tools that support land‐use

planning and nature conservation.

YES

PEFC AT ST 1001, 5.1.1.1:

“5.1.1.1 Forest management planning shall aim to maintain or increase forests and other wooded areas as well as

the productive capacity, resilience and resistance and enhance the quality of the economic, ecological, cultural and

social values of forest resources, including soil and water. Forest management plans or their equivalents shall take

into account the different uses or functions of the managed forest area. This shall be done by making full use of

related services and tools that support land‐use planning and nature conservation.“

5.1.2 Forest management shall comprise

the cycle of inventory and planning,

implementation, monitoring and

evaluation, and shall include an

YES

PEFC AT ST 1001, 5.1.2.1:





appropriate assessment of the social,

environmental and economic impacts of

forest management operations. This shall

form a basis for a cycle of continuous

improvement to minimise or avoid

negative impacts.




Note 1: The evaluation of impacts can be conducted on group level. The results can be also used for single‐sites.

Note 2: The Forestry Law includes requirements to ensure a permanent forest inventory and sustainable use of

forest resources. All forests are covered by the national forest inventory (ÖWI) (§130) and are subject to a forestry

development plan (Waldentwicklungsplan) (§9), which is publicly available and considered to be an equivalent to

forest management plans. Access to and use of the forestry development plan at the FMU level satisfies the

requirement. In case of group certification in natural growth regions the inventory and mapping of forest resources

are incorporated into the sustainability report that is based on the national forest inventory (ÖWI) (see PEFC AT ST

1003).“

5.1.3 Inventory and mapping of forest

resources shall be established and

maintained, adequate to local and

national conditions and in correspondence

with the topics described in this

document.

YES

PEFC AT ST 1001, 5.1.1.1:

See in 5.1.1.1 above

PEFC AT ST 1001, 5.1.2.2:



1002. Note: All forests are covered by a national forest inventory (ÖWI) (§130) and subject a forestry development

plan (Waldentwicklungsplan) (§9). In case of group certification in natural growth regions the inventory and

mapping of forest resources are incorporated into the sustainability report that is based on the national forest

inventory (ÖWI) (see PEFC AT ST 1003).”

5.1.4 Management plans or their

equivalents, appropriate to the size and

use of the forest area, shall be elaborated

and periodically updated. They shall be

YES

PEFC AT ST 1001, 5.1.2.3:

“5.1.2.3 Management plans or their equivalents, appropriate to the size and use of the forest area, shall be




based on legislation as well as existing

land‐use plans, and adequately cover the

forest resources.


Note: All forests are covered by a forestry development plan (Waldentwicklungsplan), which is publicly available and

considered to be an equivalent to forest management plans. Access to and use of the forestry development plan at

the FMU level satisfies the requirement. In case of group certification in natural growth regions the inventory and


inventory (ÖWI) (see PEFC AT ST 1003).“


“The standard refers to different planning instruments which have their own periodicity. Thus, minimal intervals are given. Management plans are generally valid for max. 10 years. (see: https://noe.lko.at/waldwirtschaftsplan‐revision+2500+2118361). GIS‐based online tools for management plans (like the Praxisplan Waldwirtschaft) make it easier to update FM plans based on current situations and measures (see: http://www.waldverband.at/wp‐content/uploads/2015/07/Brosch%C3%BCre‐Praxisplan‐Waldwirtschaft.pdf). Forestry development plans (Waldbewirtschaftungspläne) are updated in 10 years intervals (See: http://www.naturgefahren.at/dam/jcr:788510e6‐178b‐4b79‐ bd13‐9276f54262f4/WEP%20Richtlinie_2012.pdf)

In addition, the periodicity is specified for the sustainability reports which are compulsory for PEFC FM certification

(PEFC AT ST 1004, 9.2.1.1. The periods are 5 years (if they are based on company data) and max. 10 years, if they are

based on the data of the Austrian forest inventory (see PEFC AT ST 1003, 4.2.3.2.1 and PEFC AT ST 1004, 9.3.2.1).”

5.1.5 Management plans or their

equivalents shall include at least a

description of the current condition of the

forest management unit, long‐term

objectives; and the average annual

allowable cut, including its justification

and, where relevant, the annually

allowable exploitation of non‐timber

forest products.

YES

PEFC AT ST 1001, 5.1.2.4:

“5.1.2.4 A forest management plan shall contain:










Note 1: In order to ensure sustainability of forest production and a balance between the growth and harvest, forest

owners/managers shall conform to requirements relating to the minimum age for a final harvest, obligations relating

to reforestation and maximum size of clear cuts as defined in the Forest Act.

Note 2: The exploitation of berries and mushrooms (as main non‐timber forest products) is regulated in the Austrian

Forestry Law. Further requirements see 5.3.2.1.“

PEFC AT ST 1001, 5.3.4.3.2:

“5.3.4.3.2 Final cutting of mature trees without complete advance regeneration, e.g. in order to promote trees

requiring light or the structuring of large, uniform forest stands, must not exceed the following dimensions:

a) Clearing without complete reforestation: 0.5 hectares. b) Clearing without complete reforestation at a width of 50

m: 2 hectares

c) Clearing without complete reforestation at a width up to 50 m: 600 m in length

Cases of b) und c) are subject to approval by forest authorities. More extensive removals are also permitted if

ecologically reasonable, but they have to be legitimate, documented and approved. Utilisation of non‐mature stands

is prohibited (see definition). For remaining mature trees see 5.4.1.2.9 and 5.4.2.1.”

Further clarification of PEFC Austria:

“The average cut is measured on group level (see PEFC AT ST 1001 5.1.2.1).

There are legal restrictions controlled by the authorities to prevent overcutting on plot level see PEFC AT ST 1001,

5.1.2.7) Plots can be very small, data single plot level are generally not available. Minimum age for a final harvest

(60 years) (see Forestry Act §80, 3). Reforestation within a limited period (see Forestry Act §13, PEFC AT ST 1001,

5.3.4.1.3). Restrictions of clearings (see Forestry Act §82, 1) 2); PEFC AT ST 1001, 5.3.4.3.2).”



PEFC AT ST 1001, 5.3.1:

“5.3.1 Timber increment and felling

5.3.1.1 The average volume of harvested timber shall not exceed the average increment in the assessment unit with

reference to a period of 10 years. Exceptions are made in the case of catastrophes and calamities as well as in other

legitimate exceptional cases.”

PEFC AT ST 1001, 5.3.2:

“5.3.2 Non‐wood products

5.3.2.1 It is permitted to collect 2 kg mushrooms and berries maximum each per day per person, provided that there

are no other regulations on the protection of forest fruits or the maintenance of forest health.

Note: Legal provisions see Forestry Act § 174.

5.3.2.2 Harvesting resin is only permitted at black pines, white pines and larches, provided that the maintenance of

the forest and its functions is not threatened. Other traditional utilisation of non‐wood products is to be limited to

an ecologically sound extent.

5.3.2.3 The marketing of non‐wood products, such as water, etc., may only take place in keeping with ecological

sustainability, any nature protection regulations in the area concerned, as well as the granting of all the required

permits from the authorities. In case that for the commercial use of certain non‐timber forest products, no legal

provisions exist, the forest owner/manager should take care of establishing and controlling corresponding

regulations.”

PEFC AT ST 1001, 5.3.3:

“5.3.3 Services

5.3.3.1 Marketable infrastructure services are only offered to an extent that sustainable forest management is not



threatened in ecological, economic or socioeconomic terms.”

5.1.6 A summary of the forest

management plan or its equivalent

appropriate to the scope and scale of

forest management, which contains

information about the forest management

measures to be applied, is publicly

available. The summary may exclude

confidential business and personal

information and other information made

confidential by national legislation or for

the protection of cultural sites or sensitive

natural resource features.

YES

PEFC AT ST 1001, 5.1.2.5:

“5.1.2.5 A summary of the forest management plan or its equivalent appropriate to the scope and scale of forest

management, which contains information about the forest management measures to be applied, is publicly

available. The summary may exclude confidential business and personal information and other information made

confidential by national legislation or for the protection of cultural sites or sensitive natural resource features.

Note: All forests are covered by the forestry development plan (Waldentwicklungsplan), which is is publicly available

and considered to be an equivalent to forest management plans. In case of the group certification in natural growth

regions a summary of the sustainability report (Regionenmerkblatt), is publicly available.“

5.1.7 Monitoring of forest resources and

evaluation of their management shall be

periodically performed, and results fed

back into the planning process.

YES

PEFC AT ST 1001, 5.1.2.1 ‐5.1.2.4:







Note 2: The Forestry Law includes requirements to ensure a permanent forest inventory and sustainable use of








1003).



1002.

Note: All forests are covered by a national forest inventory (ÖWI) (§130) and subject a forestry development plan

(Waldentwicklungsplan) (§9). In case of group certification in natural growth regions the inventory and mapping of

forest resources are incorporated into the sustainability report that is based on the national forest inventory (ÖWI)

(see PEFC AT ST 1003).

5.1.2.3 Management plans or their equivalents, appropriate to the size and use of the forest area, shall be



Note: All forests are covered by a forestry development plan (Waldentwicklungsplan), which is publicly available and

considered to be an equivalent to forest management plans. Access to and use of the forestry development plan at

the FMU level satisfies the requirement. In case of group certification in natural growth regions the inventory and


inventory (ÖWI) (see PEFC AT ST 1003).

5.1.2.4 A forest management plan shall contain:








.Note 1: In order to ensure sustainability of forest production and a balance between the growth and harvest, forest



owners/managers shall conform to requirements relating to the minimum age for a final harvest, obligations relating

to reforestation and maximum size of clear cuts as defined in the Forest Act.

Note 2: The exploitation of berries and mushrooms (as main non‐timber forest products) is regulated in the Austrian

Forestry Law. Further requirements see 5.3.2.1.“

5.1.8 Responsibilities for sustainable

forest management shall be clearly

defined and assigned.

YES

PEFC AT ST 1001, 4b:



…

b. Responsibilities for the sustainable forest management and compliance with this standard shall be defined

Note: In case of the group certification in natural growth regions PEFC AT ST 1003 defines responsibilities and

functions of different actors.“


“The requirement is clear and it also covers the assignment of the responsibilities. In the requirement in ST 1001

“defined” is used in the meaning of defined (in terms of areas of responsibility) and also assigned (in the meaning of

staffed). When the FM standard requires the FM owner/ manager to define responsibilities, it means that it also

needs to defined who is responsible. Therefore, the word assigned is also covered. In addition, for group certification

functions and responsibilities are more precisely defined in PEFC AT ST 1003, 4.2 and 4.3; particularly 4.2.3 a)

"...responsibilities are established and documented". For individual certification it is also clear that responsibilities

need to be defined and assigned, as it is described in PEFC AT ST 1004; 9.2.1.1 and 9.2.2.1.1 a) “Description of the

client organisation (structure, responsibilities,…)”.

5.1.9 Forest management practices shall

safeguard the quantity and quality of the

forest resources in the medium and long

term by balancing harvesting and growth

YES

PEFC AT ST 1001, 5.1.2.8:

“5.1.2.8 The forest inventory shall be kept on a level which is favourable regarding the forest community and the

targets of forest management considering a balanced proportion of development classes and a positive dynamic in



rates, and by preferring techniques that

minimise direct or indirect damage to

forest, soil or water resources.

regeneration. “

PEFC AT ST 1001, 5.2.1.1

“5.2.1.1 Forest management shall be conducted in a way that the functionality of the forest‐ecosystem and the

productivity of the site are maintained. Afforestation, tending and harvesting operations shall be carried out in time,

and in a way that does not reduce the productive capacity of the site. The allowable cut and the withdrawal of non‐

timber products shall not effect a decrease in productivity due to a reduction of the nutrient regime or other

negative impacts.”

PEFC AT ST 1001, 5.2.1.2

“5.2.1.2 Techniques should be preferred applied where possible that minimise direct or indirect damage to forest,

soil or water resources. In case of risks of degradation these should be considered in forest management planning

(forest management plans or their equivalents). Rehabilitation of degraded ecosystems, shall be considered if this is

possible by silvicultural means and economically viable.”

PEFC AT ST 1001, 5.2.3.3.1

“5.2.3.3.1 The proportion of stems damaged in the course of harvesting to the total number of stems is minimised.”

PEFC AT ST 1001, 5.2.3.3.2

“5.2.3.3.2 Hauling is carried out, in principle, taking best care of the stand, soil, water resources and ecological

conditions (notably threatened species). Only practices and systems are applied that correspond to modern forest

technology. Appropriate careful planning and control are necessary.”



5.1.10 Appropriate silvicultural measures

shall be taken to maintain or reach a level

of the growing stock that is economically,

ecologically and socially desirable.

YES

PEFC AT ST 1001, 5.1.2.7:

“5.1.2.7 Appropriate silvicultural measures shall be taken to reach and maintain a sustainable level of growing stock.

Note 1: Sustainable in consideration of economical, ecological and social aspects.

Note 2: Sustainable, multifunctional forest management is a basic requirement of the Austrian Forest Act. In order

to ensure sustainability of forest production, a balance between the growth and harvest, and a sustainable growing

stock, forest owners/managers shall conform to requirements relating to the minimum age for a final harvest,

obligations relating to reforestation and maximum size of clear cuts as defined in the Forest Act.“

PEFC AT ST 1001, 5.2.1.3:

“5.2.1.3 Assessing the possibility of tree components removal, which go beyond the ordinary in the cut‐to‐length or

stem extraction operation used parts (branches, twigs, needles / leaves, roots) is carried out by a multifactorial

process. The more factors apply listed below, the more likely it is a biomass limited:

o Shallow ground

o Soil with a high proportion of coarse (gravel, stones, blocks)

o Bedrock nutrient (e.g. granite, gneiss, quartzite, quartz phyllite, serpentine, very pure limestones and

dolomites)

o Historical forest uses (litter removal, pollarding)

o Low precipitation climate

o Relief: crest, upper slope, back, hummock

o Soil compaction: serious and / or soils influenced by tailwater

Note: When residual biomass is left in the forest, requirements regarding biotic threats need to be considered (see

5.4.1.2.9)”



PEFC AT ST 1001, 5.2.1.4:

“5.2.1.4 In a risk assessment derived from the site concerning biomass utilization, suitable measures to maintain the

productive capacity of the soil have to be taken, depending on the level of risk (in ascending order):

o branches with needles (leaves) left and / or

o treetop left and / or

o parts of the crown left and / or

o Full‐tree harvesting not for every use (mainly thinning) and / or

o Full‐tree harvesting not on the entire service area”

5.1.11 Conversion of forests to other

types of land use, including conversion of

primary forests to forest plantations, shall

not occur unless in justified circumstances

where the conversion:

a) is in compliance with national and regional policy and legislation relevant for land use and forest management and is a result of national or regional land‐use planning governed by a governmental or other official authority including consultation with materially and directly interested persons and organisations; and

b) entails a small proportion of forest type; and

YES

PEFC AT ST 1001, 5.1.1.3:

“5.1.1.3 Conversion of forests to other types of land use shall not occur unless in justified circumstances, for

example, in the case of legitimate public interest (including special issues concerning nature protection) where the

conversion:

a. is in compliance with national and regional policy and legislation relevant for land use and forest

management and is a result of national or regional land‐use planning governed by a governmental or other official

authority including consultation with materially and directly interested persons and organisations; and

b. entails a small proportion of forest type (this includes the consideration of prescribed compensation

measures by the public authority); and

c. does not have negative impacts on threatened (including vulnerable, rare or endangered) forest

ecosystems, culturally and socially significant areas, important habitats of threatened species or other protected

areas; and

d. makes a contribution to long‐term conservation, economic, and social benefits.



c) does not have negative impacts on threatened (including vulnerable, rare or endangered) forest ecosystems, culturally and socially significant areas, important habitats of threatened species or other protected areas; and

d) makes a contribution to long‐term conservation, economic, and social benefits.

e. however not in the case of forest biotopes, which are directly threatened with extinction or highly

endangered according to the “List of Endangered Species”

Note: Regarding any forest conversions the requirements included in the Forestry Act, including the registration are

relevant (see Austrian Forestry Act §17‐§19). The compensation measures prescribed by the Forestry Act provide

sufficient mechanism for regulation of the maximum size of any conversion. Conversions into forest plantations are

not eligible according Forestry Law. “

5.1.12 Conversion of abandoned

agricultural and treeless land into forest

land shall be taken into consideration,

whenever it can add economic, ecological,

social and/or cultural value.

YES

PEFC AT ST 1001, 5.1.1.2.:

“5.1.1.2 Afforestation and reforestation activities shall be evaluated considering economic, ecological, social and/or

cultural value aspects. In particular, the establishment and support of rare or endangered forest biotypes is viewed

positively or afforestation and reforestation activities that contribute to the improvement and restoration of

ecological connectivity. Afforestation must not be carried out on areas worth protecting from an environmental

expert point of view. Conversion of abandoned agricultural and treeless land into forest land should be taken into

consideration.

Note: Legal Provisions see Forestry Act §4.“

Criterion 2: Maintenance of forest ecosystem health and vitality


aim to maintain and increase the health

and vitality of forest ecosystems and to

rehabilitate degraded forest ecosystems,

whenever this is possible by silvicultural

means.

YES

PEFC AT ST 1001, 5.1.2.1:









Note 2:The Forestry Law includes requirements to ensure a permanent forest inventory and sustainable use of






1003).”

PEFC AT ST 1001, 5.1.2.1:





negative impacts.”

PEFC AT ST 1001, 5.2.1.2:






“The “increase” is regarding forest ecosystem health and vitality is covered. Within the Austrian Forest conditions,

the main if not only possibility to increase forest health and vitality is to increase forest biodiversity and the PEFC AT

ST 1001 explicitly requires to increase the biodiversity as well as it includes specific measures that result in the



enhancement of the biodiversity and thus health and vitality.

5.4.1.2.1 “Forest management planning shall aim to maintain and enhance biodiversity of ecosystems, and

particularly of species and genetic diversity.”

Furthermore, an improvement of the forest resources is required:

5.6.1.2 “Forest management practices shall maintain and improve the forest resources…”

Following these requirements as the requirements in 5.2 as such will affect an increase in the health and vitality.”

5.2.2 Health and vitality of forests shall be

periodically monitored, especially key

biotic and abiotic factors that potentially

affect health and vitality of forest

ecosystems, such as pests, diseases,

overgrazing and overstocking, fire, and

damage caused by climatic factors, air

pollutants or by forest management

operations.

YES

PEFC AT ST 1001, 5.1.2.1:





inventory while planning and performing forest management activities.”

PEFC AT ST 1001, 5.2.1.7:

“5.2.1.7 Air pollution affects the health of forests but can hardly be influenced by forest management (see

amelioration of forest soil). The effects are documented and interpreted with regard to feasible measures (see

5.2.3.1.1).”

PEFC AT ST 1001, 5.2.3.1.1:

“5.2.3.1.1 Abiotic factors shall be monitored. Forest management shall best possible counteract the negative

impacts of the abiotic factors, e.g. storm, snow and fire, which affect the sustainability of forest goods and services.”



PEFC AT ST 1001, 5.2.3.2.:

“5.2.3.2 Biotic factors

5.2.3.2.1 Biotic factors shall be monitored.

Note: PEFC AT ST 1002 (Criteria and Indicators for Assessing Sustainable Forest Management in Austria) provides a

framework for the monitoring of biotic factors.

5.2.3.2.2 Biotope and wildlife management as well as hunting have to be carried out in a way that does not threaten

the maintenance of the forest and its functions, and that promotes natural biodiversity.

5.2.3.2.3 Game stock shall be kept on a level that facilitates regeneration within an appropriate period of time, and

that does not threaten the mixture of tree species that is suited to the site conditions. The regeneration of tree

species which are considered to be typical for the site conditions should in principle be able to happen following the

natural potential. The game stock should be managed in a way that protection measures constitute an exception.

5.2.3.2.4 Grazing management is carried out respecting secured rights, socio‐economic and ecologic functions as

well as the objectives of sustainable forest management (see also 5.6.1).

Note: Legal provisions regarding grazing see Forestry Act § 37.”

PEFC Austria: “Note: The monitoring of the Austrian National Forest Inventory is conducted by the Federal Research

and Training Centre for Forests, Natural Hazards and Landscape (BFW), since 2016 on a continuous basis

https://bfw.ac.at/db/bfwcms.web?dok=10189

Website of the national forest inventory (ÖWI): https://bfw.ac.at/rz/wi.home”


“The monitoring of most abiotic/biotic factors has to be done on larger area to get meaningful data. The main

organization responsible for this kind of monitoring tasks is the BFW (Bundesforschungszentrum Wald). This is the

authority which has to periodically map the conditions of the forests (including abiotic and biotic factors and pests)

and compile the Austrian Forest inventory (see Forestry Act §130, 2).



Österreichische Waldinventur: http://bfw.ac.at/rz/wi.home

Data for the Austrian Inventory will be updated on a continuous basis (see:

https://www.bfw.ac.at/rz/bfwcms.web?dok=10106

For the sustainability reports which are compulsory for PEFC FM certification the periods are 5 years (if they are

based on company data) and max. 10 years, if they are based on the data of the Austrian forest inventory (see PEFC

AT ST 1003, 4.2.3.2.1; PEFC AT ST 1004, 9.3.2.1). The data for group certification are to a large extent based on the

data of the Austrian Forest Inventory which are provided by the BFW.

In PEFC AT ST 1002, which serves as basis for the sustainability report, the data source for every particular abiotic

and biotic indicator is defined. Generally, the periodicity of the particular indicators varies (e.g. monitoring of pests,

air pollutants,…); it need to be done specifically for each biotic or abiotic factor.

The state of the forest, including impact of abiotic/biotic factors, is also included in FM planning an it requires

periodic updating, see PEFC AT ST 1001, 5.1.2.3”.

5.2.3 The monitoring and maintaining of

health and vitality of forest ecosystems

shall take into consideration the effects of

naturally occurring fire, pests and other

disturbances.

YES

PEFC AT ST 1001, 5.2.3.1:

“5.2.3.1 Abiotic factors

5.2.3.1.1 Abiotic factors shall be monitored. Forest management shall best possible counteract the negative impacts

of the abiotic factors, e.g. storm, snow and fire, which affect the sustainability of forest goods and services.


framework for the monitoring of abiotic factors.

5.2.3.1.2 Lighting of fires shall be avoided and is except in dedicated areas, only allowed to the forest owner,

forestry‐, forest protection‐ and hunting‐authorities or persons with a permission of the forest owner.“

PEFC AT ST 1001, 5.2.3.2:






framework for the monitoring of biotic factors.









Note: Legal provisions regarding grazing see Forestry Act § 37.”

PEFC Austria: Note: Disturbances, like fire and pests, cannot be regarded as “natural” effects on large scale in forest

ecosystems in Austria (in contrast to forests in the boreal zone).

PEFC AT ST 1002, 5.1.2.3:

“5.1.2.3 Forest damage (A)

Subcriterion

Forest management shall ensure health and vitality of forests and rehabilitate degraded forest ecosystems.

Especially abiotic, biotic and anthropogenic factors that affect health and vitality are to be monitored.

Description

Following influences on health and vitality are considered in this subcriterion:



Abiotic factors:

• Storm (blowdowns, stem und tree crown damage)

• Snow (incl. avalanches, snow damage, glazed frost)

• Fire (forest fires, lightning stroke)

• Rockfall

• Mud flow

Biotic factors:

• Insects

• Phytopathogenic causes

• Game

• Grazing stock

Anthropogenic factors:

• Forest management (e.g. harvesting damages)

• Deposits of airborne pollutants”

5.2.4 Forest management plans or their

equivalents shall specify ways and means

to minimise the risk of degradation of and

damages to forest ecosystems. Forest

management planning shall make use of

those policy instruments set up to support

these activities.

YES

PEFC AT ST 1001, 5.1.2.3:

“5.1.2.3 Management plans or their equivalents, appropriate to the size and use of the forest area, shall be


adequately cover the forest resources.”

PEFC AT ST 1001, 5.2.1.1:







negative impacts. “

PEFC AT ST 1001, 5.2.1.2:





PEFC Austria: Note: The Austrian Forest Act specifies requirements relating to the minimum age for a final harvest,

the maximum size of clear cuts and obligations relating to reforestation.


make best use of natural structures and

processes and use preventive biological

measures wherever and as far as

economically feasible to maintain and

enhance the health and vitality of forests.

Adequate genetic, species and structural

diversity shall be encouraged and/or

maintained to enhance the stability,

vitality and resistance capacity of the

forests to adverse environmental factors

and strengthen natural regulation

mechanisms.

YES

PEFC AT ST 1001, 5.2.3.3.6:

“5.2.3.3.6 Biological, mechanical and physical measures are to be preferred to chemical ones. Wherever possible,

natural processes and structures should be considered especially preventive biological measures. Exclusively

permitted pesticides and insecticides are used, with due consideration of proper application and complying with the

health and safety regulations for workers.”

Note: Legal provisions regarding forestry pests and use of pesticides see Forestry Act §43‐46)

PEFC AT ST 1001, 5.4.1.1:

“5.3.4.1.1 Natural regeneration should be preferred; if thereby the intended target of regeneration can be met.”

PEFC AT ST 1001, 5.4.1.2.1:

“5.4.1.2.1 Forest management planning shall aim to maintain and enhance biodiversity of ecosystems, and

particularly of species and genetic diversity.”



PEFC AT ST 1001, 5.4.1.2.2:

“5.4.1.2.2 Forest management practices shall, where appropriate, maintain and enhance a diversity of structures

and species as well as diversity at landscape level.”

5.2.6 Lighting of fires shall be avoided and

is only permitted if it is necessary for the

achievement of the management goals of

the forest management unit.

YES

PEFC AT ST 1001, 5.2.3.1.2:

“5.2.3.1.2 Lighting of fires shall be avoided and is except in dedicated areas, only allowed to the forest owner,

forestry‐, forest protection‐ and hunting‐authorities or persons with a permission of the forest owner.

Note: Legal provisions see Forestry Act §40, § 41“


“This aspect is covered in the Forestry Act (§40, § 41), also mentioned under PEFC ST 1001, 5.2.3.1.2. The legal

provisions even exceed the PEFC requirement referring to the „achievement of management goals“:

§40. (1) Lightning of fires and throwing away of burning objects is generally forbidden in forests

§40. (2) Defines persons who are exceptionally allowed to light fires

§40. (3) Defines exceptions for recreational areas subject to the approval of authorities

§40. (4) Defines the cases where lightning of fires can be applied for certain FM practices. Those cases are necessary

for achieving certain management goals.”

5.2.7 Appropriate forest management

practices such as reforestation and

afforestation with tree species and

provenances that are suited to the site

conditions or the use of tending,

harvesting and transport techniques that

minimise tree and/or soil damages shall

YES

PEFC AT ST 1001, 5.2.1.8:

“5.2.1.8 Passing with machinery over soil in forests has to be in principle omitted. In drivable terrain a permanent

infrastructure of logging trails should be established, for ensuring that forest operations have a low impact on forest

and soil. Leaving logging trails should be avoided even in clear‐cuts and processing damaged wood. Especially for

highly mechanized harvesting operations the distance between new created logging trails should be in principle 20

m. When using logging trails, it should be paid attention to keep them permanently useable (especially through the



be applied. The spillage of oil during forest

management operations or the

indiscriminate disposal of waste on forest

land shall be strictly avoided. Non‐organic

waste and litter shall be avoided,

collected, stored in designated areas and

removed in an environmentally‐

responsible manner.

utilization of suitable machinery / tyres, considering weather effects, using layers of brush‐wood,…).“

PEFC AT ST 1001, 5.2.3.3.3:

“5.2.3.3.3 For greasing chain saws, exclusively biodegradable lubricants are used.“

PEFC AT ST 1001, 5.2.3.3.4:

“5.2.3.3.4 Forestry machinery is principally operated with readily‐biodegradable hydraulic oils. Evidence of

biodegradation must be provided.“

PEFC AT ST 1001, 5.2.3.3.5:

“5.2.3.3.5 To minimize loss of fuel closed fueling systems have to be used where possible. In addition, an oil binding

agent system for a loss of at least 10 liters at a forest machinery use needs to be kept.“

PEFC AT ST 1001, 5.2.3.3.12:

“5.2.3.3.12 Forest devastation and the indiscriminate disposal of waste shall be pursued based on the legal

provisions. In designated areas for recreational purposes (camping sites, barbecue sites, or the like) shall be taken

care of an environmentally‐responsible disposal of waste.

Note: Legal provisions see Forestry Act §16, § 172, § 174.“

PEFC AT ST 1001, 5.3.4.1:

“5.3.4.1 Regeneration (see also 5.4.1.1)



5.3.4.1.1 Natural regeneration should be preferred; if thereby the intended target of regeneration can be met.

5.3.4.1.2 In the case of tree planting and seeding, appropriate plants and seeds, in adherence with the

recommendations of provenances that are suited to the site conditions, are used. Negative impacts regarding the

genetic integrity of native species and local provenances shall be avoided. The provenance of plants and seeds has to

be proved, when they are put into circulation.

5.3.4.1.3 In principle, reforestation is carried out within a period of 5 years in case of planting, natural regeneration

takes place within 10 years, in protection forests reforestation/regeneration does not exceed a period of 15 years in

justified exceptional cases.

Note: Legal provisions regarding regeneration see Forestry Act §13.

5.3.4.1.4 For the selection of tree species and provenances future changed climatic conditions need to be

considered.“

PEFC AT ST 1001, 5.3.4.2.1:

“5.3.4.2.1 In young growth and thickets existing tending arrears are to be reduced promoting ecologically important

mixed forest stands, if possible. In pole forests thinning remains are to be reduced applying appropriate methods

(e.g. crown thinning), if possible. In mature stands appropriate utilisation methods are to be applied. Thereby, dead

wood is left if no comprehensible danger is given.“

PEFC AT ST 1001, 5.3.4.3.1:

“5.3.4.3.1 The aim of silvicultural operations is to establish the best possible conditions for the forest as a

sustainable economic factor. All such operations have to consider the natural conditions of the site. Those utilisation

methods are chosen, which ensure the sustainability of forest goods and services.“



PEFC AT ST 1001, 5.4.1.1:


5.4.1.1.1 For regeneration under consideration of 5.3.4.1.1 und 5.3.4.1.2, natural regeneration is to be preferred. If

the natural forest community is not sufficiently represented in the old‐growth forest, suitable plants shall be used

for reforestation.

5.4.1.1.2 Structural diversity shall be encouraged and/or maintained to enhance the stability, vitality and resistance

capacity of the forests to strengthen natural regulation mechanisms and the resilience against environmental

factors.

5.4.1.1.3 For producing high value timber on ecologically stable sites it might be reasonable to choose propagation

material which, due to their genetic characteristics, have better characteristics with regard to growth, form and

timber; threats to ecological resources are to be avoided.“


“This requirement covers several aspects. Whereby waste disposal in the forest is forbidden (Forest Act § 16), an

environmentally‐responsible disposal of waste is required by the standard (“based on legal provisions” PEFC AT ST

1001, 5.2.3.3.12). The act regarding treatment of waste (Abfallwirtschaftsgesetz) requires a separation and

professional disposal of waste (oil, tyres, machinery, etc.). Abfallwirtschaftsgesetz:

https://www.ris.bka.gv.at/GeltendeFassung.wxe?Abfrage=Bundesnormen&Gesetzesnummer=20002086”.

5.2.8 The use of pesticides shall be

minimised and appropriate silvicultural

alternatives and other biological measures

preferred.

YES

PEFC AT ST 1001, 5.2.3.3.6:




health and safety regulations for workers.

Note: Legal provisions regarding forestry pests and use of pesticides see Forestry Act §43‐46)“.




“The aspect of minimisation is included in that sentence, because the purpose of the preference for alternative and

biological methods is to minimise the use of pesticides.

Although the ‘minimised pesticide use’ is not explicitly mentioned, it is implicitly included as it is a clear result from

the requirement 5.2.3.3.6: Primarily biological, mechanical and physical measures should be applied, particularly

preventive biological ones. It was consciously chosen to use an active/positive formulation – what should the forest

owner do, instead of choosing a negative one (‘minimize the use of pesticides’).

In addition, also legal restrictions need to be considered. Forestry Act § 46 requires that

1) only pesticides, registered in the pesticides register according pesticides law may be used.

2) the EU REGULATION (EC) No 1107/2009 concerning the placing of plant protection products on the market...

needs to be applied.”

5.2.9 The WHO Type 1A and 1B pesticides

and other highly toxic pesticides shall be

prohibited, except where no other viable

alternative is available.

YES

PEFC AT ST 1001, 5.2.3.3.7:

“5.2.3.3.7 The WHO Type 1A and 1B pesticides and other highly toxic pesticides are prohibited, except where no

other viable alternative is available.

Note: In case exceptions are defined, they are published on PEFC Austria's website.“

5.2.10 Pesticides, such as chlorinated

hydrocarbons whose derivates remain

biologically active and accumulate in the

food chain beyond their intended use, and

any pesticides banned by international

agreement, shall be prohibited.

YES

PEFC AT ST 1001, 5.2.3.3.8:

“5.2.3.3.8 Pesticides, such as chlorinated hydrocarbons whose derivates remain biologically active and accumulate in

the food chain beyond their intended use, and any pesticides banned by international agreement, shall be

prohibited.“

5.2.11 The use of pesticides shall follow

the instructions given by the pesticide

producer and be implemented with

proper equipment and training.

YES

PEFC AT ST 1001, 5.2.3.3.6:






health and safety regulations for workers.

Note: Legal provisions regarding forestry pests and use of pesticides see Forestry Act §43‐46)“

PEFC AT ST 1001, 5.2.3.3.9:

“5.2.3.3.9 The use of pesticides shall follow the instructions given by the pesticide producer and be implemented

with proper equipment and training.”

5.2.12 Where fertilisers are used, they

shall be applied in a controlled manner

and with due consideration for the

environment.

YES

PEFC AT ST 1001, 5.2.1.5:

“5.2.1.5 In principle, fertilising for the only purpose of increasing timber increment is omitted. Permitted fertilisers

or soil additives are exclusively used controlled and in consideration of environmental impacts to support natural

forest development (e.g. initial fertilisation in connection with reforestation) or to ameliorate sites, in order to

stabilise the ecosystem.“

Criterion 3: Maintenance and encouragement of productive functions of forests (wood and non‐wood)


aim to maintain the capability of forests to

produce a range of wood and non‐wood

forest products and services on a

sustainable basis.

YES

PEFC AT ST 1001, 5.1.2.8:

“5.1.2.8 The forest inventory shall be kept on a level which is favourable regarding the forest community and the

targets of forest management considering a balanced proportion of development classes and a positive dynamic in

regeneration.“

PEFC AT ST 1001, 5.2.1.3:




o Shallow ground





dolomites)






5.4.1.2.9)”

PEFC AT ST 1001, 5.2.1.4:







o Full‐tree harvesting not on the entire service area”

PEFC AT ST 1001, 5.3.1.1:

“5.3.1.1 The average volume of harvested timber shall not exceed the average increment in the assessment unit



with reference to a period of 10 years. Exceptions are made in the case of catastrophes and calamities as well as in

other legitimate exceptional cases.”

PEFC AT ST 1001, 5.3.4.3.1:



methods are chosen, which ensure the sustainability of forest goods and services.”

PEFC AT ST 1001, 5.6.1.1:

“5.6.1.1 Forest management shall aim to respect the multiple functions of forests to society, give due regard to the

role of forestry in rural development, and especially consider new opportunities for employment in connection with

the socio‐economic functions of forests.

Note: The stimulation of rural development could be achieved by training and employment of local people, a

preference for the local processing of timber and non‐wood forest products, etc.”

PEFC AT ST 1001, 5.6.1.2:

“5.6.1.2 Forest management practices shall maintain and improve the forest resources and encourage a diversified

output of goods and services over the long term.”


aim to achieve sound economic

performance taking into account any

available market studies and possibilities

for new markets and economic activities

in connection with all relevant goods and

YES

PEFC AT ST 1001, 5.6.1.5:

“5.6.1.5 Forest management shall aim to achieve sound economic performance through an optimum use of forest

products. Therefore, studies and possibilities for new markets and economic activities in connection with all relevant

goods and services of forests shall be considered.

Note 1: Relevant information are for instance provided through interest groups, cooperatives or group



services of forests. organisations.“

5.3.3 Forest management plans or their

equivalents shall take into account the

different uses or functions of the managed

forest area. Forest management planning

shall make use of those policy instruments

set up to support the production of

commercial and non‐commercial forest

goods and services.

YES

PEFC AT ST 1001, 5.1.1.1:

“5.1.1.1 Forest management planning shall aim to maintain or increase forests and other wooded areas as well as

the productive capacity, resilience and resistance and enhance the quality of the economic, ecological, cultural and

social values of forest resources, including soil and water. Forest management plans or their equivalents shall take

into account the different uses or functions of the managed forest area. This shall be done by making full use of

related services and tools that support land‐use planning and nature conservation.”

PEFC AT ST 1001, 5.6.1.2:


output of goods and services over the long term.”

PEFC AT ST 1001, 5.6.1.3:

“5.6.1.3 Forest management shall promote the long‐term health and well‐being of communities within or adjacent

to the forest management area. Forestry, sawmilling and wood working industry should maintain and increase the

social and economic welfare of owners and employees in the long term. With their know‐how and skills, employees

are an important success factor. Due consideration of their interests as well as integration and further development

of their know‐how and skills for operational procedures serve sustainable management.”

PEFC AT ST 1001, 5.6.1.4:

“5.6.1.4 New opportunities for employment in connection with the socio‐economic functions of forests shall be

considered. Workforce should be employed the whole year.

Note: A social employment policy is an integral part of comprehensive sustainability in certified holdings of the

forest industry. Sustainable forest management offers income possibilities for a lot of own employees in the forest,



sawmill and woodworking industries. Certified enterprises in forestry industry consider the offer of regional

employees and entrepreneurs.”

PEFC AT ST 1001, 5.6.1.5:





organisations.”


maintain and improve the forest resources

and encourage a diversified output of

goods and services over the long term.

YES

PEFC AT ST 1001, 5.6.1.2:


output of goods and services over the long term.“

5.3.5 Regeneration, tending and

harvesting operations shall be carried out

in time, and in a way that does not reduce

the productive capacity of the site, for

example by avoiding damage to retained

stands and trees as well as to the forest

soil, and by using appropriate systems.

YES

PEFC AT ST 1001, 5.2.1:





negative impacts.

5.2.1.2 Techniques should be preferred applied where possible that minimise direct or indirect damage to forest, soil

or water resources. In case of risks of degradation these should be considered in forest management planning


possible by silvicultural means and economically viable.

...“



PEFC AT ST 1001, 5.2.3.3:

“…

5.2.3.3.2 Hauling is carried out, in principle, taking best care of the stand, soil, water resources and ecological


technology. Appropriate careful planning and control are necessary.

…“

PEFC AT ST 1001, 5.3.4.1.3:

“5.3.4.1.3 In principle, reforestation is carried out within a period of 5 years in case of planting, natural regeneration


justified exceptional cases.“

PEFC AT ST 1001, 5.3.4.2.1:

“5.3.4.2.1 In young growth and thickets existing tending arrears are to be reduced promoting ecologically important

mixed forest stands, if possible. In pole forests thinning remains are to be reduced applying appropriate methods

(e.g. crown thinning), if possible. In mature stands appropriate utilisation methods are to be applied. Thereby, dead

wood is left if no comprehensible danger is given.“

5.3.6 Harvesting levels of both wood and

non‐wood forest products shall not

exceed a rate that can be sustained in the

long term, and optimum use shall be

made of the harvested forest products,

with due regard to nutrient off‐take.

YES

PEFC AT ST 1001, 5.2.1.1:





negative impacts.“



PEFC AT ST 1001, 5.6.1.5:





organisations.“

5.3.7 Where it is the responsibility of the

forest owner/manager and included in

forest management, the exploitation of

non‐timber forest products, including

hunting and fishing, shall be regulated,

monitored and controlled.

YES

PEFC AT ST 1001, 5.3.2.1:

“5.3.2.1 It is permitted to collect 2 kg mushrooms and berries maximum each per day per person, provided that

there are no other regulations on the protection of forest fruits or the maintenance of forest health.

Note: Legal provisions see Forestry Act § 174.“

PEFC AT ST 1001, 5.3.2.3:

“5.3.2.3 The marketing of non‐wood products, such as water, etc., may only take place in keeping with ecological

sustainability, any nature protection regulations in the area concerned, as well as the granting of all the required

permits from the authorities. In case that for the commercial use of certain non‐timber forest products, no legal

provisions exist, the forest owner/manager should take care of establishing and controlling corresponding

regulations.“

PEFC Austria: Note: In Austria hunting and fishing is regulated, monitored and controlled by the state.

PEFC AT ST 1001, 5.3.2.2:

“5.3.2.2 Harvesting resin is only permitted at black pines, white pines and larches, provided that the maintenance of

the forest and its functions is not threatened. Other traditional utilisation of non‐wood products is to be limited to



an ecologically sound extent.”

5.3.8 Adequate infrastructure such as

roads, skid tracks or bridges shall be

planned, established and maintained to

ensure efficient delivery of goods and

services while minimising negative

impacts on the environment.

YES

PEFC AT ST 1001, 5.3.4.4:

“5.3.4.4 Roads

5.3.4.4.1 The density of access roads should be oriented to the type of silvicultural operations and the structure of

the forest property. Planning and construction of infrastructure for forestry shall be conducted in a way that

minimises impacts on forest ecosystems and takes into consideration following aspects: necessity of access,

alternative transport methods (e.g. cables), low utilization of surface area, ecological aspects (sensible forest

ecosystems, taking into account threatened, or key species, in particular their migration patterns), landscape

compatibility and non‐destructive construction methods.

Note: Improving forest accessibility by roads (definition) is a prerequisite for sustainable forest management and

modern, humane working conditions. However, this does involve interventions in nature. In order to minimize the

ecological disadvantages, the type of forest access road has to be chosen under careful consideration of the natural

biotope.

5.3.4.4.2 Construction of roads, bridges and other infrastructure shall be carried out in a manner that minimises

bare soil exposure, avoids the introduction of soil into watercourses and preserves the natural level and function of

water courses and river beds. Proper road drainage facilities shall be installed and maintained. Any damage shall be

repaired after the road has been built. Seepage water from slopes is to be considered, marked trails are to be

incorporated and slopes, in principle, are to be left to regain naturally their plant cover. If this is not the case after an

appropriate period of time, the plant cover has to be re‐established in a way as close‐to‐nature as possible.

Note: Legal provisions see Forestry Act chapt. V (Bringung).“

PEFC AT ST 1002, 5.1.3.5:

“5.1.3.5 Management practices (A)

Subcriterion



Regeneration, tending and harvesting operations shall be carried out in time and in a way that does not reduce the

productive capacity of the site.

Description

Adequate infrastructure, such as roads, skid tracks or bridges, shall be planned, established and maintained to

ensure efficient delivery of goods and services while at the same time minimising negative impacts on the

environment.

With due regard to management objectives, measures shall be taken to balance the pressure of animal populations

and grazing on forest regeneration and growth as well as on biodiversity.”

Criterion 4: Maintenance, conservation and appropriate enhancement of biological diversity in forest ecosystems


aim to maintain, conserve and enhance

biodiversity on ecosystem, species and

genetic levels and, where appropriate,

diversity at landscape level.

YES

PEFC AT ST 1001, 5.4.1.2.1:

“5.4.1.2.1 Forest management planning shall aim to maintain and enhance biodiversity of ecosystems, and

particularly of species and genetic diversity.“

PEFC AT ST 1001, 5.4.1.2.2:


and species as well as diversity at landscape level.“

PEFC AT ST 1001, 5.4.3.1:

“5.4.3.1 Those genetic pools, which are defined by the Austrian Federal Research and Training Centre for Forests,

Natural Hazards and Landscape (BFW), should be maintained and appropriately considered by forest management.

Forest management in genetic pools (see definitions) aims to pass on or further develop genetic information of tree

and shrub populations by the means of natural regeneration.“



5.4.2 Forest management planning,

inventory and mapping of forest resources

shall identify, protect and/or conserve

ecologically important forest areas

containing significant concentrations of:

a) protected, rare, sensitive or representative forest ecosystems such as riparian areas and wetland biotopes;

b) areas containing endemic species and habitats of threatened species, as defined in recognised reference lists;

c) endangered or protected genetic in situ resources;

and taking into account

d) globally, regionally and nationally significant large landscape areas with natural distribution and abundance of naturally occurring species.

YES

PEFC AT ST 1001, 5.4.1.2.9:

“5.4.1.2.9 Dead wood and small features, have to be maintained, if possible, and their emergence supported, in

order to maintain and enhance biodiversity and diversity at landscape level taking into account the potential effect

on the health and stability of forests and on surrounding ecosystems. This comprises, for example:

a. Old individual trees and rare tree species are maintained, if possible, as are stands and groups of old‐

growth trees.

b. Single dying trees or individual trees damaged by abiotic factors especially with bigger diameters are left in

the forest. When harvesting dead (biotope) wood is left on site. Exceptions are made in cases of comprehensible

reasons for not leaving them.

c. Residual biomass is left in the forest, provided that it is permitted by the legally relevant conditions

referring to biotic threats or the removal is not necessary for the maintenance of rare species or their habitats.

d. Shrubs and rare tree species are to be maintained and promoted when regenerating, tending and thinning

forests.

e. Forest edges are to be maintained and enhanced with regard to their structural and biological diversity.

f. Small features, like rocks or wet sites, have to be maintained, if possible.“

PEFC AT ST 1001, 5.4.3.1:

“5.4.3.1 Those genetic pools, which are defined by the Austrian Federal Research and Training Centre for Forests,

Natural Hazards and Landscape (BFW), should be maintained and appropriately considered by forest management.

Forest management in genetic pools (see definitions) aims to pass on or further develop genetic information of tree

and shrub populations by the means of natural regeneration.“

PEFC AT ST 1001, 5.4.4.1:



“5.4.4.1 In natural forest reserves any kind of immediate influence shall be omitted.

Note: Defined natural forest reserves support the natural development of forest ecosystems and the maintenance of

biological diversity. Natural forest reserves are established on the basis of private contracts between the forest

owners, or entitled users, and the Republic of Austria. Natural forest reserves are documented.“

PEFC AT ST 1001, 5.4.4.2:

“5.4.4.2 Designated nature protection areas and all other legally protected zones, such as Natura 2000 reserves,

national parks or nature reserves, as well as rare, sensible, protected forests,

a. for example, riparian areas and wetland biotopes according to the "list of endangered areas" of forest

biotopes in Austria

b. containing endemic species and habitats of threatened species, according to the "list of endangered areas"

or endangered or protected genetic in situ resources

c. globally, nationally or regionally significant large landscape areas with natural distribution and abundance

of naturally occurring species.

are to be documented and mapped. Forest management shall follow the legal stipulations. Existing regulations,

agreements and conditions are complied with. The “good condition” of forest habitats included in the coherent

European Nature 2000 network according to the Birds and Habitats Directives shall be maintained or enhanced.

Remnants of virgin forests shall not be managed. Suitable protection and management measures for forests of the

endangered classes I and II according to the "list of endangered types of forest biotopes," are viewed positively.

Note 1: Legal provisions see Forestry Act § 32a.

Note 2: Access to and use of a publicly available plans (e.g. forestry development plan, plans regarding NATURA‐

2000 areas, etc.) or similarly satisfies the requirement.“

PEFC Austria: Note: Nature protection areas and other protected zones, such as Natura 2000 reserves, national parks

or nature reserves, are designated by law and are subject to control by authorities.



5.4.3 Protected and endangered plant and

animal species shall not be exploited for

commercial purposes. Where necessary,

measures shall be taken for their

protection and, where relevant, to

increase their population.

YES

PEFC AT ST 1001, 5.4.2:

“5.4.2 Endangered species and biotopes

5.4.2.1 Forest management takes into consideration the maintenance of natural communities of species as well as a

sustainable use with regard to hunting, notably sites of special significance for wildlife (shelters for the winter,

nesting trees, groups of old trees, capercaillie biotopes).

5.4.2.2 Known populations of threatened or protected species shall not be exploited for commercial purposes and

not further threatened in their survival by forest management operations. Thereby, also former indigenous

predators should be considered.

5.4.2.3 Wherever possible, old or dead wood should be promoted, or as appropriate other measures taken, which

are suitable to protect or to increase the population of protected and endangered plant and animal species.“

5.4.4 Forest management shall ensure

successful regeneration through natural

regeneration or, where not appropriate,

planting that is adequate to ensure the

quantity and quality of the forest

resources.

YES

PEFC AT ST 1001, 5.3.4.1.1:

“5.3.4.1.1 Natural regeneration should be preferred; if thereby the intended target of regeneration can be met.“

PEFC AT ST 1001, 5.4.1.1:




for reforestation.



factors.






PEFC AT ST 1001, 5.4.2.1:

“5.4.2.1 Forest management takes into consideration the maintenance of natural communities of species as well as

a sustainable use with regard to hunting, notably sites of special significance for wildlife (shelters for the winter,

nesting trees, groups of old trees, capercaillie biotopes).“

5.4.5 For reforestation and afforestation,

origins of native species and local

provenances that are well‐adapted to site

conditions shall be preferred, where

appropriate. Only those introduced

species, provenances or varieties shall be

used whose impacts on the ecosystem

and on the genetic integrity of native

species and local provenances have been

evaluated, and if negative impacts can be

avoided or minimised.

YES

PEFC AT ST 1001, 5.3.4.1:


5.3.4.1.1 Natural regeneration should be preferred; if thereby the intended target of regeneration can be met.

5.3.4.1.2 In the case of tree planting and seeding, appropriate plants and seeds, in adherence with the

recommendations of provenances that are suited to the site conditions, are used. Negative impacts regarding the

genetic integrity of native species and local provenances shall be avoided. The provenance of plants and seeds has to

be proved, when they are put into circulation.

5.3.4.1.3 In principle, reforestation is carried out within a period of 5 years in case of planting, natural regeneration


justified exceptional cases.

Note: Legal provisions regarding regeneration see Forestry Act §13.

5.3.4.1.4 For the selection of tree species and provenances future changed climatic conditions need to be

considered.“

PEFC AT ST 1001, 5.4.1.1:






for reforestation.



factors.




PEFC AT ST 1001, 5.4.1.2:

“5.4.1.2 Tree species, forest structure, naturalness

5.4.1.2.1 Forest management planning shall aim to maintain and enhance biodiversity of ecosystems, and

particularly of species and genetic diversity.

5.4.1.2.2 Forest management practices shall, where appropriate, maintain and enhance a diversity of structures and

species as well as diversity at landscape level.

5.4.1.2.3 When establishing and tending (thinning) forests it shall be aimed at mixed stands, orientated at the

respective natural forest community, which fulfil the corresponding requirements and functions.

5.4.1.2.4 In principle, non‐indigenous species should not be planted, especially not on ecologically valuable sites. If

indigenous tree species are endangered, or have significantly lower yields that would be expected from non‐

indigenous "neophytes," then the latter may be used in exceptional cases based on an evaluation. In this case, mixed

stands with indigenous species are desirable. Negative impacts shall be avoided.

Note: In course of the evaluation it shall be assessed, if the planting of the species is permitted according to the

Forestry Act.



5.4.1.2.5 Invasive species shall be treated according to the legal provisions.

5.4.1.2.6 If the naturalness of an assessment unit is so low that sustainability is threatened, measures are intensified

towards a higher degree of naturalness.

5.4.1.2.7 The percentage of forest areas, which are classified as natural or close‐to‐nature according to the

respective natural study, is maintained or increased. The proportion of forests, which are classified as artificial or

strongly altered, is reduced.

5.4.1.2.8 Traditional management systems that have created on appropriate sites rare forest ecosystems, such as

coppice, shall be supported, when economically feasible.

5.4.1.2.9 Dead wood and small features, have to be maintained, if possible, and their emergence supported, in order

to maintain and enhance biodiversity and diversity at landscape level taking into account the potential effect on the

health and stability of forests and on surrounding ecosystems. This comprises, for example:


growth trees.







forests.





PEFC AT ST 1001, 5.4.2.1:

“5.4.2.1 Forest management takes into consideration the maintenance of natural communities of species as well as

a sustainable use with regard to hunting, notably sites of special significance for wildlife (shelters for the winter,

nesting trees, groups of old trees, capercaillie biotopes).“

5.4.6 Afforestation and reforestation

activities that contribute to the

improvement and restoration of

ecological connectivity shall be promoted.

YES

PEFC AT ST 1001, 5.1.1.2:

“5.1.1.2 Afforestation and reforestation activities shall be evaluated considering economic, ecological, social and/or

cultural value aspects. In particular, the establishment and support of rare or endangered forest biotypes is viewed

positively or afforestation and reforestation activities that contribute to the improvement and restoration of

ecological connectivity. Afforestation must not be carried out on areas worth protecting from an environmental

expert point of view. Conversion of abandoned agricultural and treeless land into forest land should be taken into

consideration.

Note: Legal Provisions see Forestry Act §4.“

5.4.7 Genetically‐modified trees shall not

be used. YES

PEFC AT ST 1001, 5.4.3.2:

“5.4.3.2 No genetically manipulated seeds and plants are used.“

5.4.8 Forest management practices shall,

where appropriate, promote a diversity of

both horizontal and vertical structures

such as uneven‐aged stands and the

diversity of species such as mixed stands.

Where appropriate, the practices shall

also aim to maintain and restore

landscape diversity.

YES

PEFC AT ST 1001, 5.4.1.2:

“5.4.1.2 Tree species, forest structure, naturalness

5.4.1.2.1 Forest management planning shall aim to maintain and enhance biodiversity of ecosystems, and

particularly of species and genetic diversity.

5.4.1.2.2 Forest management practices shall, where appropriate, maintain and enhance a diversity of structures and

species as well as diversity at landscape level.

5.4.1.2.3 When establishing and tending (thinning) forests it shall be aimed at mixed stands, orientated at the

respective natural forest community, which fulfil the corresponding requirements and functions.

5.4.1.2.4 In principle, non‐indigenous species should not be planted, especially not on ecologically valuable sites. If



indigenous tree species are endangered, or have significantly lower yields that would be expected from non‐

indigenous "neophytes," then the latter may be used in exceptional cases based on an evaluation. In this case, mixed

stands with indigenous species are desirable. Negative impacts shall be avoided.

Note: In course of the evaluation it shall be assessed, if the planting of the species is permitted according to the

Forestry Act.

5.4.1.2.5 Invasive species shall be treated according to the legal provisions.

5.4.1.2.6 If the naturalness of an assessment unit is so low that sustainability is threatened, measures are intensified

towards a higher degree of naturalness.

5.4.1.2.7 The percentage of forest areas, which are classified as natural or close‐to‐nature according to the

respective natural study, is maintained or increased. The proportion of forests, which are classified as artificial or

strongly altered, is reduced.

5.4.1.2.8 Traditional management systems that have created on appropriate sites rare forest ecosystems, such as

coppice, shall be supported, when economically feasible.

5.4.1.2.9 Dead wood and small features, have to be maintained, if possible, and their emergence supported, in order

to maintain and enhance biodiversity and diversity at landscape level taking into account the potential effect on the

health and stability of forests and on surrounding ecosystems. This comprises, for example:


growth trees.









forests.



5.4.9 Traditional management systems

that have created valuable ecosystems,

such as coppice, on appropriate sites shall

be supported, when economically

feasible.

YES

PEFC AT ST 1001, 5.4.1.2.8:

“5.4.1.2.8 Traditional management systems that have created on appropriate sites rare forest ecosystems, such as

coppice, shall be supported, when economically feasible.“

5.4.10 Tending and harvesting operations

shall be conducted in a way that does not

cause lasting damage to ecosystems.

Wherever possible, practical measures

shall be taken to improve or maintain

biological diversity.

YES

PEFC AT ST 1001, 5.2.1.1:





negative impacts.“

PEFC AT ST 1001, 5.2.1.3:




o Shallow ground



dolomites)








5.4.1.2.9)“

PEFC AT ST 1001, 5.2.1.4:







o Full‐tree harvesting not on the entire service area“

PEFC AT ST 1001, 5.2.3.3.1:

“5.2.3.3.1 The proportion of stems damaged in the course of harvesting to the total number of stems is minimised.“

PEFC AT ST 1001, 5.2.3.3.2:

“5.2.3.3.2 Hauling is carried out, in principle, taking best care of the stand, soil, water resources and ecological




technology. Appropriate careful planning and control are necessary.“

PEFC AT ST 1001, 5.4.1.2.2:


and species as well as diversity at landscape level.“

PEFC AT ST 1001, 5.4.1.2.9:





growth trees.







forests.





5.4.11 Infrastructure shall be planned and

constructed in a way that minimises

damage to ecosystems, especially to rare,

sensitive or representative ecosystems

and genetic reserves, and that takes

threatened or other key species – in

particular their migration patterns – into

consideration.

YES

PEFC AT ST 1001, 5.3.4.4.1:

“5.3.4.4.1 The density of access roads should be oriented to the type of silvicultural operations and the structure of









biotope.”

PEFC AT ST 1001, 5.3.4.4.2:

“5.3.4.4.2 Construction of roads, bridges and other infrastructure shall be carried out in a manner that minimises







5.4.12 With due regard to management

objectives, measures shall be taken to

balance the pressure of animal

populations and grazing on forest

regeneration and growth as well as on

YES

PEFC AT ST 1001, 5.2.3.2:






biodiversity. framework for the monitoring of biotic factors.









Note: Legal provisions regarding grazing see Forestry Act § 37.“

5.4.13 Standing and fallen dead wood,

hollow trees, old groves and special rare

tree species shall be left in quantities and

distribution necessary to safeguard

biological diversity, taking into account

the potential effect on the health and

stability of forests and on surrounding

ecosystems.

YES

PEFC AT ST 1001, 5.4.1.2.9:





growth trees.







forests.





Criterion 5: Maintenance and appropriate enhancement of protective functions in forest management (notably soil and water)


aim to maintain and enhance protective

functions of forests for society, such as

protection of infrastructure, protection

from soil erosion, protection of water

resources and from adverse impacts of

water such as floods or avalanches.

YES

PEFC AT ST 1001, 5.5.1.1:

“5.5.1.1 Forest management planning shall aim to maintain and enhance protective functions of forests for society,

such as protection of infrastructure, protection from soil erosion, protection of water resources and from adverse

impacts of water such as floods or avalanches.“

5.5.2 Areas that fulfil specific and

recognised protective functions for society

shall be registered and mapped, and

forest management plans or their

equivalents shall take these areas into

account.

YES

PEFC AT ST 1001, 5.5.1.2:

“5.5.1.2 Areas that fulfil specific and recognised protective functions for society, especially for soil and water, shall

be registered and mapped. Resulting measures shall be considered, especially in forest management planning.

Note: Protective forest stands for soil and erosion and for the protection of infrastructures are registered according

the Austrian Forest Law. In forest management plans or their equivalents corresponding requirements be shall

considered or referred to.“

PEFC AT ST 1001, 5.5.2.1:

“5.5.2.1 Maintenance, care and continuous stocking of protection forests are the precondition for efficient

protection against soil erosion. The stability of protection forests is periodically controlled and enhancement of

stability is aimed at, especially in forests with particular protective function. In this regard, respective promotion

programs should be taken advantage of in the assessment unit.“

5.5.3 Special care shall be given to

silvicultural operations on sensitive soils

and erosion‐prone areas as well as in

YES

PEFC AT ST 1001, 5.5.2.2:

“5.5.2.2 Special care shall be given to silvicultural operations on sensitive soils and erosion‐prone areas as well as in

areas where operations might lead to excessive erosion of soil into watercourses. Inappropriate techniques such as



areas where operations might lead to

excessive erosion of soil into

watercourses. Inappropriate techniques

such as deep soil tillage and use of

unsuitable machinery shall be avoided in

such areas. Special measures shall be

taken to minimise the pressure of animal

populations.

deep soil tillage and use of unsuitable machinery shall be avoided in such areas. Appropriate measures shall be taken

to minimise the impact on animal populations.“

5.5.4 Special care shall be given to forest

management practices in forest areas with

water protection functions to avoid

adverse effects on the quality and

quantity of water resources. Inappropriate

use of chemicals or other harmful

substances or inappropriate silvicultural

practices influencing water quality in a

harmful way shall be avoided.

YES

PEFC AT ST 1001, 5.5.3:

“5.5.3 Environmental Function and Water Protection

5.5.3.1 Special management guidelines for forest stands, which are primarily managed for the purpose of water

protection, as well as designated protective forest stands, have to be obeyed. The respective areas in the region are

to be documented. Inappropriate use of chemicals or other harmful substances or inappropriate silvicultural

practices influencing water quality in a harmful way shall be avoided. Special care shall be given when using

chemicals.


the Austrian Forest Law and subject to certain requirements regarding planning and management.

5.5.3.2 Road construction material, brushwood and residual biomass should not in come into water systems.

5.5.3.3 In the course of silvicultural operations, large‐scale interventions in the forest soil have to be avoided.

5.5.3.4 New systems for draining larger sites should not be built, and existing ones should not be extended, except

those that serve to prevent dangerous slides. The balance of seepage water on the slopes must be taken into

consideration.“

PEFC AT ST 1001, 5.5.4:



“5.5.4 Infrastructure Protection and Protection against Natural Hazards

5.5.4.1 Forest stands, which have been designated for the protection of infrastructures or protection against natural

hazards, or those which have been designated protective forests by the authorities, are to be managed according to

the stipulations or forest management plans or their equivalents so that their protective function is maintained and

improved.


the Austrian Forest Law. In forest management plans or their equivalents corresponding requirements be shall

considered or referred to.“

5.5.5 Construction of roads, bridges and

other infrastructure shall be carried out in

a manner that minimises bare soil

exposure, avoids the introduction of soil

into watercourses and preserves the

natural level and function of water

courses and river beds. Proper road

drainage facilities shall be installed and

maintained.

YES

PEFC AT ST 1001, 5.3.4.4:

“5.3.4.4 Roads

5.3.4.4.1 The density of access roads should be oriented to the type of silvicultural operations and the structure of









biotope.

5.3.4.4.2 Construction of roads, bridges and other infrastructure shall be carried out in a manner that minimises









Criterion 6: Maintenance of other socio‐economic functions and conditions


aim to respect the multiple functions of

forests to society, give due regard to the

role of forestry in rural development, and

especially consider new opportunities for

employment in connection with the socio‐

economic functions of forests.

YES

PEFC AT ST 1001, 5.3.4.3.1:



methods are chosen, which ensure the sustainability of forest goods and services.“

PEFC AT ST 1001, 5.6.1.1:

“5.6.1.1 Forest management shall aim to respect the multiple functions of forests to society, give due regard to the

role of forestry in rural development, and especially consider new opportunities for employment in connection with

the socio‐economic functions of forests.

Note: The stimulation of rural development could be achieved by training and employment of local people, a

preference for the local processing of timber and non‐wood forest products, etc.“

PEFC AT ST 1001, 5.6.1.4:

“5.6.1.4 New opportunities for employment in connection with the socio‐economic functions of forests shall be

considered. Workforce should be employed the whole year.

Note: A social employment policy is an integral part of comprehensive sustainability in certified holdings of the

forest industry. Sustainable forest management offers income possibilities for a lot of own employees in the forest,

sawmill and woodworking industries. Certified enterprises in forestry industry consider the offer of regional

employees and entrepreneurs.“



5.6.2 Forest management shall promote

the long‐term health and well‐being of

communities within or adjacent to the

forest management area.

YES

PEFC AT ST 1001, 5.6.1.3:

“5.6.1.3 Forest management shall promote the long‐term health and well‐being of communities within or adjacent

to the forest management area. Forestry, sawmilling and wood working industry should maintain and increase the

social and economic welfare of owners and employees in the long term. With their know‐how and skills, employees

are an important success factor. Due consideration of their interests as well as integration and further development

of their know‐how and skills for operational procedures serve sustainable management.“

5.6.3 Property rights and land tenure

arrangements shall be clearly defined,

documented and established for the

relevant forest area. Likewise, legal,

customary and traditional rights related to

the forest land shall be clarified,

recognised and respected.

YES

PEFC AT ST 1001, 5.6.1.6:

“5.6.1.6 Property rights and land tenure arrangements shall be clearly defined, documented and established for the

relevant forest area. Utilization rights of third parties have to be respected.“

5.6.4 Forest management activities shall

be conducted in recognition of the

established framework of legal, customary

and traditional rights such as outlined in

ILO 169 and the UN Declaration on the

Rights of Indigenous Peoples, which shall

not be infringed upon without the free,

prior and informed consent of the holders

of the rights, including the provision of

compensation where applicable. Where

the extent of rights is not yet resolved or

is in dispute there are processes for just

and fair resolution. In such cases forest

managers shall, in the interim, provide

meaningful opportunities for parties to be

YES

PEFC Austria: “There are no indigenous people living in Austria.”

Note from assessor: There is no indigenous population living in Austria.



engaged in forest management decisions

whilst respecting the processes and roles

and responsibilities laid out in the policies

and laws where the certification takes

place.

5.6.5 Adequate public access to forests for

the purpose of recreation shall be

provided taking into account respect for

ownership rights and the rights of others,

the effects on forest resources and

ecosystems, as well as compatibility with

other functions of the forest.

YES

PEFC AT ST 1001, 5.6.2.1:

“5.6.2.1 Everybody has access to forests for recreational purposes, taking into account respect for ownership rights

and the rights of others, the effects on forest resources and ecosystems. Thereof excepted are ecologically

vulnerable areas, regeneration areas with trees lower than three metres as well as defined prohibited and protected

areas. The compatibility with other functions of the forest needs to be maintained. Negative effects through

recreational utilization shall be minimized.

Note: Legal provisions see Forestry Act §33, §34“

5.6.6 Sites with recognised specific

historical, cultural or spiritual significance

and areas fundamental to meeting the

basic needs of local communities (e.g.

health, subsistence) shall be protected or

managed in a way that takes due regard of

the significance of the site.

YES

PEFC AT ST 1001, 5.6.6:

“5.6.6 Cultural Values

5.6.6.1 Management does not influence sites or individual trees, which are protected for cultural, historical or

spiritual reasons.

5.6.6.2 Sites with recognised specific historical, cultural or spiritual significance shall be particularly considered and

managed or administered in a way that takes due regard of the significance of the site.“

5.6.7 Forest management operations shall

take into account all socio‐economic

functions, especially the recreational

function and aesthetic values of forests by

maintaining for example varied forest

structures, and by encouraging attractive

trees, groves and other features such as

YES

PEFC AT ST 1001, 5.6.2:

“5.6.2 Recreational Services

5.6.2.1 Everybody has access to forests for recreational purposes, taking into account respect for ownership rights

and the rights of others, the effects on forest resources and ecosystems. Thereof excepted are ecologically

vulnerable areas, regeneration areas with trees lower than three metres as well as defined prohibited and protected

areas. The compatibility with other functions of the forest needs to be maintained. Negative effects through



colours, flowers and fruits. This shall be

done, however, in a way and to an extent

that does not lead to serious negative

effects on forest resources, and forest

land.

recreational utilization shall be minimized.

Note: Legal provisions see Forestry Act §33, §34

5.6.2.2 Forest management operations shall take into account all socio‐economic functions, Aesthetic values of

forests which origin for instance in varied forest structures, attractive trees, flowers and fruits, shall be considered

especially with regard to the recreational function.“

5.6.8 Forest managers, contractors,

employees and forest owners shall be

provided with sufficient information and

encouraged to keep up‐to‐date through

continuous training in relation to

sustainable forest management as a

precondition for all management planning

and practices described in this standard.

YES

PEFC AT ST 1001, 5.6.3.4:

“5.6.3.4 For forest managers, contractors, employees and forest owners sufficient information shall be available and

they shall be encouraged for a regular training regarding sustainable forest management as described in this

standard.“


make the best use of local forest‐related

experience and knowledge, such as those

of local communities, forest owners,

NGOs and local people.

YES

PEFC AT ST 1001, 5.6.5.2:

“5.6.5.2 In forest management local knowledge about forest management practices such as those of local

communities, forest owners, NGOs and local people shall be considered.

Note 1: This standard has been developed in a multi‐stakeholder process and reflects opinions and needs of various

stakeholder groups.

Note 2: In case of group certification, the application of the local forest‐related experience is studied and

considered at the group level.

Note 3: Instruments on regional or national group level can be also used by other groups or certified companies with

a single‐site certificate.“

5.6.10 Forest management shall provide YES PEFC AT ST 1001, 5.6.5.1:



for effective communication and

consultation with local people and other

stakeholders relating to sustainable forest

management and shall provide

appropriate mechanisms for resolving

complaints and disputes relating to forest

management between forest operators

and local people.

“5.6.5.1 Forest management shall provide for effective communication and consultation with local people and other

stakeholders.and shall provide appropriate mechanism for dispute settlement.

Note 1: In case of group certification, the communication and dispute settlement functions are performed at the

group level.

Note 2: Instruments on regional or national group level can be also used by other groups or certified companies with

an individual certificate.

Note 3: Forestry is very committed to public relations, e.g. by means of forest education and information on forest

and sustainable forest management.“

5.6.11 Forestry work shall be planned,

organised and performed in a manner that

enables health and accident risks to be

identified and all reasonable measures to

be applied to protect workers from work‐

related risks. Workers shall be informed

about the risks involved with their work

and about preventive measures.

YES

PEFC AT ST 1001, 5.6.3.2:

“5.6.3.2 Forest holdings hire appropriately qualified people with special education and training in forestry (graduates

in forestry, foresters, forest wardens) for forest management planning and controlling according to the Austrian

Forest Law.

Note: Legal provisions see Forestry Act §104, §105, §106 and §113‐§116.“

PEFC AT ST 1001, 5.6.4.1:

“5.6.4.1 Forestry work shall be planned, organised and performed in a manner that enables health and accident risks

to be identified. Workers shall be informed about the risks involved with their work and about preventive measures.

Through applying reasonable measures workers shall be protected from work‐related risks. Comprehensive health

protection and accident prevention shall be ensured. The accident prevention regulations, especially by the workers

protection law (ArbeitnehmerInnenschutzgesetzes), the Service Code (Dienstrechtsgesetz) and the farm labor

regulations (Landarbeitsordnungen) are complied with. The recommendations of the AUVA regarding evaluation,

training, accident prevention and health are met.“

PEFC AT ST 1001, 5.6.4.3:



“5.6.4.3 The client party makes sure that, within the regulations in force, co‐ordination is set up.“

5.6.12 Working conditions shall be safe,

and guidance and training in safe working

practices shall be provided to all those

assigned to a task in forest operations.

YES

PEFC AT ST 1001, 5.6.3.3:

“5.6.3.3 Employees in forestry should attend training courses, which is supported by the employers.“

PEFC AT ST 1001, 5.6.4.2:

“5.6.4.2 Working conditions shall be safe. Employees in forestry shall be obtain appropriate guidance and training

regarding their task.“

PEFC AT ST 1001, 5.6.4.3:

“5.6.4.3 The client party makes sure that, within the regulations in force, co‐ordination is set up.“

PEFC AT ST 1001, 5.6.4.4:

“5.6.4.4 Certified enterprises in forestry guarantee:

a. The compliance with national and international labour rights, including especially the ILO‐conventions.

b. The legal right of employees to join trade unions and organisations and to elect workers' councils without

being disadvantaged by the employer;

c. Information for employees and workers councils on developments within the enterprise or incorporation

according to the legal regulations (Austrian Labour Law, Law on Agricultural Labour, etc.);

d. Compliance with regulations of the collective agreement.“

5.6.13 Forest management shall comply

with fundamental ILO conventions. YES

PEFC AT ST 1001, 5.6.4.1:

“5.6.4.1 Forestry work shall be planned, organised and performed in a manner that enables health and accident risks



to be identified. Workers shall be informed about the risks involved with their work and about preventive measures.

Through applying reasonable measures workers shall be protected from work‐related risks. Comprehensive health

protection and accident prevention shall be ensured. The accident prevention regulations, especially by the workers

protection law (ArbeitnehmerInnenschutzgesetzes), the Service Code (Dienstrechtsgesetz) and the farm labor

regulations (Landarbeitsordnungen) are complied with. The recommendations of the AUVA regarding evaluation,

training, accident prevention and health are met.“

PEFC AT ST 1001, 5.6.4.4:

“5.6.4.4 Certified enterprises in forestry guarantee:

a. The compliance with national and international labour rights, including especially the ILO‐conventions.

b. The legal right of employees to join trade unions and organisations and to elect workers' councils without

being disadvantaged by the employer;

c. Information for employees and workers councils on developments within the enterprise or incorporation

according to the legal regulations (Austrian Labour Law, Law on Agricultural Labour, etc.);

d. Compliance with regulations of the collective agreement.“

Note from the Assessor: As per the time of the assessment all fundamental ILO conventions (i.e. 29, 87, 98, 100, 105,

111, 138 and 182) are legally in force in Austria

(https://www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:11200:0::NO::P11200_COUNTRY_ID:102549).

5.6.14 Forest management shall be based

inter‐alia on the results of scientific

research. Forest management shall

contribute to research activities and data

collection needed for sustainable forest

management or support relevant research

YES

PEFC AT ST 1001, 5.6.3.5:

“5.6.3.5 Scientific research shall be considered in forest management. Adversely, forest management shall

contribute to the work of scientific institutions in research activities, which are concerned with sustainable forest

management, where this is possible and reasonable.

Note: Drafting or assigning of scientific articles or contribution to research activities is carried out through



activities carried out by other

organisations, as appropriate.

organisations as interest groups, not through companies, due to the personal and economic capacities.“

Criterion 7: Compliance with legal requirements

5.7.1 Forest management shall comply

with legislation applicable to forest

management issues including forest

management practices; nature and

environmental protection; protected and

endangered species; property, tenure and

land‐use rights for indigenous people;

health, labour and safety issues; and the

payment of royalties and taxes.

YES

PEFC AT ST 1001, 5.7.1:

“5.7.1 Forest management shall comply with legislation applicable to forest management issues including forest

management practices; nature and environmental protection; protected and endangered species; property, tenure

and land‐use rights for third parties; health, labour and safety issues; and the payment of royalties and taxes.

Note: Surveillance regarding the payment of taxes is subject to financial authorities.“

5.7.2 Forest management shall provide for

adequate protection of the forest from

unauthorised activities such as illegal

logging, illegal land use, illegally initiated

fires, and other illegal activities.

YES

PEFC AT ST 1001, 5.7.2:

“5.7.2 Forest management shall provide for adequate protection of the forest from unauthorised activities such as

illegal logging, illegal land use, illegally initiated fires, and other illegal activities.

Note: Corresponding provisions in the Austrian Forest Act (forest protection, forest protection, treatment of the

boundaries of the property, forest devastation, forest conversion, etc.) and official forest protection authorities

provide for the protection against illegal activities. Forest owners and managers are obliged to inform the respective

authority where illegal activities of a third party are known.“

* If the answer to any question is no, the application documentation shall indicate for each element why and what alternative measures have been taken to address the

element in question.


1.7 PART IV: Standard and System Requirement Checklist for certification and accreditation procedures (Annex 6)

1.7.1 1 Scope

This document covers requirements for certification and accreditation procedures given in Annex 6 to the PEFC Council Technical Document (Certification and accreditation procedures). Any inconsistencies between this text and the original referred to document will be overruled by the content and wording of the technical document.

1.7.2 2 Checklist

For Chain of Custody: PEFC Austria adopted the PEFC ST 2003:2012 “Certification Body Requirements – Chain of Custody” in full. The adoption of the PEFC ST 2003:2012

is documented on the cover page of PEFC AT ST 2003:2012 (Anforderungen an Zertifizierungsstellen ‐ Zertifizierung nach dem PEFC International Chain of Custody

Standard).

No. Question

Reference to

PEFC Council

PROCEDURES

YES / NO* Reference to scheme documentation

Certification Bodies

1.

Does the scheme

documentation require that

certification shall be carried out

by impartial, independent third

parties that cannot be involved

in the standard setting process

as governing or decision making

body, or in the forest

management and are

Annex 6, 3.1 YES

PEFC AT ST 1004:2017 (Introduction), ch. 1 (scope):

“1 Scope

This document provides requirements, additional to ISO/IEC 17021‐1:2015 and relating IAF documents

for certification bodies operating certification according to the standards of sustainable forest

management within the PEFC scheme in Austria. The appendices 1 and 2 regulate the accreditation and

notification of certification bodies and are binding. The other appendices contain specific requirements

for the

• Group Certification in Natural Growth Regions


No. Question

Reference to

PEFC Council

PROCEDURES


independent of the certified

entity?

• Group Certification in General

• Individual Certification

and are binding for the particular field of application.“

PEFC AT ST 1004:2017 (Introduction), ch. 4 (principles):

“4 Principles

The principles laid down in clause 4 ISO/IEC 17021‐1:2015 form the basis for the following specific

requirements. These principles shall provide orientation in situations that were not foreseeable when

this document was developed. These principles do not constitute requirements.”

PEFC AT 0001, 6.2:

“6.2 Certification Body

6.2.1 Independent certification bodies provide assessment of their clients’ conformity with the

standards of the Austrian PEFC scheme. They are not involved in the standard setting process of the PEFC

scheme.

6.2.2 The Austrian PEFC scheme defines requirements for the structure, procedures and personnel of

the certification bodies to ensure their impartiality and competence. They must be accredited by a

national accreditation body to demonstrate their compliance with the PEFC scheme’s requirements in

Austria. Accredited certification bodies are notified by PEFC Austria.”

EN ISO/IEC 17021 4.2:

"4.2.1 Being impartial, and being perceived to be impartial, is necessary for a certification body to deliver


No. Question

Reference to

PEFC Council

PROCEDURES


certification that provides confidence."

4.2.4 names self‐interest, self‐review, familiarity and intimidation as threats towards impartiality which

excludes any scenario were these points are involved, which covers the points named in this

requirement.

2.

Does the scheme


certification body for forest

management certification shall

fulfil requirements defined in

ISO 17021 or ISO Guide 65?

Annex 6, 3.1 YES

PEFC AT ST 1004:2017, chapter 1, chapters 4‐10, Appendix 1:

“1 Scope

This document provides requirements, additional to ISO/IEC 17021‐1:2015 and relating IAF documents

for certification bodies operating certification according to the standards of sustainable forest

management within the PEFC scheme in Austria. The appendices 1 and 2 regulate the accreditation and

notification of certification bodies and are binding. The other appendices contain specific requirements

for the

• Group Certification in Natural Growth Regions

• Group Certification in General

• Individual Certification

and are binding for the particular field of application.

3 Definitions

For the purpose of this document, the terms and definitions given in ISO/IEC 17021‐1:2015 apply.

4 Principles

The principles laid down in clause 4 ISO/IEC 17021‐1:2015 form the basis for the following specific

requirements. These principles shall provide orientation in situations that were not foreseeable when

this document was developed. These principles do not constitute requirements.


No. Question

Reference to

PEFC Council

PROCEDURES


5 General requirements

All requirements of clause 5 of ISO/IEC 17021‐1:2015 apply.

5.1 The certification body shall conduct forest certifications according to the PEFC scheme in Austria

as accredited certifications. This means it shall be accredited according to appendix 1 of this standard.

6 Structural requirements


7 Requirements for the certification body’s personnel


8 Information requirements


9 Process requirements


10 Management system requirements for certification bodies


Appendix 1 Requirements for accreditation of certification bodies operating forest management

certification

1. Certification bodies operating forest management certification according to the Austrian PEFC

scheme shall have valid accreditation issued a national accreditation body which complies with ISO/IEC

17011:2004 and is member of the European co‐operation for Accreditation.

2. The scope of the accreditation shall explicitly cover documents of the PEFC Austria scheme


No. Question

Reference to

PEFC Council

PROCEDURES


relating to forest management certification in their valid version and/ or with reference to any future

amendments adopted by PEFC Austria (PEFC AT ST 1001, PEFC AT ST 1003).

3. The scope of the accreditation shall also explicitly state ISO/IEC 17021‐1, this document and

other requirements against which the certification body has been assessed.”

3.

Does the scheme


certification bodies carrying out

forest certification shall have

the technical competence in

forest management on its

economic, social and

environmental impacts, and on

the forest certification criteria?

Annex 6, 3.1 YES

PEFC AT 1004:2017, 7.1:

“7.1 General requirements for the management and the personnel of certification bodies

7.1.1 The certification body shall define the requirements for the competence of the personnel and

shall ensure that the whole personnel that conducts central activities as contract review, conduction

audits, issuing certificates, surveillance of auditors, etc. has the relevant competences and knowledge

about the PEFC scheme in Austria in the following areas:

a) Terminology, terms and definitions concerning forest management in Austria,

b) Knowledge of the PEFC scheme in Austria, its requirements and central economical, ecological

and social issues of forest management,

c) audit techniques.

7.1.2 The certification body shall provide proof of an annual examination of the personnel in the form

of witness‐audits, revision of audit reports, feed‐back of customers etc. – specifically depending on the

risk associated with the task as well as on its frequency. The certification body shall particularly evaluate

the competence and performance of the personnel in order to assess specific training required.“

PEFC AT 1004:2017, 7.2:

“7.2 Auditors

7.2.1 The certification body shall ensure that the audit team is comprised of auditors with appropriate

knowledge and competencies based on their education, training, work and auditing experience.

7.2.2 In particular, the certification body shall ensure that the auditors:


No. Question

Reference to

PEFC Council

PROCEDURES


a) completed studies in forestry at a university or a technical college;

b) have at least two years of full‐time working experience in forestry;

c) participated in a forest certification training acknowledged by PEFC Austria within the last two

years;

d) have conducted as a first qualification at least four audit days (of which three audit days were

on‐site) within the last three years in PEFC forest certification under guidance of an experienced auditor.

To keep this qualification valid, the auditors shall conduct at least five audit days in PEFC forest

certification per year.

7.2.3 The auditors shall have the following knowledge and competences:

a) Principles, procedures and methods of auditing according to ISO 19011 enabling the auditor to

make appropriate use of them and to ensure that the audits are conducted in a consistent and

systematic way.

b) Terminology, terms and definitions concerning forest management in Austria.

c) The PEFC scheme in Austria and in particular its requirements for sustainable forest

management (PEFC AT ST 1001), criteria and indicators (PEFC AT ST 1002) and the group certification

(PEFC AT ST 1003).

d) Organisational conditions of the Austrian forest sector, with particular regard to the various

types of forest ownership and property sizes, to the role of forest owners associations, to the

relationship between forest enterprises, forest entrepreneurs and other societal groups in order to

properly understand the organisational context and the relations.

e) Relevant national legislation and other regulations relevant to the PEFC scheme in Austria to

enable the auditor to comply with the same and to understand the legal framework in which the forest

owners operate.

7.2.4 The certification body shall announce an audit team which consists of auditors (and technical

experts where necessary) who jointly possess the competence to conduct an audit. The certification body


No. Question

Reference to

PEFC Council

PROCEDURES


shall define the specific requirements on the auditors’ competence covering the specific aspects of the

PEFC scheme in Austria. As required knowledge and competences regarding following aspects shall be

considered:

a) Forest inventories, forest management planning.

b) Silviculture, particularly with regard to methods of rejuvenation, forest tending and harvest.

c) Forest protection, particularly with regards to methods of integrated forest protection and the

application of plant protective agents.

d) Water and soil protection, particularly the impact of forest operations on water resources and

soil, nutrient balance as well as impacts of liming and fertilisation.

e) Biodiversity in forest ecosystems, particularly protection of rare species and biotopes and the

encouragement of biotope trees.

f) Wildlife management.

g) Forest operations and technical knowledge, particularly safety and occupational health, accident

prevention, labour rights and the deployment of forest entrepreneurs and private cutters.

h) Socio‐economic functions, such as the contribution of forestry to the regional economy and

recreation.“

4.

Does the scheme


certification bodies shall have a

good understanding of the

national PEFC system against

which they carry out forest

management certification?

Annex 6, 3.1 YES

PEFC AT 1004:2017, 7.1, 7.2:

See 3 above.


No. Question

Reference to

PEFC Council

PROCEDURES


5.

Does the scheme


certification bodies have the

responsibility to use competent

auditors and who have

adequate technical know‐how

on the certification process and

issues related to forest

management certification? Annex 6, 3.2 YES

PEFC AT 1004:2017, 7.2.3:

“7.2.3 The auditors shall have the following knowledge and competences:



systematic way.

b) Terminology, terms and definitions concerning forest management in Austria.

c) The PEFC scheme in Austria and in particular its requirements for sustainable forest

management (PEFC AT ST 1001), criteria and indicators (PEFC AT ST 1002) and the group certification

(PEFC AT ST 1003).

d) Organisational conditions of the Austrian forest sector, with particular regard to the various

types of forest ownership and property sizes, to the role of forest owners associations, to the

relationship between forest enterprises, forest entrepreneurs and other societal groups in order to

properly understand the organisational context and the relations.

e) Relevant national legislation and other regulations relevant to the PEFC scheme in Austria to

enable the auditor to comply with the same and to understand the legal framework in which the forest

owners operate.”

6.

Does the scheme

documentation require that the

auditors must fulfil the general

criteria of ISO 19011 for Quality

Management Systems auditors

or for Environmental

Management Systems auditors?

Annex 6, 3.2 YES

PEFC AT 1004:2017, 7.2.3 a:




systematic way.

…”


No. Question

Reference to

PEFC Council

PROCEDURES


7.

Does the scheme

documentation include

additional qualification

requirements for auditors

carrying out forest

management audits? [*1]

Annex 6, 3.2 YES

PEFC AT 1004:2017, 7.2.2:

“7.2.2 In particular, the certification body shall ensure that the auditors:

a) completed studies in forestry at a university or a technical college;

b) have at least two years of full‐time working experience in forestry;

c) participated in a forest certification training acknowledged by PEFC Austria within the last two

years;

d) have conducted as a first qualification at least four audit days (of which three audit days were

on‐site) within the last three years in PEFC forest certification under guidance of an experienced auditor.

To keep this qualification valid, the auditors shall conduct at least five audit days in PEFC forest

certification per year.”

PEFC AT 1004:2017, 7.2.4:

“7.2.4 The certification body shall announce an audit team which consists of auditors (and technical

experts where necessary) who jointly possess the competence to conduct an audit. The certification body

shall define the specific requirements on the auditors’ competence covering the specific aspects of the

PEFC scheme in Austria. As required knowledge and competences regarding following aspects shall be

considered:

a) Forest inventories, forest management planning.

b) Silviculture, particularly with regard to methods of rejuvenation, forest tending and harvest.

c) Forest protection, particularly with regards to methods of integrated forest protection and the

application of plant protective agents.

d) Water and soil protection, particularly the impact of forest operations on water resources and


No. Question

Reference to

PEFC Council

PROCEDURES


soil, nutrient balance as well as impacts of liming and fertilisation.

e) Biodiversity in forest ecosystems, particularly protection of rare species and biotopes and the

encouragement of biotope trees.

f) Wildlife management.

g) Forest operations and technical knowledge, particularly safety and occupational health, accident

prevention, labour rights and the deployment of forest entrepreneurs and private cutters.

h) Socio‐economic functions, such as the contribution of forestry to the regional economy and

recreation.”

Certification procedures

8.

Does the scheme


certification bodies shall have

established internal procedures

for forest management

certification?

Annex 6, 4 YES

PEFC AT 1004:2017, 9:

“9 Process requirements

All requirements of clause 9 of ISO/IEC 17021‐1:2015 apply.”

9.

Does the scheme


applied certification procedures

for forest management

certification shall fulfil or be

compatible with the

requirements defined in ISO

17021 or ISO Guide 65?

Annex 6, 4 YES

PEFC AT 1004:2017, Chapter 1, Chapters 4‐10, Appendix 1:

See 2 above.


No. Question

Reference to

PEFC Council

PROCEDURES


10.

Does the scheme


applied auditing procedures

shall fulfil or be compatible with

the requirements of ISO 19011?

Annex 6, 4 YES

PEFC AT 1004:2017, 7.2.3a:




systematic way.

…”

Note: ISO 19011 is integrated in ISO 17021‐1.

11.

Does the scheme


certification body shall inform

the relevant PEFC National

Governing Body about all issued

forest management certificates

and changes concerning the

validity and scope of these

certificates?

Annex 6, 4 YES

PEFC AT PB 4003:2017, 5.1:

“5.1 The notified certification body shall:

…

c) Provide PEFC Austria, without delay, with information on every forest management and/or

chain of custody certificate which is covered by the notification and /or information on any changes to

already issued certificates. The range of data is specified by PEFC Austria.

...“

12.

Does the scheme


certification body shall carry

out controls of PEFC logo usage

if the certified entity is a PEFC

logo user?

Annex 6, 4 YES

PEFC AT 1004:2017, 9.2.2.2.2:

“9.2.2.2.2 The stage 2 audit shall assess the effectiveness of the implementation of the forest

management standard on the defined forest management area, it shall comprise following:

a) procedures comply with the scheme in the regional group to be audited, particularly the

procedures for reporting and drawing up a plan of measures

b) the specification, planning, implementation and effectiveness of the procedures for system


No. Question

Reference to

PEFC Council

PROCEDURES


stability

c) detailed planning for implementation of measures to ensure that targets are achieved, i.e.

suitability of the instruments for achieving the set targets

d) fulfilment of targets (in the case a new sustainability report is available)

e) decision‐making process that led to selection of the "target criteria"

f) consideration of relevant information from external interest groups in the scope of audits

(government bodies, associations, environmental groups, etc.) in as far as sensible and appropriate

g) adherence to general legal regulations for forestry

h) compliance with the PEFC Logo usage rules (PEFC AT ST 2001)”

PEFC AT 1004:2017, 9.3.2.1:

“9.3.2.1 The surveillance audit shall particularly comprise:

a) procedures for system stability

b) implementation of measures for achieving the set targets

c) implementation of the internal monitoring programme (management report and management

evaluation)

d) on‐site inspections (see appendices 3, 4, 5)

e) implementation of corrections from the last surveillance audit (if required)

f) compliance with PEFC Logo usage rules (PEFC AT ST 2001)”

13.

Does a maximum period for

surveillance audits defined by

the scheme documentation not

Annex 6, 4 YES

PEFC AT 1004:2017, 9.3.1:

“9.3.1 The certification body has to organize an annual surveillance of the client’s organisation. The

surveillance activities have to be planned in a way that representative areas and functions of the client’s


No. Question

Reference to

PEFC Council

PROCEDURES


exceed more than one year? organisation are covered.”

PEFC ST 2003, 7.9.1:

“7.9.1 The surveillance audits shall be carried out at least annually.”

Further clarification provided by PEFC Austria:

“We are of the opinion that the wording in our standard is more appropriate, as Annex 6 was approved

in 2007 and was not revised since (10 years). The wording “annual” surveillance audit allows to consider

different functions of the client’s organisation and especially its “seasonal” aspects. The approach is fully

compatible with ISO 17021‐1, chapter 9.1.2.2 and especially chapter 9.1.2.3.”

Further clarification provided by PEFCC:

“Since in relevant documents, such as PEFC ST 2003 and the currently revised FM CB requirements (ST

1004:201x), the 12 month interval is no longer upheld, this wording is acceptable.”

14.

Does a maximum period for

assessment audit not exceed

five years for forest

management certifications?

Annex 6, 4 YES

PEFC AT 1004:2017, 9.4.1:

“9.4.1 Certification is issued for five (5) years and a recertification audit shall be performed in the fifth

year prior to expiration of the certification.”

15.

Does the scheme


requirements for public

availability of certification

Annex 6, 4 YES

PEFC AT 1004:2017, 8.1:

“8.1 Public available information

The certification body shall make a summary of the audit report, including a summary of findings on the

client organisation’s conformity with the forest management standard, which shall be made publicly


No. Question

Reference to

PEFC Council

PROCEDURES


report summaries? available by the certificate holder. Confidential data need not be published.“

PEFC AT 1004:2017, 9.1.5.3:

“9.1.5.3 The report shall contain a summary of the certified forest area and the audit results (i.e. a

Summary Report) that the forest manager can make publicly available to relevant stakeholders.“

Further clarification provided by PEFC Austria:

“PEFC AT 1004 defines requirements for the certificate holder to make the report publicly available.

Although the document is not specific on a time period, it is understood that following a request for the

report, the certificate holder shall act „without delay“. Any unreasonable delay, results in non‐conformity

with the certification requirements and/or can be dealt within the certification body’s and/or PEFC

Austria’s complaint and dispute procedures. Practically, the situation where the certificate holder does

not make the report availiable upon request is considered as non‐conformity regardless of the time

period.”

16.

Does the scheme


requirements for usage of

information from external

parties as the audit evidence?

Annex 6, 4 YES

PEFC AT 1004:2017, 9.2.2.1.2:

“9.2.2.1.2 The certification body shall consider any relevant information regarding the compliance with

the PEFC‐standards and other applicable requirements, from external bodies, such as governmental

bodies, NGOs, etc. that it has received and shall use it as audit evidence to determine the client

organisation conformity with the certification requirements.“

17.

Does the scheme


additional requirements for

certification procedures? [*1]

Annex 6, 4 YES

PEFC AT 1004:2017:

Chapter 8 & 9 include several additional requirements related to certification procedures.


No. Question

Reference to

PEFC Council

PROCEDURES


Accreditation procedures

18.

Does the scheme


certification bodies carrying out

forest management

certification shall be accredited

by a national accreditation

body?

Annex 6, 5 YES

PEFC AT 1004:2017, Appendix 1:

“Appendix 1 Requirements for accreditation of certification bodies operating forest management

certification



17011:2004 and is member of the European co‐operation for Accreditation.

2. The scope of the accreditation shall explicitly cover documents of the PEFC Austria scheme

relating to forest management certification in their valid version and/ or with reference to any future

amendments adopted by PEFC Austria (PEFC AT ST 1001, PEFC AT ST 1003).


other requirements against which the certification body has been assessed.“

19.

Does the scheme

documentation require that an

accredited certificate shall bear

an accreditation symbol of the

relevant accreditation body?

Annex 6, 5 YES

PEFC AT 1004:2017, 8.2.1:

“8.2.1 After positive evaluation, the certification body shall issue the applicant a certificate, which

comprises the following:

a) identification of the certification body,

b) name and address of the client organisation,

c) scope of the certification granted,

d) accreditation mark as prescribed by the accreditation body, including accreditation number

where applicable,

e) the date of granting, extending or renewing certification and the expiry date. The effective date

on a certification document shall not be before the date of the certification decision.“


No. Question

Reference to

PEFC Council

PROCEDURES


20.

Does the scheme

documentation require that the

accreditation shall be issued by

an accreditation body which is a

part of the International

Accreditation Forum (IAF)

umbrella or a member of IAF’s

special recognition regional

groups and which implement

procedures described in ISO

17011 and other documents

recognised by the above

mentioned organisations?

Annex 6, 5 YES

PEFC AT 1004:2017, Appendix 1, 1:

““Appendix 1 Requirements for accreditation of certification bodies operating forest management

certification



17011:2004 and is member of the European co‐operation for Accreditation.“

21.

Does the scheme


certification body undertake

forest management

certification as “accredited

certification” based on ISO

17021 or ISO Guide 65 and the

relevant forest management

standard(s) shall be covered by

the accreditation scope?

Annex 6, 5 YES

PEFC AT 1004:2017, 5.1:

“5.1 The certification body shall conduct forest certifications according to the PEFC scheme in Austria

as accredited certifications. This means it shall be accredited according to appendix 1 of this standard.”


“Appendix 1 Requirements for accreditation of certification bodies operating forest management

certification

…


other requirements against which the certification body has been assessed.“


No. Question

Reference to

PEFC Council

PROCEDURES


22.

Does the scheme

documentation include a

mechanism for PEFC

notification of certification

bodies?

Annex 6, 6 YES

PEFC AT 1004:2017, Appendix 2; PEFC AT PB 4003:

“Appendix 2 Requirements for notification of certification bodies operating forest management

certification

1. The certification body operating forest management certification against the Austrian PEFC

scheme, shall be notified by PEFC Austria.

2. The notification requires that the certification body shall have a valid accreditation recognised

by PEFC Austria (see appendix 1).

3. Conditions for granting the notification are specified in the PEFC Austria’s procedural document

(see PEFC AT PB 4003).“

23.

Are the procedures for PEFC

notification of certification

bodies non‐discriminatory?

Annex 6, 6 YES


See 22 above

PEFC AT PB 4003, 4:

“4 Conditions for issuance of a notification

4.1 General conditions

4.1.1 An entity applying for the notification shall:

a) be a legal entity;

b) agree to be listed on the publicly available Internet database operated by PEFC Council, PEFC

Austria or another body, including the certification body’s identification data and / or other data as

specified by PEFC Austria;

c) sign a notification contract with PEFC Austria (Appendix 1 or 2).

4.1.2 Complaints and disputes shall be handled according PEFC AT PB 4004 (Complaint Procedures

and Rules of Arbitration)“


* If the answer to any question is no, the application documentation shall indicate for each element why and what alternative measures have been taken to address

the element in question. [*1] This is not an obligatory requirement


1.8 Part V: Standard and System Requirement Checklist for system specific Chain of custody standards – COMPLIANCE WITH

PEFC ST PEFC 2002:2013

1.8.1 1 Scope

Part V is used for the assessment of scheme specific chain of custody standards against PEFC ST 2002:2013 (Chain of Custody of Forest Based Products ‐ Requirements). Any inconsistencies between this text and the original referred to document will be overruled by the content and wording of the technical document.

1.8.2 2 Checklist

The PEFC ST 2002:2013 is adopted by PEFC Austria in full and translated into the document PEFC AT ST 2002:2013 (Produktkettennachweis von Holzprodukten –

Anforderungen). In this document the adoption of the PEFC ST 2002:2013 is documented on page 2.


Annex 2: Results of stakeholder survey

1. Stakeholder survey response A stakeholder survey was conducted from 12.08.2017 to 25.08.2017. Invitations to complete

the stakeholder survey were sent to all participants of the Working Group and Sub‐Working

Group responsible for the standard setting process via e‐mail – this included a total of 25

stakeholder organisations (14 Working Group and 11 Sub‐Working Group). A reminder was

sent on 21.08.2017. The survey was completed by 9 stakeholders (36 %). The questionnaire

was sent to the stakeholders having been translated into the German language.

Table 3: Stakeholder categories responding to stakeholder survey

1. What stakeholder category do you represent?

Answer Options Response Percent

Response Count

Forest owners and managers 77,7% 7

Business sector and industry 22,2% 2

Political and administration sector 0,0% 0 Sector utilising the ecosystem services of forestry (incl. NGOs) 0,0% 0

Other 0,0% 0 answered question 9

skipped question 0 * Two stakeholders considered their organisations to belong to two categories: Next to

“Forest owners and managers” they chose “Other” and “Sector utilising the ecosystem

services of forestry (incl. NGOs)”. However, for reasons of data consolidation those are not

listed in the table with data values.

2. Survey results The following table shows the content of the questions 2 ‐ 11 from the survey questionnaire

sent to the stakeholders, including the response count and percentage calculation

concerning the individual questions.

Table 4: Results of stakeholder survey ‐ counts and percentages

2. Did the participating stakeholders represent the range of interests in forest management in your country? If not, which other interests groups should have participated?


Response Count

Yes 100,0% 9

No 0,0% 0

Partially 0,0% 0

Please provide comments and additional information 2

answered question 9 skipped question 0


3. Were you satisfied with the way of determining and approaching disadvantaged stakeholders? A "disadvantaged stakeholder" may be disadvantaged from a financial standpoint or in some other way with respect to standards development work.

Answer Options Response

Percent Response

Count

Yes 88,8% 8 No 0,0% 0 Partially 0,0% 0 Please provide comments and additional information 2


4. Were the standard revision documents, including working drafts, meeting minutes etc. made available to you during the work of the Technical Committee?


Response Count

Yes 100,0% 9

No 0,0% 0

Partially 0,0% 0



5. Were you provided with meaningful opportunities to contribute to the revision of the standard and submit comments to the working draft, enquiry draft and final draft?


Percent Response

Count



6. Have comments and views that you submitted been considered in an open and transparent way and their resolution and proposed changes recorded?


Response Count

Yes 100,0% 9

No 0,0% 0

Partially 0,0% 0



7. Was the enquiry draft publicly available and accessible?


Percent Response

Count




8. Do you feel that comments received are considered by the Technical Committee/Working Group in an objective, open, and transparent manner?


Response Count

Yes 100,0% 9

No 0,0% 0

Partially 0,0% 0



9. Were you satisfied with the decision making process, where a consensus was not reached?


Percent Response

Count



10. Did you receive a final draft of the scheme documentation and did you have the opportunity to comment?


Response Count

Yes 100,0% 9

No 0,0% 0

Partially 0,0% 0



11. Were you satisfied with the way of final approval of the final draft standard by the Technical Committee/Working Group?


Percent Response

Count



3. Breakdown of comments

In total 7 additional comment were received from the stakeholders concerning 5 questions.

No respondent answered with “No” or “Partially”. Overall there was a high degree of

satisfaction with the quality of the review process. Comments received expressed further

support for individual positive answers, such as “Absolut!”. Two comments on question 3

expressed the opinion, that there were no disadvantaged stakeholders in the process.


4. List of stakeholder respondents to the consultation The stakeholders who responded to the survey are shown in Table 5 including the

organization they represented.

Table 5: List of stakeholders ‐ respondents to the stakeholder survey

Ing. Mag. Christian Handler Verband Druck & Medientechnik

Dipl. Ing. Klaus Viertler Landwirtschaftskammer Tirol

Karl Jäger Benediktinerstift Admont, Forstverwaltung Trieben

DI Günter Affenzeller Landwirtschaftskammer Oberösterreich

Dipl.‐Ing. Dr. Kurt Ramskogler Forstdirektor, Geschäftsführung LIECO

Dipl.‐Ing. Hans Grieshofer austropapier

DDI Marco Lassnig Land&Forst Betriebe Österreich

DI Thomas Leitner Landwirtschaftskammer Österreich

Martin Wöhrle Waldverband Österreich


Annex 3: Results of international consultation

The public consultation on the PEFC Austria scheme documents was carried out by PEFCC

from 07.06.2017 to 07.08.2017. According to an advice from Christian Kaemmer (PEFCC)

dated 16.08.2017, no comments were received.


Annex 4: Panel of Experts comments The following Table shows the comments made by the PoE representatives, the references

to the report chapters and the consideration of the comments by the assessor.

Table 6: Overview PoE comments and their consideration

Report chapter / page

Consultant’s report statement

PoE member finding Consultant’s response

P138

5.6.13

“The compliance with

national and

international labour

rights, including

especially the ILO‐

conventions”.

It is not clear which ILO

Conventions Austria

has signed up to and

how national

legislation covers any

that it may not have

signed up to.

Noted with thanks. A note was

added with a weblink that shows

which ILO conventions are in force

in Austria (all fundamental ILO

conventions are in force).

Acronyms

and

Abbreviat

ions

Pg 5

CoC Chain of

Custody

But use COC in the

report

Missing C&I (Pg 18

figure)

Noted with thanks. Report

adjusted in relevant sections.

1.1, 1st

para.

Pg 6

‘The scope of this

assessment is to

compare the revised

Austrian Forest

Certification System

(PEFC Austria) …’

Isn’t this the National

Governing Body in

Austria not the scheme

abbreviation. Wouldn’t

it be AFCS or

something similar? In

the report it seems to

be ‘PEFC Austria

system

Throughout the report the term „scheme“ is now used. This is the preferred term by the PEFC Austria scheme. The PEFC Austria scheme contains as one element the organization PEFC Austria. This organization may have several and different roles, e.g. secretariat for running day‐to‐day business and NGB.

1.2, 1st

para. Pg 7

‘The assessment has

been conducted in the

following stages:’

This is outlined in the

figure under 1.4 which

has activities under 2

phases but have used

‘stages’ for this section

Also, this set of dot

points should go to the

completion of the

‘stages’ i.e. PoE review

and finalisation of the

report to PEFC

Clarification was added in referring to a set of activities as outlined in phases 1 & 2 in chapter 1.4. It does, but consequently not at the time when the final draft report was submitted since the dates for receiving PoE comments and submitting the final draft are not known at this time.

1.4 figure,

Pg 9

Start of timeline at

7.8.17

Panel of Expert

Review

1.2 1) indicates the

assessor received the

material on 8.6.2107!

What of 1.2 4) in the

timeline?

Provided to one of the

PoE member’s on

There is no contradiction here. 07.08.2017 is the date when the assessment began. 08.06.2017 is the date when the invitation to tender was sent by PEFC technical unit together with the scheme documentation. Assessors are requested to consider the quality


24/10/2107 for

reporting by

2/11/2017

and quantity of the scheme documentation when producing the tender documentation. As said in the comment above the concrete timelines are not known. E.g. the submission of the final draft report to a certain date may not mean that the PoE members receive this document the same day, this is out of the hands of any assessor. Neither is it to know when the POE comments will be available. In the case of the assessment of the PEFC Austria scheme one week was scheduled for the PoE comment period. In the end it took six weeks for the PoE comments to be shared with the assessor.

1.5, Table

1,

Pg 10

Maybe the

designations – ST, RL,

GD, PB should be

added to Acronyms

and Abbreviations for

information – will

cover Table 2

designations as well

Added to list of acronyms.

1.5, Pg 11 [No text] Maybe another table

to note ‘other’

standards e.g. ISO

17001, ISO 17021, ISO

19011 will provide full

titles which don’t need

to be repeated at later

parts of the report

Good advice. However, this section of the report lists the documents which have been directly used as resources for the assessment. Primarily those are scheme documents and the checklists in Annex 1.

2, 1st

para.

Pg 12

‘All potential cases of

non‐conformities

identified in the first

assessment phase

could be clarified by

PEFC Austria by

providing further

explanations on

submitted scheme

documentation or

clarifications …’

‘For more details see

the following

chapters.’

Needs a prior

statement to this to

indicate that some

minor NC’s were

identified by the

assessor and

communicated to PEFC

Austria for correction.

For the ‘non‐

conformities’, it would

be best to clarify as

‘minor’ (I presume?)

For more details of

what?

This information is provided in section 1.3.3 of the report. This includes both types of non‐conformities. Clarification provided (in terms of specific assessment results)

3.1, 1st

para.

Pg 13

‘PEFC Austria is a work

group responsible for

the standard setting

For ‘work group’ surely

it’s an entity or as used

in the report

Different work groups within the standard setting context need to be differentiated: those directly


and the

administration of the

Austrian PEFC

scheme.’

‘organisation’ – aligns

with the 1st sentence. I

believe the work

groups under PEFC

Austria are NOT PEFC

Austria itself!

involved in the standard setting process and those involved in steering the process. One of the roles of PEFC Austria as an organization is to act as the work group which is responsible for steering the standard setting/revision process.

Figure in

3.1, Pg 13

[No text] As it must have been

re‐produced from

another document, it

should be sourced so

as not to confuse the

numbers in the figure

with the numbers of

the chapters in this

report

Corrected, source named.

Figure in

3.2, Pg 14

[No text] Have Mai (should be

May) and Dezember

(should be December)

Have Sec and Sek but

aren’t in the Acronyms

and Abbreviations

Also, it appears to be

cut out from another

document; if so, it

should be sourced

Corrected, source named. Spelling is the original wording by the scheme and not to be altered by the assessor.

3.4, 1st

para.

Pg 15

‘All required

documentation is

detailed, concise and

available in English

language.’

‘Next to conditions for

the voluntary …’

Presume all

documentation was

available in English as a

requirement of the

PEFCC for scheme re‐

endorsement not just

for this chapter!

Use of ‘Next to’ –

wouldn’t this be

‘Besides”?

Sentence moved to chapter 1.8 (any other aspects). Changed the wording to include “Besides”.

4, 1st

para.

Pg 18

See text in 3.1

‘PEFC Austria was

recognised by the

PEFC Council

members on July 27,

2000.’

See comment for 3.1

Recognised for what? –

it’s forest certification

scheme as it would

have been at that

time?

See comment for 3.1 It was recognised that the PEFC Austria scheme meets the international requirements of PEFCC.

Figure in

4, Pg 18

[No text] See comment at table

on Pg 14

Corrected, source named.

4, 4th para

Pg 19

‘The General

Assembly, consisting

of all members, is the

highest authority of

the association. It

Use of ‘association’ –

in 1st para, it is a

‘national

organisation’?

Vice‐Chairmen means

Yes.This sentence was deleted as PEFCC has no requirements regarding the number and role attributes of vice‐chairmen. According to the PEFC Austria


holds the power to

elect and withdraw

both the Chairman

and Vice‐Chairmen of

the association. … …

absence, the Vice‐

Chairmen acts on his

behalf.’

‘… investigate the

accepted complaint or

appeal. …’

plural, so there is more

than one – is that

correct?

If this is plural, do both

(or more) assume the

role equally?

Maybe the wording

could be ‘any valid’ for

‘accepted’?

website there is one chairman and one vice‐chairman (https://www.pefc.at/pefc‐austria/) Accepted means it is accepted as being a valid complaint. No change of wording.

5.1, 3rd

para

Pg 20‐22

4th para

5th para

10th para

11th para

‘The Working Group

(WG) revised the

normative documents,

guidelines and process

descriptions, thereby

it was supported by an

external consultant.

‘… and experts were

included.’

‘… through

Stakeholder and the

working group.’

‘The composition of

the working groups is

available in Annex 1 of

the Standard Revision

Report and in Annex

5.’

‘The first meeting of

Working Group

members was held on

16.12.2014 in Vienna.’

‘Among other, the

timetable for the

revision …’

Use of ‘thereby it’ –

maybe it is just

‘which’?

What sort of experts?

Indicates that it is only

one; presumably, it is

more than that so

should it be

‘stakeholders’?

I would have this

reversed as Annex 5 is

more applicable to this

report and Annex 1 of

the SRR is the source

document.

This is implied in the

2nd sentence by the

date range and the

location.

Other what? – items or

matters or issues?

Report adjusted It refers to the members of the PEFC Austria expert panel, as listed in Annex 5. Report adjusted. Correct. Report adjusted. Report adjusted. Report rephrased. Sentence deleted. ‘Among other’ deleted.

6.1, 4th

para

Pg 23

‘…relevant aspects

such as environmental

protection, fire

protection and

generally forestry are

considered. …’

For what? Is it within

the AT ST

requirements or ??

Please read the entire paragraph. It mentions at the beginning that it is relevant for forest management in Austria.

7.1, 1st

para

Pg 25

‘All required

documentation is

detailed, concise and

available in English

language.’

See the comment at

3.4

See the comment at 3.4

9.1, 3rd

para

‘For Chain of Custody

certification: PEFC

This isn’t the correct

title for the PEFC ST –

Report adjusted. Full title mentioned.


Pg 27

4th para

5th para

Austria adopted the

PEFC ST 2003:2012

Requirements for CBs

(COC) in full.’

‘The CBs will have to

report all important

information (e.g. new

certificates, changes in

the scope of a

certificate, e.g.) to

PEFC Austria.’

‘The scope of

accreditation also

explicitly requests to

apply the

requirements of

ISO/IEC 17021.’

should maintain the

correct title

It may not finish with

e.g. – maybe it is

meant to be ‘etc’?

‘requests to apply’ or is

it ‘requires the

application of’?

Correct, report adjusted. The latter, report adjusted.

Annex 1

Part 1

4.1 d) & f)

Procedur

es

Pg 33/34

‘PEFC AT PB 4001, 5:

Chapter 5 describes in

12 paragraphs the

details of the

standard‐setting

process.’

While this may

describe the details to

the assessor, maybe an

assessment of

compliance statement

is warranted as in

those with quoted text,

the compliance is

evident

Copied 12 paragraphs in report, report adjusted. This is seen as a duplication of information as those paragraphs are listed individually in Annex 1, Part I, chapter “Standard‐setting process”.

4.2,

Process

Pg 35

4.1 PEFC Austria shall

make its

standard‐setting

procedures publicly

available and shall

regularly review its

standard‐setting

procedures including

consideration of

comments from

stakeholders.’

Why is a requirement

quoted here? The

evidence is below the

quote, so no need for

it as it is in the

procedures and it must

be demonstrated by

evidence.

Report adjusted.

4.3

Process

Pg 36

‘SRR incl. attachments

see appendix. Those

provide for a detailed

overview of activities

undertaken (for

example conducted

workshops &

consultations).’

‘attachments’ – in

Table 1, they are

described as Annexes!

and

‘see appendix’ – which

appendix – of SRR or of

this report?

Clarified that this refers to the annexes of the SRR, especially annex 3. Report adjusted.

5.3

Process

Pg 45

SRR, 4.1.3:

“ “

Missing any reference

to text to indicate

compliance for this

requirement

Text added. Report adjusted.


5.5 b)

Process

Pg 52

‘Two detailed

documents publicly

available via the

website of PEFC

Austria demonstrate

compliance with this

requirement:

“Übersicht

Änderungen 3.

Systemrevision” (16

pages) and

“Abgegebene

Kommentare zu den

Standardentwürfen –

list of comments (13

pages).’

Maybe translate the

German titles into

English!

Translations added.

4.5c)

Procedur

es;

5.1

Process;

5.2

Process

“ “… … … The evidence quoted

commences with a

double quotation mark

rather than just a

single quotation mark

Corrected.

Part II

4.1 a)

4.1 b)

Pg 68/69

‘Note1: …’

‘The regional comitee

…’

Note 1: …

The regional

committee …’

Text from the original document. Not to be altered by the assessor.

4.1.3

Pg 71

PEFC AT ST 1003, 4.1.7

text

While noting the

positive assessment, it

should be noted that it

is missing relevant

word(s) e.g. ‘complies’

or ‘is in conformity’. Is

this the case or a

transcription error?

See the quoted text: “4.1.3 The governing body of the group organisation shall take the overall responsibility…participant’s compliance with...”. In the view of the assessor there are no relevant words missing. It is just a different description of how to meet the requirement.

4.2.1 a)

Pg 73

PEFC AT ST 1003, 4.2.2

text

Is the sub point under

a. in fact a sub point or

is it a proper dot

point?

Text and text layout from the original document. Not to be altered by the assessor. Assumed to be a sub point.

4.2.1 d) &

i)

Pg 74 &

77

PEFC AT ST 1003,

4.2.12 text at dot

point e. – ‘targests’

Spelling error – it

should be ‘targets’!

Text from the original document. Not to be altered by the assessor.

Part III

5.1.10

Pg 92

5.1.10 text Move the text to the

top of the page (or

cell)!

Format of the document to be used, see also 5.1.8 or 5.1.12.

5.6.4

Pg 133

YES Or is it N/A based on

the two comments as

there is no

N/A as a result is not foreseen in this type of assessment. See Annex 1, 1.2 Methodology.


requirement for

compliance!

Part IV

1.7.2

Pg 140

‘For Chain of Custody:

PEFC Austria adopted

the PEFC ST

2003:2012

Requirements for CBs

(COC) in full!’

This is not the correct

title!

There is no need for

the exclamation mark

at end of sentence.

Report adjusted. Full title mentioned.

Table

heading

Pg 140

PROCEDUR

ES

Need to format the

table heading so that it

is on one line

Report adjusted.

23

Pg 158

PEFC AT ST 1004:2017,

Annex 2:

No. 22 refers to

Appendix 2 – is it the

same as Annex 2?

Based on evidence, I

can’t see a specific

response for any

discrimination against

CBs from outside of

Austria i.e. non‐

discrimination of any

CBs no matter where

domiciled provided it is

accredited through IAF.

Can assessor ensure

this is the case for

PEFC Austria

documentation?

Yes, rephrased report. There seems to be a technical misunderstanding here. CBs are not accredited through IAF but by (typically) a national AB being member of IAF. In the case of the PEFC Austria scheme accreditation of the forest certification programme is managed by DAkkS (German AB) and FM certification provided by an international CB. There may be different attributes of discrimination next to the ones listed in the PoE comment.

Annex 2,

1st para

Pg 160

‘… of the Technical

Committee/Working

Group responsible for

the standard …’

Is different to 3.7, 1st

paragraph

Report adjusted.

Table 3,

Q1

Pg 160

’11,1%’

’11,1%’

Can’t have % if they

have been accounted

for in the other figures!

Please read the note below the table: * Two stakeholders considered their organisations to belong to two categories: Next to “Forest owners and managers” they chose “Other” and “Sector utilising the ecosystem services of forestry (incl. NGOs)” Adjusted report: However, for reasons of data consolidation those are not listed in the table with data values.

1.2 p. 7 7) Clarification on the

use of the term

“annually” was

provided by PEFCC on

19.09.2017.

Is this really “one stage

of the assessment

process”? If so, some

clarification could help

to understand the

importance of the

Reworded to “activities”.


word!

1.3.1 p. 8 Minimum

Requirement

Checklists (MRC) were

used to assess the …

There are no MRCs

available in the

assessment report.

Annex 1 refers to

“Standard and System

Requirement

Checklists”. Most often

assessment reports do

have MRC

Correct, Annex 1 “Standard and System Requirement Checklists” is the equivalent to MRC.

1.3.2 p. 8 All 25 organizations

involved in the

standard setting

process according to

the provided list of

members of the

Working Group (14

members) and the

Sub‐Working Group

(11 members) in

charge of the revision

of the PEFC Austria

(see Annexes of the

standard revision

report)

Where are the names

of the organisations in

annexes!!? No it is

impossible for the

reader to identify stake

holders or

organisations in

question.

See Annex 5 of the report: “Table 6: Members of Working Group and Sub‐Working Group”

1.3.2 p. 8 The comments would

have been evaluated

and considered, if

relevant, during the

assessment and

elaboration of the

draft report. However,

there were none.

During the years, the

result of the public

consultations has

remained the same –

no comments. – PEFCC

and the Secretariat

shall really consider

the worth of this

“public” consultation!

It gives the idea of an

open process, but on

the other hand – you

get nothing.

No comment.

2. p. 12 Content of the

“Recommendation”

chapter

I would like to see this

chapter to be more

“formal”. There should

be a statement saying

how many NCs were

identified and where

during the assessment

process; what kind of

NCs were identified

and how they were

resolved. By adding

This chapter should be kept brief and only describe the final assessment results. Should there be any remaining NCs, those will be mentioned together with a deadline for closure. If principally more information is wanted/required in relation to NCs resolved during the assessment process probably an additional chapter in the report template would be useful. But this


this information, the

credibility of the

assessment report and

the recommendation

will be increased.

adaptation would need to be discussed with the PEFC Technical Unit beforehand. On top it appears questionable in how far information about resolved NCs would increase the credibility of the recommendation.

3.1 p. 13 …labelling of wood

products

or wood‐based

products?

Report adjusted to refer to “wood‐based products”.

3.1 p. 13

and 4. p.

18

PEFC Austria is a work

group responsible for

the standard setting

and the

administration of the

Austrian PEFC scheme.

The total organisation

of PEFC Austria is a

working group for

standard setting? Or

how does “work

group” differ from

“working group”?

Different work groups within the standard setting context need to be differentiated: those directly involved in the standard setting process (Working Group & Sub‐working Group) and those involved in steering the process (work group PEFC Austria). One of the roles of PEFC Austria as an organization is to act as the work group which is responsible for steering the standard setting/revision process.

3.2 p. 14 Content of the table 1.Some words are in

German (Mai,

Dezember)

2. “Sec” not defined in

“Acronyms and

Abbreviations” p. 5

This is the original source text and not to be altered by the assessor. Report adjusted.

3.2 p. 14 For more detailed

information see

chapter 5 and

Checklist I in Annex 1.

No numbering of

checklists in Annex 1.

Should be “Part I”

Report adjusted to refer to “Part X”.

5.1 pp.

21‐22

“A description of this

process step is

available in chapter

3.1.3 in the Standard

Revision Report.” AND

“The composition of

the working groups is

available in Annex 1 of


Report and in Annex

5. A description of this

process step is


3.1.5 in the Standard

Revision Report.” AND

“A detailed list of

received comments is

available as part of the

scheme

documentation. A

Valid information is not

included in this

assessment report. The

report seems to hide

information and refers

to documents which

are not available for

the reader!! This is not

the right way to write a

credible assessment

report.

This assessor shall

refer the content of


Report in this

document and give

relevant information to

the reader in order to

understand which

stakeholders took part

Please consider:‐ Annex 5 of the report provides for a list of stakeholders who took part in the revision process ‐ relevant parts of SRR are listed for example in chapter 5 of the report and in various requirements in Part I in Annex 1 ‐ all information in terms of scheme documentation is publicly available via the website of PEFC International: https://www.pefc.org/standards/endorsement‐mutual‐recognition/assessments ‐ comments of PoE are supposed to contribute to the quality of the assessment report based on substantiated findings


description about the

meeting of the

Working Group and

later on of the newly

installed Sub‐Working

Group on group

certification is


3.2 in the Standard

Revision Report.”

with the process – and

which not – it is also

important to know,

how PEFC Austria has

tried to get

disadvantaged

stakeholders to

participate!!!

5.1 p. 21 The online‐forum was

online for 10 weeks

until the 15.12.2014.

No comments were

made in the

online‐forum.

What can be done in

order to avoid results

like this? It does not

increase the credibility

of the process.

No comment.

Annex I,

Part I, 4.1

d). p. 33

PEFC AT PB 4001, 5:


12 paragraphs the

details of the

standard‐setting

process.

Why these 12

paragraphs are not

presented here?

Information is missing!

Copied 12 paragraphs in report, report adjusted. This is seen as a duplication of information as those paragraphs are listed individually in Annex 1, Part I, chapter “Standard‐setting process”.

Annex I,

Part I, 4.1

f). p. 34

PEFC AT PB 4001, 5; 6:


6 paragraphs the

details of the

standard‐setting

process.

Why these 6

paragraphs are not

presented here?

Information is missing!

Actually the question f)

was: “revision of

standards/normative

documents”.

Typo, has to read: “PEFC AT PB 4001, 5.6” Report adjusted. All six paragraphs of 5.6 are listed individually in Annex 1, Part I, chapter “Standard‐setting process”.

Annex I,

Part I, 4.4

a) , 4.4 b)

Process – reference to

application

documents

These references do

not convince the

reader to agree with

the assessor’s decision

“YES”.

Again there is only

reference to

documentation (SRR)

which is not available.

As this is a document‐based assessment, the content of the application documents (scheme documentation) serves as the primary source of information for all involved in the assessment. A sample of process‐relevant documentation was verified, e.g. “Press release „ 3. Systemrevision – Öffentliche Befragung startet“ and “Screenshots Website Public Consultation_2015 1” The SRR is publicly available via: https://www.pefc.org/standards/endorsement‐mutual‐recognition/assessments

5.1 p. 21 Therefore in addition

to the working group

members,

representatives of the group forest

This text is too loose –

“representatives of the

group forest

certification” ????

“PEFC panel of

The representatives of the group forest certification are listed in Annex 5 of the report as “Nominated Member Sub‐Working Group”. Report was adjusted to be specific


certification, the Austrian Research

Centre for Forests

(BFW) and the PEFC panel of experts were brought in.

experts” – I suppose

the latter

“representative” is not

presenting PEFC panel

of experts” but only

himself as a member of

PEFC panel of experts.

Or the text refers

something else…

to PEFC Austria scheme panel of experts.


information see

checklist I in Annex 1.

No numbering of


Should be “Part I”

Report adjusted to refer to “Part I”.

6.1 p. 23 This standard is

complemented by a

second standard, PEFC

AT ST 1002:2017

“Criteria and

Indicators for the

Determination of

Sustainable Forestry in

Austria”, which

provides a detailed

catalogue for

assessing sustainable

forest management

for group

certifications in

natural growth

regions (part A) and

the criteria and

indicators for

assessing sustainable

forest management

for the group

certification in general

and the individual

certification (part B).

The result is a

comprehensive set of

requirements

designed to fit the

forestry structure of

the country, e.g. in

terms of historical

development, forest

vegetation type or

ownership pattern.

This explanation of the

“second standard” is

very complicated and

unclear. It is for group

certification, but also

for individual

certification? Some

more clarification

between these two

SFM standards

needed!

The assessor should

also consider one short

chapter describing the

Austrian forestry and

forest sector: i.e. forest

ownership structure,

major forestry related

organisations etc. –

This could help the

reader a lot!

The agreed aim of this report, as far as findings in relation to standard contents are concerned, is not to try to clarify subjectively perceived complexities of standards but to assess in how far their content matches the international requirements of PEFCC. Any comment expressing doubts on the findings described in chapter 3 of the report should therefore be directly linked to a substantiated claim about missed or falsely interpreted information or data in the scheme documentation in Annex 1.

6.1 p. 23 3) Analysis of existing

official forest‐related

The content of this

analysis remains

As described directly below in the text of this chapter, the term “official forest‐related sources”


sources unclear: “existing

official forest‐related

sources”? Is this forest

inventory data?

includes, but is not limited to: “• Austrian Forest Inventory • Other monitoring systems of the Federal Research Centre for Forests • Forest Development Plan • Danger Zone Map • Study on the naturalness of forest stands • Official statistics • Alpine Convention / Mountain Forest Protocol”

6.1 pp.23‐

24

Content of the

chapter

The chapter should

discuss and present

the findings of the

revised Austrian Forest

Management

Standard(s). For me

the content of the

chapter does not give

required information.

Nothing is said on the

content of the

standard. Nothing is

said on the differences

between the two SFM

standards. There is no

examples of assessor´s

analysis of any criteria

or indicator. – It is

impossible to get even

a hint what is needed

for PEFC certified

forests in Austria. – I

recommend more

informative content to

this chapter!

Again, all information underlying the assessment results is available in Annex 1., in ~50 pages. This does not just represent a “hint” but the full scale of requirements as stipulated by the PEFC Austria scheme. Sub‐chapters in Chapter 3 are kept short by purpose to focus primarily on findings related to open NCs.


information see

Checklist III in Annex

1.

No numbering of


Should be “Annex I,

Part III”

Report adjusted to refer to “Part III”.

6.1 p. 24 The requirements of

PEFC Austria do

broadly match the

international

requirements of PEFC.

“Broadly match” is not

acceptable in an

assessment report.

Either the Austrian

PEFC standard is in

conformance with the

requirements of

PEFCC, or it does not

fully conform, which

means that there

Report adjusted. All chapter conclusions read now: “The requirements of the PEFC Austria scheme match the international requirements of PEFCC.”


remain some minor

non‐conformities.

Annex I,

Part III,

4.1 a) pp.

81‐82

PEFC AT ST

1002:2017:“1 Scope:

This document defines

of criteria and

indicators of the

Austria PEFC‐system

on regional level

(group certification in

natural growth

regions – part A) and

on level and for

individual certification

of the group

certification in general

(part B).”

This reference

information does not

open to me. There is

one standard PEFC AT

ST 1001 for SFM in

Austria. Then there is

the second, i.e. PEFC

AT ST 1002. But the

scope is 100% unclear.

(The reason might be

my limited

understanding of

English, however,

without further

clarifications by the

assessor “ I am

confused”

PEFC AT ST 1001:2017: “1 Scope: The document defines the requirements for sustainable forest management within the assessment unit (group organisations / individual holdings) for certification, which are applicable for the voluntary participation in PEFC‐forest certification. Note: In principle the requirements of this standard apply to the forest management unit level. Where a requirement applies to another level, e.g. a group organisation, the compliance at this level also ensures intended performance at the forest management level.” PEFC AT ST 1001:2017, p.4: “The requirements for sustainable forest management defined in this document complement Austria’s high level of sustainability in forest management. In principle, sustainable management in an assessment unit is proved by the catalogue PEFC AT ST 1002 Criteria and Indicators for Assessing Sustainable Management in Austria”. PEFC AT ST 1001:2017 represents the PEFC Austria standard for SFM in Austria and PEFC AT ST 1002:2017 represents the criteria and indicators to measure SFM implementation in Austria. In short, there is an element of additionality and complementary between these two standards with the aim to cater for all forms of applicability in forest management. This information was added to chapter 3.3.

7. p. 25 Content of the

chapter

The chapter should

discuss and present

the findings of the

revised group

certification in Austrian

PEFC forest

certification. Earlier

there was a mention of

The layout of this report is defined by the terms of reference for this work: “The report shall be structured according to PEFC IGD 1007‐03:2012 and PEFC Secretariat’s clarification concerning the content of the assessment report (clarification 30/10/12).” The SWG


The Sub‐Working

Group (SWG) “Group

certification NEW”.

However, in this

chapter there is no

mention of this sub‐

WG, which I supposed

to establish a new

group certification

model for Austria!

In this report there is

very limited

information of Austrian

forestry and

organisations

operating in Austrian

forestry. That is why it

is very difficult – if not

impossible – to

understand how group

certification has been

organized and how it

operates in Austria –

and this chapter does

not make it easier to

understand.

The assessor shall

restructure the

chapter. It seems as if

the report has been

prepared in a great

hurry and the author

has not had time

enough really to

consider for instance

the lay‐out.

is mentioned in chapter 5.1 describing its role during the standard setting process. All roles and responsibilities for standard implementation are clearly described in PEFC AT ST 1003:2017, which is assessed in detail in Annex 1, Part II. Report adjusted: “This considers the specific situation of Austria with more than 170.000 small forest owners managing more than 50% of the national forest area. The regional committee is the governing body of the group organisation of the group certification in natural growth regions. The regional committee is represented through its chairman or his deputy and is attached to the regional chambers of agriculture.”

7. p. 25 The main standard

PEFC AT ST 1003:2017

“Group Forest

Certifications

according to the

PEFC‐System in

Austria ‐

Requirements” is

based in its scope on

the two PEFC Austria

standards mentioned

in 3.3 above. It

describes over all the

It would help the

reader a lot, if the

assessor could in this

chapter give a short

description, how the

group certification has

been organized in

Austria, including

information on the

applicant,

responsibilities etc.

And the two standards

– like I said already

All roles and responsibilities for standard implementation are clearly described in PEFC AT ST 1003:2017, which is assessed in detail in Annex 1, Part II.


objectives,

organisation and

management of

regional forest

certification and

specifies tasks and

responsibilities for the

regional applicant for

certification

earlier (Annex I, Part

III, 4.1 a) pp. 81‐82),

when reading this

report I do not

understand this

concept.


PEFC Austria do match

the international


I would rather say: The

Austrian revised PEFC

system for group

certification conforms

the requirements of

PEFCC. or …is in


PEFCC requirements.


8. p. 26 content of the chapter I prefer more formal

conclusion of the

assessor, like: The


system for the chain‐

of‐custody certification

is in conformance with

the PEFCC

requirements.


9.1 p. 27 For Forest

Management

Certification: PEFC

Austria specifies that

the entity applying for

the notification shall

have a valid

accreditation

according to ISO/IEC

17021‐1, issued by a

national accreditation

body that is a member

of the European

co‐operation for

Accreditation

…or member of the

International

Accreditation Forum,

IAF?

Austria and Germany, home to the AB operating the accreditation for the PEFC Austria scheme (DAkkS), are members of the IAF. The European co‐operation for Accreditation itself is regularly evaluated by IAF and has the status of a “Regional Accreditation Group” with the main scopes ISO/IEC 17021‐1, ISO/IEC 17065 and ISO/IEC 17024 (http://www.iaf.nu/articles/Regional_Accreditation_Groups/130).

9.1 p. 27 Content of the

chapter

This is the only

chapter, where the

assessor gives

information of the

issue in question.

Similar approach could

have been used in

No comment.


other chapters, too


PEFC Austria do

broadly match the

international


“Broadly match” is not

acceptable in an

assessment report.

Either the Austrian

PEFC standard is in


requirements of

PEFCC, or it does not

fully conform, which

means that there

remain some minor

non‐conformities. In

this case PEFC Austria

has copied the PEFCC

international

requirements. My

proposal: ”The


system for

certification and

accreditation

arrangements is in


requirements of

PEFCC.”


Annex 2.

1 p. 160,

Annex 5,

p. 166

Content of “Annex 2”

+ Annex 5

These are the only

places I found some

names of Austrian

organisations taking

part with the revision

process! Names of the

stakeholders in the

revision process shall

be mentioned in the

assessment report. –

For the reader it is of

utmost importance to

know, which invited

organisations did not

participate the process

(or the stakeholder

survey)!

Since Annex 2 and Annex 5 are parts of this assessment report the names of stakeholders/organisations which took part in the revision process are available and mentioned in the assessment report.


Annex 5: Any other relevant information

Table 7: Members of Working Group and Sub‐Working Group

Organisation Nominated Member Working Group Umweltdachverband Hannes Minich LK Österreich Thomas Leitner Waldverband Österreich Martin Wöhrle Österreichischer Forstverein Lois Berger Land & Forst Betriebe Österreich Bernulph von der Hellen, Marco Lassnig FV der Holzindustrie Rainer Handl, Reinhard Mösslacher Austropapier Hans Grieshofer, Herbert Ebner Bundesgremium des Baustoff-, Eisen-, Hartwaren und Holzhandels

Christian Rebernig, Sabrina Winkler

Gewerkschaft Metall, Textil, Nahrung Gerhard Kleinhofer Verband Druck- und Medientechnik Christian Handler Österreichische Bundesforste Gernot Pichler Landarbeiterkammer Christian Mandl, Andreas Freistetter Biomasseverband Christoph Pfemeter Österreichischer Forstunternehmerverband

Peter Konrad

Organisation Nominated Member Sub-Working Group

Representatives of the Group forest certification (regional representatives)

Günter Affenzeller Landwirtschaftskammer Oberösterreich Ludwig Köck Landwirtschaftskammer NiederösterreichElisabeth Schaschl Landwirtschaftskammer Kärnten Peter Stachel Landwirtschaftskammer Steiermark Klaus Viertler Landwirtschaftskammer Tirol Alexander Zobl Landwirtschaftskammer Salzburg

Representative of the Austrian Research Centre for Forests (BFW)

Richard Büchsenmeister

Members of the PEFC Austria expert panel

Peter Weinfurter Kurt Ramskogler Karl Jäger Klaus Michalek

Date post:	30-Jun-2020
Category:	Documents
Upload:	others
View:	1 times
Download:	0 times