Conformity Assessment of the revised UK Forest Certification Scheme

8/14/2019 Conformity Assessment of the revised UK Forest Certification Scheme

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PEFC Counci lPEFC UK

Conformity Assessment of the revisedUK Forest Certif ication Scheme

Final Report

Indufor OyHelsinkiJanuary 7, 2008


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Copyright 2008 by Indufor OyAll rights reserved. No part of this publication may be reproduced or transmitted in any form or by anymeans, electronic or mechanical, including, but not limited to, photocopying, recording or otherwise.


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TABLE OF CONTENTS

EXECUTIVE SUMMARY 1

1. INTRODUCTION 41.1 Development Process 41.2 Reporting 4

2. RECOMMENDATION TO PEFCC BOARD OF DIRECTORS 53. MATERIAL AND METHODS 64. STRUCTURE OF THE UK FOREST CERTIFICATION SCHEME 85. STANDARD SETTING FOR CERTIFICATION 9

5.1 Standards for Forest Management Certification 95.2 Standards for CoC Certification 145.3 Pilot Testing 145.4 Standard Review 15

6. REQUIREMENTS FOR CERTIFICATION CRITERIA 176.1 General 176.2

Laws and Regulations 18

6.3 International Conventions 196.4 Level of Application 19

6.4.1 General 196.5 Group Certification 20

6.5.1 Individual Certification 226.6 Implementation of the Changes to Scheme 226.7 Appeals and Dispute Settlement 23

7. PERFORMANCE REQUIREMENTS 247.1 Compatibility with Pan European Operational Level Guidelines 24

8. REQUIREMENTS FOR CERTIFICATION BODIES ANDPROCEDURES 268.1 Certification Bodies 268.2 Certification Procedures 288.3 Accreditation Procedures 30

9. COMMENTS RECEIVED 32LIST OF ANNEXES

Annex 1 Minimum Requirements Checklist for Standard SettingProcess

Annex 2 Minimum Requirements Checklist for Scheme Compliance with thePEOLG

Annex 3 Minimum Requirements Checklist for Certification Schemes andtheir Implementation

Annex 4 Minimum Requirements Checklist for Scheme Specific CoCStandards

Annex 5 Minimum Requirements Checklist for Certification and AccreditationProcedures

Annex 6 Consultants response to Peer Review

LIST OF FIGURES

Figure 1.1 Time Schedule on the Development of the UK PEFCCertification Scheme 4

Figure 4.1 Structure of the PEFC UK Certification Scheme for SFM 8LIST OF TABLES

Table 5.1 Interests Participating in the Steering Group 10Table 7.1 Compliance of the Group/Individual Standard with PEOLG 24

INDUFOR: CONFORMITY ASSESSMENT OF THE REVISED UK FOREST CERTIFICATION SCHEME. Final Report.January 7, 2008

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ABBREVIATIONS AND ACRONYMS

AB Accreditation BodyCoC Chain of CustodyEA European Co-operation for AccreditationEMS Environmental Management System

EN European StandardENGO Environmental Non-Governmental OrganisationFMU Forest Management UnitFSC Forest Stewardship CouncilGL GuidelineGMO Genetically modified organismIAF International Accreditation ForumILO International Labour OrganizationISO International Organization for StandardizationNGO Non-governmental OrganizationPEC Pan-European CriteriaPEFC Programme for the Endorsement of Forest Certification SchemesPEFCC PEFC Council

PEOLG Pan-European Operational Level GuidelinesQMS Quality management systemSFM Sustainable Forest ManagementTD Technical DocumentUK United KingdomUKAS United Kingdom Accreditation ServiceUKWAS UK Woodland Assurance Standard


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4. Levels of implementation conform to PEFC requirements

The Scheme includes options for group and individual certification. Theresource manager certification is a modification of the group certification.

5. Scheme and Performance requirements conform to PEFC requirements

The performance requirements for group/individual certification establishtogether with relevant legislation compliance with the Pan-EuropeanOperational Level Guidelines (PEOLG). The Standard is applicablethroughout the nation and in different types of forests. The performancerequirements are in compliance with the PEFC Council (PEFCC)requirements.

6. Compliance to legislation is required according to PEFC rules

The standard rely on legislation and the target performance on forestcertification is to achieve the conformity with normative level requirements.The national forest policy objectives set out in the UK Forestry Standard (the

Governments approach to Sustainable Forestry) are taken into considerationwhen developing the UK Assurance Standard. The UK has ratifies allinternational conventions referred to in PEFC Technical Document andtherefore the respective requirements are incorporated into legislation.

The Scheme requires that participants to individual and group certificationcomply with legislation and the compliance is verified in audits.

7. Timber tracing is implemented according to PEFC rules

The PEFC UK adopted the international PEFC standard for Chain of Custody(CoC) verification in December 2005. The Board of PEFC UK adopted at themeeting of the Directors on 28 March 2007 the following new Appendices tothe CoC standard:

Appendice 1 (27 October 2006), Appendice 6 (27 October 2006),

Appendice 7 (27 October 2006) and

Appendice 8( 27 October 2006), as well as

Guideline (GL) 6/2006 (Notification of the Certification bodies).

The PEFC Logo Use rules apply to the licensing and control of PEFC logouse rights within the Scheme.

8. Certification and accreditation processes do not fully comply with PEFCrequirements

The Scheme is in compliance with the PEFC requirements regarding thecertification procedures. The Scheme sets requirements on the use ofexternal information in audits, through stakeholder consultation, and on thepublic availability of summaries to certification reports.

The Scheme provisions for accreditation conform to PEFC requirements. TheABs shall operate in accordance to the ISO 17011 standard and otherrelevant documents. The Scheme does not explicitly require that auditors andauditing procedures must comply with ISO 19011 Standard, which is not in theline with PEFCC requirements. However, accredited certification bodies mustapply certification procedures and employ competent auditors as required inthe accreditation standards (ISO Guides 62, 66, 65) and other provisions ofAB (United Kingdom Accreditation Service UKAS).


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The Scheme documentation provides the participants in group certificationwith the attestation of participation from the certificate holder (the GroupManager).

9. PEFC notification of the Certification Bodies

The PEFC UK complies with the PEFCC requirements on the notification ofthe certification bodies. According to the Scheme, also the certification bodiesoperating CoC certification against the PEFC international CoC standard incountries without a PEFC National Governing Body shall be notified by thePEFCC

The final draft assessment report is submitted to the PEFC Council nominated peerreview panel that verifies the consistency and reliability of the report. The peerreviewers comments and consultant replies are annexed (as Annex 6) to theassessment report. The Consultant duly took the peer reviewers appropriatecomments into consideration.


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1. INTRODUCTION

1.1 Development Process

The PEFC UK Certification Scheme for SFM (The Scheme) was first adopted by

PEFC UK Ltd in 2001 and endorsed by PEFCC in 2002 (Figure 1.1).

Since 2002, PEFC UK has incorporated a number of amendments to the originalScheme. As the original Scheme expires in 2007, the Scheme has now been re-drafted to meet current PEFCC requirements. The revised Scheme is based on twonational UK published documents namely, the UK Forestry Standard (theGovernments Approach to Sustainable Forestry), which was revised in April 2004,and the Forest Management Certification Standards, which is known as the UKWoodland Assurance Standard (UKWAS; the Standard).

UKWAS has undergone a review and public consultation exercise during 2005 and2006. The revised document has been published on 1 November 2006. The board ofPEFC UK Ltd. adopted the revision of the whole Scheme, on the 5 July 2006. The

PEFCC appointed Indufor Oy to carry out the re-evaluation of the Scheme against therequirements of the PEFCC. The adoption of the Scheme by the PEFC UK Ltd. priorto publication of the UKWAS standard and the Scheme is not in conflict with thePEFCC requirements for revision procedures.

This final re-assessment report is based on the documentation provided by the PEFCnational governing body, the PEFC UK Ltd in December 2006 and March 2007 as wellas additional clarifying information received from the PEFC UK Ltd. in February-March2007.

Figure 1.1 Time Schedule on the Development of the UK PEFC CertificationScheme

1999

UKWASlaunched

PEFC UKLtd

established

2000 2001

PEFCScheme

adopted byPEFC UK

2002

PEFC UKScheme

endorsed byPEFC

Council

UKWAS

Companyestablished

2003

UKWASrevised

standard

2006

1.2 Reporting

The conformity assessment results are presented in this main report and thesupporting Annexes, which give detailed conformity assessment on all the checklistquestions and Pan European Operational Level Guidelines. The structure of the reportfollows the reporting guidelines given by the PEFCC, where conformity is reported toeach key question presented in the PEFC Minimum Requirement Checklist. Thenumber in parenthesis refers to the checklist question number. The results arereported separately (i) for the conformity of the Scheme documentation to therequirement, and (ii) for its practical implemented during the scheme development.


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3. MATERIAL AND METHODS

The evaluation is based on the documentation of the PEFC UK Certification Schemeas it was originally submitted to the PEFCC in September 2006. The PEFC UKapplied for the interruption of the Scheme re-evaluation process in 21 March 2007.

This final report is based on the documentation submitted by the PEFC UK Ltd. on 4April 2007 after the interruption process.

The PEFC UK Certification Scheme includes the following documentation:

1. PEFC UK Certification Scheme for SFM (Revision March 2007) - hereafterScheme

2. The UK Forestry standard The Governments Approach to SustainableForestry (April 2004, Revision, Annex 1 to Scheme documentation)

3. UKWAS (August 2006, Revision, Annex 2)4. PEFCC Annex 4 CoC of Forest Based Products: Requirements (Annex 3)

(Amended on 17 June 2005)5. PEFCC Guideline: GL2/2006 PEFCC Minimum Requirements Checklist

(Annex 4)6. Northern Ireland Forestry: A Strategy for Sustainability and Growth (Annex 5)7. UK Indicators of Sustainable Forestry (Annex 6)8. UKWAS Description of Standard Setting Process (Version 1:18.01.07)

The following documentation of the Scheme is obligatory:

PEFC UK Certification Scheme for SFM (Revision March 2007)

UKWAS (2006, Revision, Annex 2)

The UK Forestry standard The Governments Approach to SustainableForestry (April 2004, Revision, Annex 1 to Scheme documentation)

PEFCC Annex 4 CoC of Forest Based Products: Requirements (Annex 3)

The Articles of Association of UKWAS as well as Steering Group Rules were not

included in the Scheme documentation. The Consultant was, however, compelled toinclude them into the assessment, as the Scheme documentation frequently refers tothese documents. The Articles of Association of UKWAS as well as Steering GroupRules are accessible at UKWAS Internet web page.

The Scheme includes also additional Supporting Reference Documentation referred toin the Scheme documentation:

PEFC UK Ltd: UK Certification Scheme for SFM (2001)

PEFCC Statutes

PEFCC Annexes 1-7 to the Technical Document (adopted by the GeneralAssembly of the PEFCC on 22 November 2002 and revised on 28 October2005) (Revisions of October 2006 not adopted during the assessment)

Pan European Criteria and Indicators for SFM PEOLG: Pan European Operational Level Guidelines for SFM

ISO 19011:2002

ISO Guide 61:1996

ISO Guide 62:1996

ISO Guide 65

ISO Guide 66:1999

Core International Labour Organization (ILO) Conventions

Cartagena Protocol on Bio-Safety

Convention on Biological Diversity Convention on International Trade in Endangered Species of Wild Flora and

Fauna

Kyoto Protocol to the United Nations Framework Convention on ClimateChange


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The final draft assessment report is submitted to the PEFC Council nominated peerreview panel that verifies the consistency and reliability of the report. The peerreviewers comments and consultant replies are annexed (as Annex 6) to theassessment report.


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4. STRUCTURE OF THE UK FOREST CERTIFICATION SCHEME

PEFC UK Ltd. is the national PEFC Governing Body. The PEFC UK SFM Standard ismanaged by an independent company - UKWAS, which has coordinated the standarddevelopment since its establishment in 2003. Before 2003, the standard development

was coordinated by the Technical Working Group with the assistance of the UKForestry Commission. The PEFC UK is also a member and consultee of the UKWASSteering Group (Figure 4.1).

The Scheme includes two forest management standards: the UKWAS and the UKforestry Standard - the Governments Approach to Sustainable Forestry. Certificationaudit is made against the UKWAS standard.

Figure 4.1 Structure of the PEFC UK Certification Scheme for SFM

UKWAS Members

PEFC UK Ltd.

Act on the Establishmentof the IFC

Act of establishment

Steering Group

Interpretation panel

Forum -TechnicalWorkingGroup

Certification bodiesSFM certificateholder(s)

CoC certificate holders

Number of issued certificatesNon-conformities in logo use

Logo use licenses

Issues certificates

UKAS - United KingdomAccreditation Service - nationalaccreditation body for the UK

Articles of Association


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5. STANDARD SETTING FOR CERTIFICATION

5.1 Standards for Forest Management Certification

(1) Has the development of the certification standards been independent from

the certification and accreditation process?Annex 2, 3.2

Conclusion 1 Documentation

Conforms to the PEFC requirementsThe UKWAS Companys Memorandum and Articles of Association do not let theUKWAS to undertake certification or accreditation activities, nor let the certificationbodies to influence the standard setting procedure.

Conclusion 1 Practice

Conforms to the PEFC requirementsThe UK PEFC Certification Scheme has been developed independent fromcertification and accreditation processes as required by the PEFC. None of the 13members of the Steering Group have vested interests with certification or ABs(Scheme 6.3).

(6) Have all relevant interested parties representing the different aspects of SFMbeen invited to participate in the standard setting process and a created Forum?Annex 2, 3.4.1


Conforms to the PEFC requirementsThe scheme documentation requires that the commencement of standard settingprocess and information on the development shall be communicated publicly(Description of standard setting process B3). Interested parties representing keyconstituencies: economic, social and environmental, including non-governmental

organisations (NGOs) and environmental non-governmental organisations (ENGOs)shall be invited to participate in the standard setting process (Scheme 6.3).

The Description of standard setting process document includes the description andtime schedule for the standard setting procedures, and the Scheme description alsoprovides indications of the standard revision process and schedule (Scheme 6.1; 6.5).


Conforms to the PEFC requirementsThe documentation of the Scheme concerning the transparency and consultationcomply with the requirement, for the part of the communication with the public.Appropriate records are available on the invitations (Description of standard setting

process B3, B4).

(7) Do consensus-building procedures of the Forum provide for balancedrepresentation of interest categories?

Annex 2, 3.4.1


Conforms to the PEFC requirementsStructure of the Steering Group provide for balanced representation of interests(Scheme 6.3). UKWAS Articles of Association require the Steering Group to adopt theSteering Group Rules, which define the Steering Group procedures. The Articles ofAssociation (Scheme 6.1; Article 39 of Association) require that the Steering Groupinitiates the standard setting process. The Steering Group Rules define that itrepresents 13 constituencies (Scheme 6.3) (Table 5.1).


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Table 5.1 Interests Participating in the Steering Group

Interest Maximum representation of each constituency

Chair and secretary 2Woodland owners 6

Forest Managers 5State Forestry representation 4Environmental organizations 6Forest users 2Wood processing interests 3Wood products industry 2Forest workforce 2Countryside agencies 2Local government 2Standard setting bodies 3Other 1Unallocated (held by PEFC UK) 1Total 41

Source: Scheme 6.3 Current Membership Base


Conforms to the PEFC requirementsStandard setting process and possibility to participate in it was publicly informed.Forum participants represented different interests in a way that ensures broadrepresentation of interests and standard setting process was consultative andsearched for different views of all interested parties. Extensive consultationprocedures provide for balanced representation of interests (Scheme 6.7). SteeringGroup represents 13 constituencies. B 4 Consultations provided the possibilities for allparties to be involved in the standard setting process.

(8) Have the views of all relevant interested parties been documented and

considered in an open and transparent way?Annex 2, 3.4.1


Non-conformance to the PEFC requirementsDocumentation of the Scheme (Standard setting process document) appropriatelyrequires to communicate the information of the standards setting process to the public(B3), however the Articles of Association or the Steering Group Rules as standardsetting documents do not require transparent documentation.


Conforms to the PEFC requirementsThe Standard setting process is well documented and all minutes (Scheme 6.6) andrecords are documented and made public in Internet or on request (Description ofstandard setting process B3, B4). Decision-making procedures, publication ofdocumentation and direct notification of stakeholders were common practices in theprocess (B 3, Scheme 6.7).

The Description of standard setting process document includes the description andtime schedule of the standard setting procedures, although the Scheme descriptionalso provides indications of the standard revision process and schedule (Scheme 6.1;6.5).


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(9) Has the formal approval of standards been based on evidence ofconsensus?Annex 2, 3.4.1


Conforms to the PEFC requirementsAccording to Standard setting process documents all decision in the Steering Groupare made in consensus (B2). The Articles of Association (40.2; 40.3) define the votingprocedures and require the unanimous vote of those attending the meeting (C3). Alldocuments related to the standard setting process shall be available to all interestedparties (B3).


Conforms to the PEFC requirementsVoting procedures of the Steering Group ensure consensus (B5), and all decisionswere made on the basis on consensus B 2, B4).

(10) Has the Forum defined its own written procedures, which have been made

available to interest parties upon request?Annex 2, 3.4.1


Documentation does not conform to the PEFC requirementsUKWAS Articles of Association and Steering Group Rules (B 2, Article of Association40.1) define the roles and responsibilities in standard setting. The Steering Group hasits own written procedures, but the procedures do not indicate any of the standardsetting procedure requirements. The Articles of Association and Steering Group rulesare available in the Internet.


Conforms to the PEFC requirementsThe UKWAS Articles of Association and Steering Group Rules defining someguidance to standard setting were adopted in 25 November 2002 and 15 December2003 respectively, prior to the Scheme revision. Despite the lack of explicit standardsetting rules the procedure was implemented according to the PEFC rules (Standardsetting process document).

(11) Do the written procedures for standard setting contain an appealmechanism for impartial handling of any substantive and proceduralcomplaints?

Annex 2, 3.4.1


Conforms to the PEFC requirements

The procedures of the Steering Group contain an appeal mechanism for disputeresolution related to the Standard interpretation and standard setting. TheInterpretation panel, which is appointed by the Steering Group, provide InterpretationNotes for standard users. The Interpretation panel also acts as a final stage of appealfor procedural matters related to the standard setting. The interpretation panel decideson its own rules and procedures. The decisions of the Interpretation panel aredocumented and publicly available.


Conforms to the PEFC requirementsSubstantive or procedural complaints related to the standard setting are consideredand determined by the Steering Group. Appeals against Steering Group decisions are

addressed to the Interpretation panel, which acts as a final stage of the appealprocess. The independent chairman chairs the panel and the members of the panelequally represent social, economic and environmental interests.


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(12) Has the start of the standard setting process been communicated to thepublic?Annex 2, 3.4.2

Conclusion 8 DocumentationNon-conformity to the PEFC requirements

The scheme documentation requires that the commencement of standard settingprocess and information on the development shall be communicated publicly(Description of standard setting process B3). Interested parties representing keyconstituencies: economic, social and environmental, including NGOs and ENGOsshall invited to participate in the standard setting process (Scheme 6.3).

Documentation of the Scheme (Standard setting process document) appropriatelyrequires to communicate the information of the standards setting process to the public(Scheme 6.5, 6.7) (B3), however the Articles of Association or the Steering GroupRules as standard setting documents do not address the issue of communicating thestart of the standard setting to the public


Conforms to the PEFC requirementsCommunication via e-mail, web page statements and in hard copy. Information onstandard setting process available at UKWAS office and UKWAS web page (B 3, B 4).

(13) Has the information on the development process been distributed anddiscussed?Annex 2, 3.4.2,


Conforms to the PEFC requirementsThe information on the development process has been distributed to the SteeringGroup members as well as to all interested parties. (B3) According to Standard settingprocess document, no information on the development of the standard shall bewithheld unreasonably (B3). The information on the process has been distributedthrough UKWAS web sources to all interested parties as well as by hard copies to thesteering Group members (B3). Information on the Steering Group meetings isavailable at UKWAS office and Internet pages. According to Standard setting processdocument summaries of comments on each draft as well as all correspondence inrelation to development of the standard shall bee kept by the Steering Group (B7).


Conforms to the PEFC requirementsScheme 6.5, 6.7, B 3, B 4 Distribution via e-mail, Internet and in hard copies.Information on standard development process available at UKWAS office and UKWASweb page.

(14). Has the final draft standard been available to all interested parties, e.g. byposting it on the Internet?Annex 2, 3.4.2

The Scheme documentation requires that copies all draft shall be kept by the SteeringGroup (B7) and the information on the standard development information shall becommunicated publicly (B3).


Conforms to the PEFC requirementsThe draft standards have been distributed via e-mail, Internet and in hard copies (B 4).


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(15) Has the final draft standard been sent out for formal national consultationprocess?Annex 2, 3.4.3


Conforms to the PEFC requirementsThe Scheme documentation requires that the final draft standard (a pre-approvaldraft as defined in the documentation) shall be submitted to the formal nationalconsultation process (Standard setting process description B 4).


Conforms to the PEFC requirementsFormal national consultation took place between June 2003 and January 2006(Scheme 6.7, B 4).

(16) Have views of interested parties been discussed?Annex 2, 3.4.3


Conforms to the PEFC requirementsThe Scheme documentation does not explicitly require that the views of all partiesshould be discussed, however the Standard setting process document requires thatthe formal responses to comments received (from the interested parties) shall beavailable to all interested parties (B3).


Conforms to the PEFC requirementsThe Steering Group has documented and taken into consideration all the viewspresented during the consultation. All comments are recorded (B7; UKWAS RevisionConsultation Returns and Steering Group Decision July 2004 as an example of thediscussion of views of different interested parties).

(17) Has the Forum given general information on the changes made as a resultof a consultation process?Annex 2, 3.4.3


Conforms to the PEFC requirementsThe Standard setting process document states that Steering Group shall keep recordsof each draft as well as consultation drafts (B7). The information on these should bepublicly communicated (B7).


Conforms to the PEFC requirementsInformation on draft standard was all the time available at UKWAS web site.Stakeholders notified directly on the consideration of their views (B3, B7). UKWAShad copies of all drafts (B 7).

(18) Had the consultation been at least 60 days?Annex 2, 3.4.3


Conforms to the PEFC requirements

According to the Standards setting process document the minimum requirements forconsultation periods should be as follows (B4):

1. Initial Stakeholder Consultation: 60 days2. A revision draft consultation: 60 days3. A pre-approval draft consultation 60 days


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Conforms to the PEFC requirementsConsultation took place between June 2003 and January 2006, which exceeds 60days (Scheme 6.7). The consultation periods were as follows:

1. Initial consultation: June - September 20032. Second round of consultation: April - June 20043. Third consultation: 16 December 2005 - 16 January 2006

5.2 Standards for CoC Certification

The PEFC UK adopted in December 2005 the PEFCC International CoC Standard(Annex 4 of the PEFC Technical Document) as the standard for CoC verification andincluded it as Annex 3 to the Scheme documentation, which is in compliance withPEFCC requirements.

The requirements for CoC verification are in the original form as presented in the

PEFC TD Annex 4 but the Scheme has not yet adopted the amendments approved inOctober 2006 to the standard (Appendices 7 and 8 to the PEFC TD Annex 4).However the PEFCC allows the Schemes to adopt the changes to TD Annex 4 nolater than 1.5.2007, which provided that if PEFC UK will adopt changes in the definedperiod, complies with PEFCC requirements.

Conclusion 14 Standard settingThe Standard setting procedures on CoC verification are not applicable in theUKWAS Scheme.

Conclusion 15 Performance requirementsCoC certification is carried against the PEFC TD Annex 4, and its Appendices asdefined in October 2006.

5.3 Pilot Testing

(33) Have the first results on the testing of the final drafts for national/sub-national forest certification standards and their implementation arrangementsbeen available prior to submission of the scheme for the PEFCC endorsementand mutual recognition?Annex 2, 5


Conforms to the PEFC requirementsThe Scheme documentation does not explicitly require testing during the revision

process, but the Description of standard setting process document addresses (asChapter B8) the forest testing as a part of the revision process.


Conforms to the PEFC requirementsIn revising the standards, pilot testing and/or experience gained from the schemeimplementation was used to inform the revision process.

PEFCC deems that in standard revisions separate pilot testing is not necessary if theextent of changes made do not justify it.


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(34) Has appropriate action been taken to incorporate improvements andrecommendations prior to submission of the scheme for the PEFCCendorsement and mutual recognition process?Annex 2, 5


Conforms to the PEFC requirementsAll experiences gained in the Scheme implementation is taken into consideration inthe revision.

5.4 Standard Review

(35) Have the standards on forest and CoC certifications been reviewed at leastevery 5 years or is it foreseen to review these standards at least every 5 years?Annex 2, 6.1


Conforms to the PEFC requirementsThe Steering Group of UKWAS is responsible for starting and coordinating the revisionof the standard (Scheme 6.2 and Articles of Association). The standard is reviewedand revised as necessary on a five-year cycle. The revision of the standard shallinclude a broad consultation and participation of the stakeholders. The records of alldocumentation concerning the standard revision process should be available atUKWAS (Description of standard setting process D2; D3).

The standard revision process should incorporate the following elements:

(a) An Interpretation Review a consideration of any advice developed by theInterpretation Panel.

(b) A Technical Review a consideration of any new scientific or technical

knowledge.(c) An International Benchmarking Review a comparison with any equivalentaccredited standards of a similar geographical or ecological scope of application,and an evaluation of whether there are any substantial differences in the overallcost/benefit balance of compliance for similar types of enterprise with similarforest conditions (to be provided by the certification schemes.)

(d) A Standard Users Feedback Review - a consideration of feedback from certificateholders and accredited certification authorities.

(e) A Review of the Initial Stakeholders Consultation a consideration of consulteescomments and responses.

(f) A Small and Low Intensity Managed Woodlands Review a consideration of theimpact and applicability of the standard for small and low intensity operations.

(g) A Certification Schemes Requirements Review a consideration of advice (to be

provided by the certification schemes) on any new or revised policies, proceduresor guidance that is relevant to the revision. National certification schemes shouldseek advice and guidance from their international body when compiling theiradvice.

As a member of the UKWAS Steering Group, the PEFC UK participates in thedevelopment and reviewing of the standard.


Conforms to the PEFC requirementsThe Standard revision process was carried out according to the Scheme guidelinesand incorporated the required elements of the scheme revision. The revision fulfilledthe participatory requirement providing all interest parties (Steering Group membersand non-member) with possibility to participate in the revision process. The views ofparticipants were appropriately documented. Transparency of the process was


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ensured by notifying the Steering Group members and publishing information on therevision process in the Internet.

Revision lasted two years and the revised Standard was published 1 November 2006.


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6. REQUIREMENTS FOR CERTIFICATION CRITERIA

6.1 General

The performance requirements for group, individual and resource manager

certification are stated in the document UKWAS standard. The standard follows thestructure of Pan European Criteria defined in the MCPFE and cover all aspects ofSFM. The UKWAS standard is developed on the basis of UK Forestry Commissionstandard for SFM that reflects the national policies in implementation of SFM in thecountry.

The criteria are marked as the Requirements in the UKWAS so that they are thecompulsory elements of the standard. The indicators are called the Means ofverification which act as a compulsory reference base for auditors. The Guidancenotes are the tools for understanding how the requirements should be applied inpractice. However the certification authorities shall take full account of the Guidancenotes given for each requirement when assessing conformance with the standard.The requirements are applicable at the Forest Management Unit (FMU) level.

The requirements state the objectives of SFM and the Means of verification andGuidance notes clearly indicate the verification documentation or the procedures.

(1) Are the criteria relevant to all types of forests and management systems,which exist in the nation/region they have been elaborated for?Annex 3, 3.5


Conforms to the PEFC requirementsThe UKWAS is applicable to all types of forests independent from ownership ormanagement system.

Conclusion 18 PracticeConforms to the PEFC requirementsThe UKWAS requirements are successfully implemented throughout the country indifferent forests of different ownership types. The revised set of requirements does notchange or limit the applicability of the UKWAS standard.

(2) Do the criteria clearly express the objectives for forest management that canbe unambiguously verified by different auditors?Annex 3, 3.5


Conforms to the PEFC requirementsCriteria (requirements) state clear qualitative objectives, indicators (means of

verification) present measures to achieve the objectives. Indicators do not alwayscover the scope of a criterion but guidelines presented in Guidance as well asreferences to normative plans (legislations) compensate the gaps.


Conforms to the PEFC requirementsThe UKWAS requirements can be implemented and audited in practice.

(3) Are management and performance requirements applicable at the level of aFMU?Annex 3, 3.5


Conforms to the PEFC requirementsPerformance requirements at group/individual level are applicable at FMU level


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(4) Are management and performance requirements applicable optionally also atgroup and regional levels?Annex 3, 3.5


Conforms to the PEFC requirementsManagement requirements are applicable at individual and group level.

6.2 Laws and Regulations

(5) Are the national certification criteria in compliance with national lawsprograms and policies?Annex 3, 3.2, 3.5

Conclusion 22 Documentation and Practice

Conforms to the PEFC requirementThe UKWAS standard is based on the national forest policy and legislation. TheScheme is based also on the UK Forestry Standard, which reflects the UK

Governments approach to forest management and incorporate the national Pan-European Criteria (PEC) commitments of the UK Government (Scheme 4.3, UKWAS1.1.1).

(6) Are the references to national laws, programs and policies indicated in thescheme documentation when relevant, e.g., if the requirement of the PEOLG isnot addressed in the certification criteria but is included in normativeregulations?Annex 3, 3.5


Conforms to the PEFC requirementThe UKWAS requirements refer to UK Forestry Standard and compulsory legislation

in order to reach full compliance with PEOLG.

(7) Does the scheme include the requirement that any apparent violation of thelegislation shall be taken into consideration in internal and external auditsAnnex 3, 3.2


Conforms to the PEFC requirementThe scheme requires that the applicant shall conform to the relevant legislation andnorms and this will be verified in audits (UKWAS 1.1.1). Certification body will verifythat there is no evidence of non-compliance with relevant legal requirements (UKWAS1.1.1).


Conforms to the PEFC requirementRequirement to comply with legislation is included in the UKWAS standard and thusverified in the conformity audits in practice.


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6.3 International Conventions

(8) Are the Core ILO Conventions ratified by the country and implementedthrough the legislative framework?Annex 3, 3.3


Conforms to the PEFC requirementThe UK has ratified the international conventions specified by the PEFC (Scheme,Appendix 4; ILO conventions referred within the structure of UKWAS) and theConvention requirements are taken into consideration in the relevant national laws(see Annex 3 of the assessment).


Conforms to the PEFC requirementRequirement to comply with legislation is included in the UKWAS standard and thusverified in the conformity audits in practice. The requirements stated in theConventions ratified by the UK are incorporated into the national legislation.

(9) Do the national certification criteria address the core elements of those CoreILO Conventions, which have been not ratified by the country?Annex 3, 3.5

Not applicable because UK has ratified all the core Conventions and theirrequirements are incorporated into the national legislation.

6.4 Level of Application

6.4.1 General

The Scheme includes options for individual, group and resource manager certification.

In resource manager certification an authorized manager is responsible for themanagement of forests belonging to various owners. It is a modification of the groupcertification. The Scheme presents the rules for individual, group and resourcemanager certification including the authorities and responsibilities (Scheme Chapter7.3). The Chapter 7.3 defines the duties and tasks of applicant and participants inindividual, group and resource manager certification.

(13) Are the applicants, the certified areas and participating forestowners/managers/others actors clearly identified in the schemedocumentation?Annex 3, 4.1


Conforms to the PEFC requirementScheme documentation (Section 7.3) define that applicants are woodland owners orforest enterprises for individual, group or resource manager certification.

(14) Does the scheme documentation require that all actors involved in oroperating on the certified area comply with the certification requirements?Annex 3, 4.1


Conforms to the PEFC requirementScheme description (Scheme 7.3, 7.3.4, 7,3,8) requires that all actors participating incertification on individual or group level should comply with certification requirements.


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Conforms to the PEFC requirementAll the described implementation levels have been applied in UK. The certificationbodies verify that the Scheme requirements have been implemented in the group and

resources manager certification.

(15) Does the scheme documentation require that all actors individually certifiedor participating in regional/group certification are responsible for ensuring thatcontractors activities and operations meet the respective forest managementcriteria?Annex 3, 4.1


Conforms to the PEFC requirementScheme documentation requires that employees and contractors activities meet therespective forest management criteria (Scheme 7.3.4, UKWAS 1.1.1, 4.1.1).

6.5 Group Certification

The Scheme requires that all members of the group must formally commit tocomplying with all requirements of the standard in respect of all forests areas includedin the scope of the particular group scheme concerned. The Group shall be formallyidentifiable Group entity and has a Group manager. The Group manager isresponsible for administration of Group Entitys activities, but not for the actual forestmanagement activities.

The Resource Manager certification is a modification of Group Certification. InResource Manager certification the Group Entity delegate all day-to-dayresponsibilities for forest management, including management planning, forestoperations, harvesting etc. to the Resource Manager. In Resource Manager

certification, each woodland owner must make contractual commitment to have theirforest areas managed in accordance with the requirements of UKWAS. The ResourceManager then implements the commitment on behalf of the Client group (Scheme7.3.6).

In order to be eligible to apply for group certification the Group entity must clearlydefine and document the respective responsibilities of the Group entity and the Groupmembers. All members must accept contractual responsibility to the certification Bodyfor ensuring that the requirements of UKWAS are implemented by all Group Memberson the forest areas covered by the certificate. Members must set out clearlydocumented criteria for eligibility and on-going membership of the group (Scheme7.3.7).

(33) Does the scheme documentation clearly define who the applicant is forgroup certification?Annex 3, 4.1 b


Conforms to the PEFC requirementScheme documentation (Section 7.3, 7.3.7) define that applicant in group certificationis a Group Manager who acts on behalf of group members.

The Group applying for Group certification has to be formally identifiable (Scheme7.3.3; 7.3.7), which however does not imply that the group has to be a legal entityalthough it requires that it is independent organization/body or individual acting onbehalf of the group.


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(34) Does the scheme documentation describe the applicants responsibility toassure the compliance of all participants with the certification requirements?Annex 3, 4.1 b


Conforms to the PEFC requirementAll members of the group must formally commit to complying with all requirements ofthe standard in respect of all forests areas included in the scope of the particulargroup scheme concerned. Scheme 7.3.4 Basis of Group Certification

(35) Does the scheme documentation describe the applicants responsibility toensure that credible registers are kept of participants to certification andcertified forest area?Annex 3, 4.1 b


Conforms to the PEFC requirementGroup Members shall set out clearly documented criteria for eligibility and on-going

membership of the group Scheme 7.3.7. The Scheme also requires the Group Entityto keep records of the group members (Scheme 7.3.7).

(37) Does the scheme documentation require that total forest area participatingin group certification is recorded?Annex 3, 4.1 b


Conforms to the PEFC requirementThe Scheme requires that all members of the group must formally commit tocomplying with all the requirements of UKWAS in respect to all forests areas includedwithin the scope of the particular group Scheme concerned. The Scheme also

requires that Group Entity must accept contractual responsibility to the CertificationBody for ensuring that the requirements of UKWAS are implemented by all GroupMembers for forest areas covered by the certificate. (Scheme 7.3.4,7.3.7) TheScheme also requires the Group Entity to keep records of the group members(Scheme 7.3.7).

(39) Does the scheme documentation define the responsibilities and authoritiesof the applicant and participating forest owners/managers for the inclusion ofnew participants and to inform the certification body thereof?Annex 3, 4.1 b


Conforms to the PEFC requirement

The Scheme requires that Group Entity sets clearly documented criteria for eligibilityand on-going membership of the group. The Scheme does not give guidance on thecontent of the criteria (Scheme 7.3.7).

Although the Group manager develops the rules for inclusion and expulsion ofparticipants the certification body is required to develop assessment procedure toverify the conformity to these rules.

(40) Does the scheme documentation define the responsibilities and authoritiesof the applicant and participating forest owners/managers for the internalcontrol of conformity and follow up corrective and/or preventive measures?Annex 3, 4.1 b


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Conforms to the PEFC requirementAdministrative and forest management policies that are relevant to the whole group(e.g. monitoring) shall be implemented by the Group Entity or by individual Group

Member (Scheme 7.3.4).

(41) Does the scheme documentation describe that the forest managementcertificate is issued to the applicant (certificate holder)?Annex 3, 4.1 b


Conforms to the PEFC requirementThe Group certificate and Resource Manager certificate is issued to the applicant asrequired by the PEFC (Scheme 7.3.9; 7.3.13).

(42) Does the scheme documentation describe that participants in groupcertification shall receive either a copy of the regional certificate including theappendix (when applicable) listing all participating forest owners or an

individual attestation issued by the certification body or the applicant whichrefers to the main certificate? Annex 3, 4.1 b


Conforms to the PEFC requirementThe group member will receive a Certificate of attestation from the Group manager toaffirm the membership of the group (Scheme 7.3.9).

6.5.1 Individual Certification

(43) Does the scheme documentation describe that forest owner should submit

all the forest area under his management in the catchment area of thecertification scheme in the certification?


Non-conformity to the PEFC requirementsAlthough according the scheme all members must formally commit to complying withall the requirements of UKWAS in respect of all forest areas included within the scopeof the particular group Scheme concerned (Scheme 7.3.4), the scheme does notexplicitly require the group members to submit all the forest area under hismanagement in the catchment area.

6.6 Implementation of the Changes to Scheme

(44) Does the scheme documentation define transition period(s) forimplementation of changes to the endorsed scheme in compliance with chapter5 of Annex 3?


Conforms to the PEFC requirementsThe Scheme documentation does not explicitly indicate the exact time period in whichthe any changes must be implemented. However, the scheme documentation statesthat PEFC UK adopts a policy for the implementation of Changes and/or revisionsinduced by PEFCC, which meet required implementation dates (Scheme 2.7).


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6.7 Appeals and Dispute Settlement

(45) Has the PEFC National Governing Body set up or appointed an impartialand independent dispute settlement body on a permanent basis or does it havewritten procedures for the establishment of a dispute settlement body on an ad

hoc basis?Annex 3, 5.1


Conforms to the PEFC requirementsComplaints arising from interpretation of the standard shall be remitted to theInterpretation Panel of the Steering Group of the UKWAS. The PEFC UK as aNational Governing Body is a member of the Steering Group. Complaints arising fromthe standard setting are remitted to the Interpretation Panel of Steering Group of theUKWAS. The procedures are publicly available.

The Interpretation panel is not independent to address disputes related to standardsetting, because Steering Group guides the standard setting process.

According to the Scheme, the certification authorities shall have a formal disputemanagement procedure, which is open to all parties at any time, to deal with none-conformance and challenges. All disputes between the applicant and certification bodyshall be resolved using certification bodys own procedure (Scheme 6.12).


Conforms to the PEFC requirementsNo grievance procedures on interpretation and implementation of the revised Schemehave been raised. The Interpretation Panel is summoned on ad hocbasis.

(46) Has the PEFC National Governing Body established and have documentedprocedures for an independent dispute settlement body, either permanent or ad

hoc, that takes care of those complaints arising from forest management or CoCscheme implementation that cannot be addressed in the dispute settlementprocedures of the relevant certification or AB?Annex 3, 5.1

Conclusion 36 Documentation and practice

Conforms to the PEFC requirementsInterpretation Panel of the Steering Group of the UKWAS discusses the appeals.Rules and procedures are publicly available.


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7. PERFORMANCE REQUIREMENTS

7.1 Compatibility with Pan European Operational Level Guidelines

The compliance of the group/individual standard (the UKWAS) with PEOLG is

presented in Table 7.1. A detailed conformity assessment is presented in the Annex 2to this report.

Table 7.1 Compliance of the Group/Individual Standard with PEOLG

PEOLG Compliance

Forest Resources1.1a) Comply1.1.b) Comply1.1.c) Comply1.1 d) Comply1.2 a) Comply1.2 b) Comply1.2 c) Comply

Forest Health2.1 a) Comply2.1 b) Comply2.1 c) Comply2.2 a) Comply2.2 b) Comply2.2 c) Comply2.2 d) Comply

Productive Functions3.1 a) Comply3.1 b) Comply3.1 c) Comply3.2 a) Comply3.2 b) Comply3.2 c) Comply

3.2 d) ComplyBiological Diversity

4.1 a) Comply4.1 b) Comply4.2 a) Comply4.2 b) Comply4.2 c) Comply4.2 d) Comply4.2 e) Comply4.2 f) Comply4.2 g) Comply4.2 h) Comply4.2 i) Comply

Soil and Water Protection

5.1 a) Comply5.1 b) Comply5.2 a) Comply5.2 b) Comply5.2 c) Comply

Socio-economic Functions6.1 a) Comply6.1 b) Comply6.1 c) Comply6.1 d) Comply6.1 e) Comply6.2 a) Comply6.2 b) Comply6.2 c) Comply


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The UK Assurance Standard for SFM is in compliance with the PEOLG. Theconversion of agricultural land is not explicitly addresses in the UKWAS. The standardstates, New woodland shall be located and designed in ways that will maintain orenhance the visual, cultural and ecological value and character of the widerlandscape. The national policy stated in UK Forestry Standard rejects the principle of

afforestation of all agricultural land, due to different value of agricultural land indifferent parts of the UK (UK Forestry Standard p. 20). According to UK ForestryStandard the afforestation of agricultural land is possible, but requires consultationwith the local stakeholders (UK Forestry Standard p. 20).

The UKWAS requirement reflects the national policy on afforestation and is in line withthe respective PEOLG.


The criteria and indicators for group/individual certification conform to thePEOLG


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8. REQUIREMENTS FOR CERTIFICATION BODIES AND PROCEDURES

8.1 Certification Bodies

(1) Does the scheme documentation require that certification shall be carried

out by impartial, independent third parties that cannot be involved in thestandard setting process as governing or decision making body, or in the forestmanagement and are independent of the certified entity?Annex 6, 3.1


Conforms to the PEFC requirementAccording to the Scheme the forest and CoC certification audits shall be carried out byindependent third parties, accredited certification bodies (Scheme Sections 6.11 and7.1).

The UKWAS Companys Memorandum and Articles of Association do not letcertification bodies influence the standard setting procedure (Scheme 6.3).

(2) Does the scheme documentation require that certification body for forestmanagement certification or CoC certification against a scheme specific CoCstandard shall fulfil requirements defined in ISO Guide 62, or ISO Guide 66, orISO Guide 65?Annex 6, 3.1


Conforms to the PEFC requirementThe certification bodies doing forest management certification shall be accredited byABs operating according to internationally accepted standards (ISO Guides 61, 62 and65) (Scheme 7.1.1). Note that in CoC certification PEFC accepts only accreditation toISO Guide 65.

(3) Does the scheme documentation require that certification body CoCcertification against Annex 4 shall fulfil requirements defined in ISO Guide 65?Annex 6, 3.1


Conform to the PEFC requirementThe Scheme description states that the certification body carrying out CoCcertificationagainst Annex 4 (CoC of forest Based products - Requirements) shall fulfilrequirements defined in ISO Guide 65 (EN 45011) (Scheme 7.1.1).

(4) Does the scheme documentation require that certification bodies carryingout forest certification shall have the technical competence in forest

management on its economic, social and environmental impacts, and on theforest certification criteria?Annex 6, 3.1


Conforms to the PEFC requirementThe Scheme sets the requirements for certification bodies to demonstrate the ability tocarry out certification audits (Scheme 7.1.1, 7.1.4). Scheme 7.1.2 defines formalcriteria of competence for certification bodies. In addition any of the ISO Guidesapplied in accreditation require adequate competence from certification bodies.


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(5) Does the scheme documentation require that certification bodies carryingout CoC certifications shall have technical competence in forest based productsprocurement and processing and material flows in different stages ofprocessing and trading?Annex 6, 3.1


Conforms to the PEFC requirementScheme 7.1.1, 7.1.4 requires demonstrating competence and thorough understandingof PEFC CoC Standards. In addition any of the ISO Guides applied in accreditationrequire adequate competence from certification bodies.

(6) Does the scheme documentation require that certification bodies shall havea good understanding of the national PEFC system against which they carry outforest management or CoC certifications?Annex 6, 3.2


Conforms to the PEFC requirement

Scheme 7.1.1, 7.1.4 requires demonstrating competence and thorough understandingof UKWAS

(7) Does the scheme documentation require that certification bodies have theresponsibility to use competent auditors and who have adequate technicalknow-how on the certification process and issues related to forest managementor CoC certification?Annex 6, 3.2


Conforms the PEFC requirementScheme 7.1.4 requires that auditors shall meet competence criteria developed byappropriate ABs. The Scheme does not detail the competence requirements. The

respective requirement is documented in any of the ISO Guides applied inaccreditation and in potential additional specifications issued by ABs.

The competence of auditors is a core issue assessed in accreditation process forcertifications against UKWAS standard or CoC standard.

(8) Does the scheme documentation require that the auditors must fulfill thegeneral criteria of ISO 19011 for Quality Management System (QMS) auditors orfor Environmental Management System (EMS) auditors?Annex 6, 3.2


Does not conform the PEFC requirement

The Scheme documentation does not explicitly refer to the ISO 19011:2002(Guidelines for quality and/or EMS auditing), although the Scheme indicated thatcertification procedures of the certification bodies must comply with the PEFC TDAnnex 6 Ch. 4 (Scheme 7.1.1). Schemes 7.1.1 and 7.1.4 state in general that auditorsshall meet competence criteria developed by appropriate ABs. ABs base theirrequirements on appropriate ISO standards; e.g. ISO 19011.


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8.2 Certification Procedures

(11) Does the scheme documentation require that applied certificationprocedures for forest management certification or CoC certification against ascheme specific CoC standard shall fulfil or be compatible with the

requirements defined in ISO Guide 62, or ISO Guide 66, or ISO Guide 65?Annex 6, 4


Conforms the PEFC requirementThe certification bodies doing forest management certification shall be accredited byABs operating according to internationally accepted standards (ISO Guides 61, 62 and65) (Scheme 7.1.1). Thus they shall also follow the certification procedures presentedin the respective standards. Note that in CoC certification PEFC accepts onlyaccreditation to ISO Guide 65.

(12) Does the scheme documentation require that applied certification

procedures for CoC certification against Annex 4 shall fulfil or be compatiblewith the requirements defined in ISO Guide 65?Annex 6, 4


Conforms the PEFC requirementThe Scheme documentation requires that the certification body carrying out CoCcertification against Annex 4 (CoC of Forest Based Products - Requirements) shallfulfil requirements defined in ISO 65 (Scheme 7.1.1).

(13) Does the scheme documentation require that applied auditing proceduresshall fulfil or be compatible with the requirements of ISO 19011?Annex 6, 4


Does not conform the PEFC requirementScheme 7.1.6 states in general that auditors shall meet competence criteriadeveloped by appropriate ABs. ABs base their requirements on appropriate ISOstandards; e.g. ISO 19011. UKAS is signatory to the multilateral agreements ofEuropean Co-operation for Accreditation (EA)/International Accreditation Forum (IAF)and subject to the peer review of other ABs. The certification process and thecompetence of auditors are among the core accreditation requirements. This PEFCCrequirement is respected in practice, although it is not explicitly required by theScheme.

(14) Does the scheme documentation require that certification body shall informthe relevant PEFC National Governing Body about all issued forest management

and CoC certificates and changes concerning the validity and scope of thesecertificates?Annex 6, 4


Conforms the PEFC requirementScheme 7.1.5, 7.2.14 requires that certification bodies provide information oncertificates issued to the National Governing Body.

(15) Does the scheme documentation require that certification body shall carryout controls of PEFC logo usage if the certified entity is a PEFC logo user?Annex 6, 4


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Conforms the PEFC requirementThe Certification body shall monitor the use of the PEFC logo license use by theirclients as set out by PEFC UK (Scheme 7.1.3). The Scheme requires that the rules

and guidance set out in PEFC TD Annex 5: PEFC Logo Use Rules, will be followed byall certificate holders (Scheme 7.6.3).

(16) Does a maximum period for surveillance audits defined by the schemedocumentation not exceed more than one year?Annex 6


Conforms the PEFC requirementThe Scheme documentation requires that surveillance audits in certification arecarried out at least annually. The Certification Body will identify any non-compliancesand check that appropriate corrective actions are implemented (Scheme 7.2.11).

(17) Does a maximum period for assessment audit not exceed five years for

both forest management and CoC certifications?Annex 6, 4


Conforms the PEFC requirementThe Scheme requires that certificates can be valid for maximum period of five yearsfrom the date of issuance (Scheme 7.2.10).

(18) Does the scheme documentation include requirements for publicavailability of certification report summaries?Annex 6, 4


Conforms the PEFC requirementThe Scheme requires that the Scheme Governing Body and the Certification Bodyconducting the audit shall make the Public Summary Report on the certificationdecision public (Scheme 7.2.13). Applicant must give his explicit written consent topublication of the public summary report (Scheme 7.2.13).

(19) Does the scheme documentation include requirements for usage ofinformation from external parties as the audit evidence?Annex 6, 4


Conforms the PEFC requirementThe information from external parties shall be used in audit as a part of StakeholderConsultation. The Scheme states that it is a responsibility of the Certification Body to

verify that an appropriate level of stakeholder consultations had been carried out bythe auditee in accordance with the certification standard (Scheme 7.2.11). TheCertification Body might initiate and take into account additional input fromstakeholders during the course of the assessment, where it deems such actions isappropriate (Scheme 7.2.12).


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8.3 Accreditation Procedures

(21) Does the scheme documentation require that certification bodies carryingout forest management and/or CoC certification shall be accredited by anational AB?Annex 6, 5


Conforms the PEFC requirementThe Scheme accepts the accreditation issued by an AB being a member of IAF andEA. In UK the UKAS is the national AB (Scheme 7.1.3, 7.1.4; 7.1.5). Accreditationspecifically to certification against UKWAS standard or PEFC CoC standard isrequired.

(22) Does the scheme documentation require that an accredited certificate shallbear an accreditation symbol of the relevant AB?Annex 6, 5


Conforms the PEFC requirementScheme documentation requires that the accreditation symbol is presented in allissued certificates (Scheme 7.1.5).

(23) Does the scheme documentation require that the accreditation shall beissued by an AB which is a part of the IAF umbrella and which implementprocedures described in ISO 17011 and other documents recognized by theabove-mentioned organizations?Annex 6, 5


Conforms the PEFC requirementThe Scheme accepts the accreditation issued by an AB being a member of IAF and

EA (Scheme 7.1.3; 7.1.4). The Scheme does not set additional requirements to theprocedures implemented by national ABs. Standard ISO 17011 and other documentsrecognized by the above-mentioned organizations are not specifically referred to in theScheme.

Note: ABs being members of EA and IAF and signatory to the multilateral agreementsare obliged to operate according to the ISO 17011 and other commonly agreedaccreditation rules.

(24) Does the scheme documentation require that certification body undertakeforest management or/and CoC certification against a scheme specific CoCstandard as accredited certification using one of two options recognised bythe PEFCC?Annex 6, 5


Conforms the PEFC requirementCertification bodies shall be accredited by IAF member AB specifically to the UKWASScheme or respective CoC system.

(25) Does the scheme documentation require that certification body undertakeCoC certification against Annex 4 as accredited certification based on ISOGuide 65?Annex 6, 5


Conforms the PEFC requirement

The Scheme requires the certification body carrying out CoC certification againstAnnex 4 to fulfill requirements defined in ISO Guide 65 (EN 45011).


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(26) Does the scheme documentation include a mechanism for PEFCnotification of certification bodies?


Conforms the PEFC requirementThe Scheme requires, that the certification bodies shall by notified by the PEFCNational Governing Bodies of the relevant country (Scheme 7.1.8).

(27) Are the procedures for PEFC notification of certification bodies non-discriminatory?


Conforms the PEFC requirementThe Scheme requires that, the PEFC notification conditions shall not discriminatedagainst certification bodies or create trade obstacles (Scheme 7.1.8). The Schemedescribes the minimum notification conditions, which the National Governing Bodyshould meet.


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9. COMMENTS RECEIVED

Valuable comments from Australian Forestry Standard Limited were received duringthe assessment period. Most comments focused on PEFC UK Certification Schemedocument and UKWAS specifically references (to the Scheme and other sources),

terminology and consistency in description of the Scheme.

Comments related to the content of the Scheme document focused on the followingissues:

Correct references to Annexes of the Scheme documentation

The mechanism of Interpretation Panel, as it is described in Chapter 6.2 of theScheme

Credibility of the Steering Group meetings based on the number ofparticipants (Scheme 6.5)

Use of terminology in description of normative requirements of the standard(Scheme 6.10)

Reference to ISEAL in dispute resolution procedures (Scheme 6.12)

Reference to ISO Guide 65 for the Forest Management Standard andrecommendation for reference to ISO Guides 62 and 66 (or replacementISO 17021) (Scheme 6.14)

Role of certification bodies in Peer review (Scheme 6.16) Flexibility in meeting requirements of the Standard as a disputable non-

conformity and the role of certification body dealing with these non-conformities (Scheme 6.18)

Decision procedures of the Certification Body unnecessary due toaccreditation (Scheme7.2.8)

Confusion in introduction of the new term the label licensing body (Scheme7.5.1)

Confusion in introduction of the new term third party licensing body(Scheme

7.6.2) Consistency in using terminology -independent review group/independent

review panel (Scheme 7.7.2)

Comments related to the content of the UKWAS Standard document focused on thefollowing issues:

The normative role of the Guidance notes and the Certification bodysassessment requirement (UKWAS p. 6)

The Peer Review as a part of Certification bodys assessment (UKWAS p.7).

Transparency in addressing non-conformities in certification process (UKWASp.7).

Confusion wording and definitions in Application to different sizes of

woodland (UKWAS p. 8) Definition of the Interpretation Panel (UKWAS p.9).

Legal requirement as basis for certification (UKWAS 1.1.1; 1.1.2; 1.1.3) Environmental assessment (UKWAS 3.1.3) Normative language in UKWAS 3.3.1

Reference to Forest Stewardship Council (FSC) requirements under theUKWAS 5.2.4

Genetically modified organism (GMO) requirement in UKWAS 5.3.1

FSC bias in the Internet sources (UKWAS p. 56)

The substantial comments were duly taken into consideration in the assessment andthe editorial comments were informed to the PEFC UK to be considered in the

improvement of the Scheme documentation.


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A N N E X E S


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ANNEX 1

Minimum Requirements Checklist forStandard Setting Process


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Annex 1

INDUFOR: CONFORMITY ASSESSMENT OF THE REVISED UK FOREST CERTIFICATION SCHEME, Final Report. 07 January 2008 2

No. QuestionReference toPEFC Council

doc.

Yes/No*

Reference to applicationdocuments

5.

Has the development of certificationcriteria been initiated by national forest

owners organisations or national forestrysector organisations having support ofthe major forest owners organisations inthat country?

[*1]Annex 2, 3.4.1

Yes - Scheme 6.1 Developmentinitially facilitated by the UK

Forestry Commission.- B2 Developed by theTechnical Steering Group,which incorporated interests ofthe major forest owners andnational forestry sectororganizations. Revision ofStandard initiated by SteeringGroup.

6.

Have all relevant interested partiesrepresenting the different aspects ofsustainable forest management beeninvited to participate in the standardsetting process and a created Forum?

[*1]

Annex 2, 3.4.1

Yes

Yes

Documentation- Scheme 6.3 Interest partiesrepresenting key constituencies:economic, social andenvironmental, including NGOs

and ENGOs were invited toparticipate in the standardsetting process. Steering Grouprepresents 13 constituencies.Practice- B 4 Consultations provided thepossibilities for all parties to beinvolved in the standard settingprocess.

7.

Do consensus-building procedures of theForum provide for balancedrepresentation of interest categories? [*2]

Annex 2, 3.4.1

Yes

Yes

Documentation- Scheme 6.3 Structure of the

Steering Group provide forbalanced representation of

interests.Practice- Scheme 6.7 Extensive

consultation proceduresprovide for balancedrepresentation of interests

- B4 Decision of the SteeringGroup made in consensus

8.

Have the views of all relevant interestedparties been documented andconsidered in an open and transparentway? [*3]

Annex 2, 3.4.1

No

Yes

Documentation- Articles of Association or theSteering Group Rules asstandard setting documents donot require transparentdocumentation

Practice- Scheme 6.6 Minutes of all

meetings are available atUKWAS.

- B 3, Scheme 6.7 Opennessand transparency ensured bydecision making proceduresand publication ofdocumentation in the web(UKWAS web site) and directnotification of stakeholders


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Annex 1



doc.

Yes/No*


9.

Has the formal approval of standardsbeen based on evidence of consensus?[*3]

Annex 2, 3.4.1

Yes

Yes

Documentation- The Articles of Association

(40.2; 40.3) define the votingprocedures and require theunanimous vote of thoseattending the meeting (C3)Practice- B 2 All decisions made on the

basis on consensus.- B5 Voting procedures of the

Steering Group ensureconsensus

10.

Has the Forum defined its own writtenprocedures which have been madeavailable to interest parties uponrequest?

[*2]

Annex 2, 3.4.1

No

Yes

Documentation- UKWAS Articles of Associationand Steering Group Rules (B 2,Article of Association 40.1)

define the roles andresponsibilities in standardsetting. The Steering Group hasits own written procedures, butthe procedures do not indicateany of the standard settingprocedure requirementsPractice- Despite the lack of explicit

standard setting rules theprocedure was implementedaccording to the PEFC rules(Standard setting process

document

11.

Do the written procedures for standardsetting contain an appeal mechanism forimpartial handling of any substantive andprocedural complaints? [*2]

Annex2, 3.4.1

Yes

Yes

Documentation- Scheme 6.2 InterpretationPanel of the Steering Group asdispute handling body.Practice- Interpretation panel sufficientlyindependent to provide impartialhandling of complaints.


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Annex 1



doc.

Yes/No*


12.

Has the start of the standard settingprocess been communicated to the

public?[*3]

Annex 2, 3.4.2

No

Yes

DocumentationDocumentation of the Scheme

(Standard setting processdocument) appropriatelyrequires to communicate theinformation of the standardssetting process to the public(Scheme 6.5, 6.7) (B3), howeverthe Articles of Association or theSteering Group Rules asstandard setting documents donot address the issue ofcommunicating the start of thestandard setting to the publicPractice- Scheme 6.5, 6.7, B 3, B 4

- Communication via e-mail,web page statements and inhard copy. Information onstandard setting processavailable at UKWAS office andUKWAS web page

13.

Has the information on the developmentprocess been distributed and discussed?[*3]

Annex 2, 3.4.2

Yes

Yes

Documentation- No information on thedevelopment of the standardshall be withheld unreasonably(B3).Practice- Scheme 6.5, 6.7, B 3, B 4

- Distribution via e-mail, internetand in hard copies. Informationon standard developmentprocess available at UKWASoffice and UKWAS web page

14.Has the final draft standard beenavailable to all interested parties, e.g. byposting it on the Internet? [*3]

Annex 2, 3.4.2Yes Scheme 6.5, 6.7, B 4

Distribution via e-mail, internetand in hard copies.

15.

Has the final draft standard been sentout for formal national consultationprocess?

[*3]

Annex 2, 3.4.3

Yes

Yes

Documentation- Final draft standard shall besubmitted to the formal nationalconsultation process (Standardsetting process description B 4)Practice

- Scheme 6.7, B 4 Formalnational consultation took placebetween June 2003 and January2006.

16.

Have views of interested parties beendiscussed?

[*3]

Annex 2, 3.4.3

Yes

Yes

Documentation- Formal responses tocomments received (from theinterested parties) shall beavailable to all interested parties(B3).Practice- B 7 Records of all commentssubmitted by interest parties are

kept by UKWAS


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Annex 1



doc.

Yes/No*


17.

Has the Forum given general informationon the changes made as a result of a

consultation process?[*3]

Annex 2, 3.4.3

Yes

Yes

Documentation- Steering Group shall keep

records of each draft as well asconsultation drafts (B7). Theinformation on these should bepublicly communicated (B7).Practice- B 3 Information on draft

standard available at UKWASweb site. Stakeholders notifieddirectly

- B 7 Copies of all draft are keptby UKWAS

18.

Had the consultation been at least 60days?

[*3]

Annex 2, 3.4.3

Yes

Yes

DocumentationThe minimum requirements forconsultation periods should be

as follows (B4)Practice- Scheme 6.7 Consultation took

place between June 2003 andJanuary 2006, which exceeds60 days

- Initial consultation - June-September 2003, Secondround of consultation April -June 2004. Third consultation16th December 2005 - 16thJanuary 2006

Standards for chain of custody certification (only if the scheme includes a scheme specific CoC

standard)

19.

Has the development of certificationstandards been independent from thecertification and accreditation process?[*4] Annex 2, 4.1

Yes The Schemes adopts the PEFCCouncil Annex 4: Chain ofCustody of Forest basedProducts: Requirements on 14thDecember 2005 and adoptschanges of PEFC TD Annex 4on 5th July 2006

20.

Has the process of development ofnational or sub-national chain of custodyrequirements been supported by thePEFC National Governing Body?

[*4]

Annex 2, 4.2.1

Questions 20-32 not relevant.PEFC UK adopted Annex 4 inDecember 2005

21.

Have all relevant interested partiesrepresenting different aspects of

sustainable forest management, woodprocurement, processing and retailingbeen invited to participate in thestandard setting process?

[*4]

Annex 2, 4.2.1

22.Do consensus-building procedures of theForum provide for balancerepresentation of interest categories? [*6]

Annex 2, 4.2.1

23.

Have the views of all relevant interestedparties been documented andconsidered in an open and transparentway?

[*5]

Annex 2, 4.2.1,4.2.3

24.Has the formal approval of standardsbeen based on evidence of consensus?[*5]

Annex 2, 4.2.1


44/97

Annex 1



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Yes/No*


25.

Has the Forum defined its own writtenprocedures which have been made

available to interest parties uponrequest? [*6]

Annex 2, 4.2.1

26.

Do the written procedures for standardsetting contain an appeal mechanism forimpartial handling of any substantive andprocedural complaints? [*6]

Annex2, 4.2.1

27.Has the start of the standard settingprocess been communicated to thepublic?

[*5]

Annex 2, 4.2.2

28.Has the information on the developmentprocess been distributed and discussed?[*5]

Annex 2, 4.2.2

29.Has the final draft standard beenavailable to all interested parties, e.g. byposting it on the Internet? [*5]

Annex 2, 4.2.2

30.Has the final draft standard been sentout for a formal national consultationprocess?

[*5]

Annex 2, 4.2.3

31.Has the Forum given general informationon the changes made as a result of aconsultation process? [*5]

Annex 2, 4.2.3

32.Had the consultation period been at least60 days long?

[*5]

Annex 2, 4.2.3

Pilot testing

33.

Have the first results on the testing of thefinal drafts for national/sub-nationalforest certification standards and their

implementation arrangements beenavailable prior to submission of thescheme for the PEFC Councilendorsement and mutual recognition? [*7]

Annex 2, 5

Yes

Yes

DocumentationB 8 The drafting of the firstedition of the standard was

informed by the results of testingthe standard in the forest. InPracticeScheme revision experiencefrom the scheme implementationprovides adequate testinginformation.

34.

Has appropriate action been taken toincorporate improvements andrecommendations prior to submission ofthe scheme for the PEFC Councilendorsement and mutual recognitionprocess? [*7]

Annex 2, 5

Yes All experiences gained in theScheme implementation is takeninto consideration in therevision.


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Yes/No*


Review of standards

35.

Have the standards on forest and chain

of custody certifications been reviewedat least every 5 years or is it foreseen toreview these standards at least every 5years?

Annex 2, 6.1

Yes

Yes

Documentation

- The standard is reviewed andrevised as necessary on afive-year cycle. The revision ofthe standard shall include abroad consultation andparticipation of thestakeholders. The records ofall documentation concerningthe standard revision processshould be available at UKWAS(Description of standardsetting process D2; D3).

Practice- Scheme 6.1, 6.4, 6.5, 6.7.

UKWAS original versionlaunched 1999. UKWASrevision started 2003.Revision lasted two years andthe revised Standard waspublished 1st November 2006.

- D 1 Revision of the standardsshould take place every fiveyears

36.

Does the scheme documentationindicate which organisation isresponsible to initiate the revision work?

Annex 2, 6.1

Yes Scheme 6.21 UKWAS membersappoint Steering Group toinitiate the revision of thestandard

37.

Has the revision procedures beenparticipatory, fair and transparent? [*8]

Annex 2, 6.1

Yes - Scheme 6.4, 6.5, 6.6, 6.7,6.21. Procedures have beenparticipato

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Conformity Assessment of the revised UK Forest Certification Scheme

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