PEFC GD 1007:2012 Endorsement and Mutual Recognition of National Systems and their Revision

8/14/2019 PEFC GD 1007:2012 Endorsement and Mutual Recognition of National Systems and their Revision

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2012-11-16

Endorsement and Mutual Recognition ofNational Systems and their Revision

PEFC Council

World Trade Center 1, 10 Route de lAroportCH-1215 Geneva, Switzerland

Tel: +41 (0)22 799 45 40, Fax: +41 (0)22 799 45 50E-mail: [email protected], Web: www.pefc.org

PEFC Guide

Procedure Document

PEFC GD 1007:2012
mailto:[email protected]://www.pefc.org/http://www.pefc.org/mailto:[email protected]


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PEFC GD 1007:2012 2

Copyright notice

PEFC Council 2012

This PEFC Council document is copyright-protected by the PEFC Council. Thisdocument is freely available from the PEFC Council website or upon request.

No part of this document covered by the copyright may be changed or amended;reproduced or copied in any form or by any means for commercial purposes withoutthe permission of the PEFC Council.

The only official version of this document is English. Translations of this documentcan be provided by the PEFC Council or PEFC National Governing Bodies. In caseof any doubt the English version is definitive.

Document name: Endorsement and Mutual Recognition of National Systems and theirRevision

Document title: PEFC GD 1007:2012

Approved by: PEFC Board of Directors and confirmed by the PEFC General Assembly

Approval date: 2012-11-16

Issue date: 2012-12-01

Date of entry into force: 2013-01-01


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PEFC GD 1007:2012 3

Content

Foreword ................................................................................................................................................................................................................................ 5

0 Introduction ............................................................................................. 61 Scope...................................................................................................... 72 Normative references .............................................................................. 73 Definitions ............................................................................................... 94 Principles of the endorsement and mutual recognition process ............. 105 PEFC Council Standard and System Requirements for regional, national

and sub-national systems...................................................................... 106 System development and review ........................................................... 10

6.1

System development ............................................................................. 11

6.2 System reviews and revisions ............................................................... 116.2.1 Periodic Review: expiry of five year endorsement period ..................... 116.2.2 Extraordinary review: changes in PEFC Councils requirements .......... 116.2.3 System specific review ......................................................................... 12

7 The endorsement and mutual recognition process ................................ 137.1 Overview ............................................................................................... 137.2 Assessment/evaluation procedures ....................................................... 15

7.2.1

Types of assessment/evaluation procedures ....................................... 15

7.2.2 Full assessment process ...................................................................... 157.2.2.1 Application.................................................................................... 157.2.2.2 Adapting the scope ....................................................................... 157.2.2.3 International Consultation ............................................................. 157.2.2.4 External assessment process ....................................................... 167.2.2.4.1 Phase 1 of the assessment process ............................................. 167.2.2.4.1.1 Scope ....................................................................................... 167.2.2.4.1.2

Assessment decisions .............................................................. 17

7.2.2.4.1.3 Draft Report .............................................................................. 177.2.2.4.1.4 Comments and amendments by the applicant system .............. 177.2.2.4.1.5 Field Assessment ..................................................................... 177.2.2.4.2 Phase 2 of the assessment .......................................................... 177.2.2.4.2.1 Scope ....................................................................................... 177.2.2.4.2.2 Recommendation ..................................................................... 177.2.2.4.2.3 Final Draft Report ..................................................................... 187.2.2.4.2.4 Panel of Expert Review ............................................................ 187.2.2.4.2.5 Final Report .............................................................................. 18


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7.2.3 Assessment process as defined by PEFC Council Board of Directors . 187.2.4 Simplified assessment process carried out by the Panel of Experts ..... 187.2.5 Evaluation of editorial changes ............................................................ 19

7.3 Decision making procedures ................................................................. 197.3.1 Endorsement decision by General Assembly ....................................... 19

7.3.1.1 Recommendation by the PEFC Council Board of Directors .......... 197.3.1.2 Decision by the General Assembly ............................................... 19

7.3.2 Endorsement decision by PEFC Council Board of Directors ................ 197.4 Validity and termination of the endorsement status ............................... 20

Additional Informative Guides

PEFC IGD 1007:01:2012 PEFC Standard and System Requirement Checklist

PEFC IGD 1007:02:2012 Appointment of independent assessors

PEFC IGD 1007:03:2012 The assessment report

PEFC IGD 1007:04:2012 Involvement of Panel of Experts in the endorsement ofnational forest certification systems


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PEFC GD 1007:2012 5

Foreword

The PEFC Council (Programme for the Endorsement of Forest Certification) is aworldwide organisation promoting sustainable forest management through forestcertification and labelling of forest based products. Products with the PEFC claim and/ or label deliver confidence to customers and end consumers that the raw material

originates in sustainably managed forests.

The PEFC Council provides endorsement of national forest certification systemswhich are required to comply with the PEFC Councils requirements subject toregular evaluations.

This guideline has been developed in an open, transparent, consultative andconsensus based process covering a broad range of stakeholders.

It is used together with four informative guides:

1. PEFC IGD 1007-01:2012 PEFC Standard and System Requirement Checklist

2. PEFC IGD 1007-02:2012 Appointment of independent assessors

3. PEFC IGD 1007-03:2012 The assessment report

4. PEFC IGD 1007-04:2012 Involvement of Panel of Experts in the endorsementof national forest certification systems

The guideline and the four additional Informative Guides (PEFC IGD) replace thefollowing documents:

1) Annex 7 of the PEFC Council Technical Document (Endorsement and MutualRecognition of National Systems and their Revision).

2) GL 2/2011 (PEFC Council Minimum Requirements Checklist),

3) PEFC GL 8/2008 (Involvement of the panel of experts in the endorsement of

national forest certification systems),4) GLI 6/2005 (Content of the assessors assessment report for forest

certification systems).

These documents are hereby withdrawn on 2013-01-01


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0 Introduction

PEFC claims made on forest management and on forest based products provideinformation relating to sustainably managed forests and the origin of those forestbased products from which originate in sustainably managed forests and recycledsources and other non-controversial sources.

Purchasers and potential purchasers can use this information in choosing the productbased on sustainability, as well as other considerations.

PEFC strictly follows a regional, national or sub-national approach. Therefore toenable these claims to be used on a worldwide basis the endorsement and mutualrecognition process ensures the consequent implementation of PEFC InternationalStandards and Guidelines at regional, national or sub-national levels.

The overall goal of the PEFC Endorsement and Mutual Recognition process is toprovide stakeholders with accurate and verifiable information on the reliability ofPEFC certification systems worldwide.


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PEFC GD 1007:2012 8

TD Annex 6 (Certification and Accreditation Procedures) (available fromwww.pefc.org)

PEFC ST 2001:2008, PEFC Logo usage rules - Requirements (hereinafter PEFCLogo usage rules), (available fromwww.pefc.org)
http://www.pefc.org/http://www.pefc.org/http://www.pefc.org/http://www.pefc.org/http://www.pefc.org/http://www.pefc.org/http://www.pefc.org/


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3 Definitions

3.1 Amendment to a system

Any alteration of the wording of a system documentation of:

a) a PEFC endorsed system

b) an applicant system which was submitted for assessment.

3.2 Applicant system

Forest certification system submitted for assessment against PEFC requirements bythe relevant National Governing Body.

3.3 Editorial changes

Changes to a system which do not alter the technical content. This can includeadditional interpretations, clarifications, guidance and grammatical changes.

3.4 Mutual recognition

The endorsement of a system means that the members of the PEFC Council havedetermined that the system meets the requirements of the PEFC Council. Theendorsement procedure ensures that each system votes on each other. Thereforethe systems recognise each other under the PEFC Council mutual recognitionumbrella.

3.5 National Governing Body

The National Governing Body (NGB) member of the PEFC Council.

3.6 Review of a system

The activity of identifying whether a system meets the demands and requirements ofthe system owner, stakeholders, customers etc. The review of a system can result ina system revision.

3.7 Revision of a systemAn amendment to a system following a review of a system.

3.8 System documentation

The technical documents of an applicant system or a PEFC endorsed system,relevant for PEFC assessment and endorsement.


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4 Principles of the endorsement and mutual recognition process

The process is governed by the following basic principles:

The PEFC Council Standards, setting out the requirements for regional,

national or sub-national systems, are transparent and widelycommunicated.

The endorsement and mutual recognition of forest certification systemsand standards relies on their independent assessment.

The assessment process is transparent and consultative.

Assessment results and the assessment reports are made publicallyavailable by the PEFC Council.

5 PEFC Council standard and system requirements for regional,national and sub-national systems

The systems and standards applying for PEFC Council endorsement and mutualrecognition shall demonstrate conformance with the following PEFC requirements:

the content of the forest management certification standard(s) (PEFC ST1003:2010, Sustainable Forest Management Requirements)

standard setting procedures and process (PEFC ST 1001:2010, StandardSetting Requirements)

the group certification model (PEFC ST 1002:2010, Group ForestManagement Certification Requirements)

the content of the chain of custody standard(s) (PEFC ST 2002:2010, Chainof Custody of Forest Based Products Requirements

procedures for notification of certification bodies (PEFC GD 1004:2009,Administration of PEFC scheme, chapter 5)

procedures for logo licensing (PEFC GD 1004:2009, Administration of PEFCscheme, chapter 6)

procedures for complaints and dispute resolution (PEFC GD 1004:2009,Administration of PEFC scheme, chapter 8)

procedures for certification and accreditation (TD Annex 6, Certification andAccreditation Procedures; after transition period PEFC ST 2003:2012,

Requirements for Certification Bodies operating Certification against thePEFC International Chain of Custody Standard).

6 System development and review

The application of the endorsement process is relevant when a newly developedsystem wants to act as a PEFC System and make PEFC claims or when existingsystems are reviewed. Revisions in a system documentation, as a consequence of areview, lead to a specific assessment procedure.


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6.1 System development

After becoming a member of PEFC Council a National Governing Body can apply forendorsement of a certification system.

The application has to be managed according to the procedures in chapter 7 of this

guide.

6.2 System reviews and revisions

Reviews may arise from one of the following:

1. Expiry of the five year endorsement period

2. Changes to the PEFC Council requirements

3. Changes in the system specific framework

Each of these reviews can result in changes to existing system documentation.Figure 1 provides an overview:

Five year period

is over

PEFC C

requirements

are changed

Changes in

scheme specific

framework

Review of the

scheme against

changed/new

requirements

Review of the

complete scheme(Standard Setting

Process)

V

No revision,

Standard

setting report

available

Revised

documentation

available

V

No revision,

Report

available

Revised

documentation

available

Review of the

scheme against

the changes

conditions

V

Editorial

changes

available

Revised

documentation

available

Submission of

editorial

changes to the

Secretariat

Editorial

changes

available

Applicantclassifies

changes

V

Major changes Minor changes

Different

types

of reviews

Figure 1: Types of review and revision

6.2.1 Periodic Review: expiry of five year endorsement period

The periodic review of the forest and chain of custody standards shall take placeevery 5 years. Requirements for this review are described in PEFC ST 1001:2010Standard Setting Procedures.

The reviewed standards shall be submitted for a full re-assessment as outlined inchapter 7.2.1.1.

6.2.2 Extraordinary review: changes in PEFC Councils requirements

When the PEFC Council revises the general PEFC Council requirements forstandard setting and implementation, the PEFC Council will inform the PEFCNational Governing Bodies of the changes and of the transition arrangements fortheir implementation.


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7 The endorsement and mutual recognition process

7.1 Overview

Figure 2 provides an overview (flow diagram legend see below).

Figure 2: Overview about the process


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Flow diagram legend:

Event. An event induces a specific function

Function. Action that has to be carried out by an actor, following an event andhaving a specific result (event).

V

Logic operator: or does allow different options, depending on the result of thefunction.

Process: refers to another process.

With regard to PEFCs endorsement and mutual recognition process there are threebasic elements:

1. Types of reviews (as described in chapter 6.2,).

2. Assessment/evaluation procedures for reviewed and, where required, revised

systems.

3. Decision making procedures concerning the endorsement of systems.

The different activities in the process are carried out by various actors. Table 1describes the most important aspects of the roles/tasks of particular actors.

Actor Description of the role / the main tasks

GeneralAssembly

PEFC Councils highest decision making authority is solelyresponsible for the endorsement decision and mutual recognition fornew systems and systems with major revisions.

Board of

Directors

Responsible for ensuring the assessment is sound and completed

according to PEFC requirements, and that the recommendations arelogical and consistent.

On being satisfied, makes a recommendation to the GeneralAssembly with regard to the endorsement of a system in case of newsystems and major revisions.

Endorsement decision in case of minor changes of a system.

ApplicantSystem

Preparation of the system documentation.

Application for endorsement.

Assessor Solely responsible for the independent assessment of the system with

regard to the compliance with PEFC requirements.Making a recommendation to the PEFC Council Board of Directorsconcerning the endorsement of a system.

Panel ofExperts

Quality assurance of the Assessment Report.

Assessment of minor changes and making a recommendation to thePEFC Council Board of Directors concerning the endorsement ofminor system changes.

PEFCCouncilSecretariat

Coordination of the involved actors.

Quality assurance of the overall endorsement process.

Training of the assessors.


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Organizing experience sharing between registered experts.

Table 1: Role / main tasks of actors in the endorsement process

7.2 Assessment/evaluation procedures

7.2.1 Types of assessment/evaluation procedures

1. Full assessment process

2. Assessment process as defined by the PEFC Council Board of Directors

3. Panel of Experts evaluation

4. Evaluation of editorial changes by the PEFC Council Secretariat

7.2.2 Full assessment process

7.2.2.1 Application

A PEFC National Governing Body member, whose membership is financially in goodstanding, may apply for endorsement and mutual recognition of a forest certificationsystem. The application shall be sent in electronic format to the PEFC CouncilSecretariat and will include the English translations of the following documents:

1. Written request for assessment from the PEFC National Governing Body,

2. System description,

3. Standard setting procedures and records on the standard setting process(Development Report),

4. Certification criteria for forest certification (Forest Management Standard(s),

5. Group certification model description,

6. Requirements for chain of custody certification (chain of custody standard),

7. Administrative procedures concerning logo licence issuance and complaintprocedures,

8. Description of certification and accreditation procedures with relevantreferences to international standards defining the competence requirementsfor auditors and certification bodies,

9. Completed PEFC Standard and System Requirements Check-list.

Note: With regard to an efficient external assessment the applicant system shall alsoconsider providing relevant minutes, contracts, etc. verifying information in the

system documentation.

7.2.2.2 Adapting the scope

If, during the revision process, the involved parties (system owner and otherstakeholders) agree that no revision of the system documentation is required, and astandard development report in compliance with the relevant standard settingprocedures is prepared, the PEFC Secretariat can adapt the scope of the fullassessment process accordingly.

7.2.2.3 International Consultation

Once an application has been accepted, PEFC Council will start an international

consultation.The start of the consultation is announced on the PEFC Councils website.


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The minimum time for the international consultation is 60 days.

The PEFC Council encourages PEFC National Governing Bodies, other national andinternational organisations and anyone else with an interest, to provide comments tothe assessors on the applicant system.

PEFC Councils current stakeholder map (including all stakeholders in the PEFCsystem) shall also be used to directly invite participation in the consultation.

PEFC Council shall report on the participation of stakeholders in the consultation.

The results of the international consultation are evaluated by the assessor carryingout the assessment, and their consideration is included in the final assessmentreport.

7.2.2.4 External assessment process

The assessment is carried out by an independent assessor. Procedures for theselection and appointment of an assessor are described in PEFC IGD 1007-02:201x.The assessment should ordinarily last no longer than 10 weeks.

7.2.2.4.1 Phase 1 of the assessment process

7.2.2.4.1.1 Scope

The scope of the assessment process is defined by PEFC Councils normative andadministrative requirements for certification systems. The phase 1 assessmentgenerally covers the following aspects:

1. A general analysis of the structure of the system of the proposed ApplicantSystem (i.e. national PEFC forest certification system)

2. An assessment of the standard setting procedures and process against PEFCST 1001:2010, Standard Setting - Requirements

3. An assessment of the forest certification standard(s) against PEFC ST1003:2010, 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 ST2002:2010, Chain of Custody of Forest Based Products Requirements

6. Procedures for logo licensing (PEFC GD 1004:2009, Administration of PEFCscheme, chapter 6)

7. An assessment of the complaints and dispute resolution procedures against

PEFC GD1004:2009, Administration of PEFC scheme, chapter 8

8. An assessment of certification and accreditation procedures, as defined inAnnex 6 (Certification and Accreditation Procedures)

9. Any other aspects which can affect functions, credibility and efficiency of thesubmitted system.

Note: Where a system review does not lead to a revision of the systemdocumentation the PEFC Council Secretariat can adapt the scope so thatonly the description of the standard setting process has to be assessed.


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7.2.2.4.1.2 Assessment decisions

The independent assessor evaluates the available documentation against theparticular standard requirements of PEFC Council. The assessor can make threedifferent decisions:

Major non-conformity: A major non-conformity violates the integrity of the

certification system and has to be corrected before theendorsement of the system.

Minor non-conformity: A minor non-conformity does not violate the integrity ofthe certification system, and is not a bar toendorsement. The assessor recommends appropriatecorrective action. Generally, a minor non-conformityshould be corrected within 6 months. The assessormay recommend a longer period where justified byparticular circumstances.

Conformity: A procedure described by the system documentationfully meets the particular requirement of PEFC Council

7.2.2.4.1.3 Draft Report

The results of phase 1 of the assessment have to be documented in a Draft Report.

The Draft Report has to be forwarded to the applicant system and the PEFC CouncilSecretariat.

The Draft Report follows the structure described in PEFC IGD 1007-03:201Y.

7.2.2.4.1.4 Comments and amendments by the applicant system

Based on the Draft Report the applicant system can provide additional information.The applicant system can also make changes to the system documentation duringthe assessment process if minor alterations, which will not have significant impact onthe time scale of the assessment, are required.

The comment period is two weeks, with any variation subject to agreement betweenthe applicant system, the PEFC Council Secretariat and the assessor.

7.2.2.4.1.5 Field Assessment

A visit to the systems region of operation to gather information about the applicantsystem and interview the NGB, and relevant stakeholders, shall be required in thecase of the initial assessment of a system. In any other assessment the PEFCCouncil Secretariat can request a field assessment on a case by case basis.

7.2.2.4.2 Phase 2 of the assessment

7.2.2.4.2.1 Scope

The scope of phase 2 of the assessment covers the finalizing of the draft assessmentreport. The assessor considers:

comments and additional information provided by the applicant; and

comments received as a result of the international consultation.

7.2.2.4.2.2 Recommendation

The final result of the external assessment is the assessors recommendation to the

PEFC Council Board of Directors. The assessor shall recommend whether the PEFC


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Council Board of Directors recommends to the General Assembly the endorsementor not.

The endorsement recommendation can include conditions for endorsement. Suchconditions have to be clear with regard to content and date for implementation(whether before or subsequent to endorsement).

7.2.2.4.2.3 Final Draft Report

The Draft Report has to be further developed into a Final Draft Report taking intoaccount any comments or clarification from the applicant system.

The Final Draft Report follows the structure described in PEFC IGD 1007-03:201Y.

7.2.2.4.2.4 Panel of Expert Review

The PEFC Council Secretariat will appoint a Panel of three Experts to review theFinal Draft Report and test and comment on the quality of the assessors work. Thisreview serves as quality assurance for the assessment, but does not replace theassessors determinations.

7.2.2.4.2.5 Final Report

The Final Report will be prepared by the assessor, taking into account any commentsfrom the Panel of Experts.

The assessor will have the opportunity to respond to the individual Panel of Expertsmember comments by clarifying the issue in question or revising his/her reportaccordingly. The assessor shall include the individual comments of all the Panel ofExperts members and his/her responses in an appendix to the assessorsassessment report which will be publicly available when the report is published.

The Final Report will be made publically available after the endorsement and mutual

recognition decision by the General Assembly.

7.2.3 Assessment process as defined by PEFC Council Board of Directors

When the PEFC Council revises the PEFC Council requirements for standards andadministration the PEFC Council Board of Directors will determine specificassessment procedures.

The assessment procedure may be a combination of elements of the full assessmentprocess and the simplified assessment process by the Panel of Experts or maycomprise other elements.

The PEFC Council Board of Directors will also determine whether the endorsement

decision is made by the General Assembly or the PEFC Council Board of Directors.

7.2.4 Simplified assessment process carried out by the Panel of Experts

The simplified assessment process can be carried out in case of minor changes of,or amendments to, a certification system. This assessment process consists of twophases:

1. Phase 1: Determination of minor / major changes. The Panel of Expertsdetermines if it is necessary to assess the changes in a full assessmentprocess as per chapter 7.2.2 (major changes) or if the changes are minor andcan be assessed in a simplified procedure. If the Panel of Experts evaluatesthe changes as minor the PEFC Council Secretariat can initiate phase 2.


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2. Phase 2: Assessment of the changes against PEFC Councils requirements.The Panel of Experts will evaluate the changes against PEFC Councilsrequirements and makes a recommendation to the PEFC Council Board ofDirectors concerning the endorsement of the changes. The PEFC CouncilBoard of Directors can decide according to the procedure described inchapter 7.3.2.

7.2.5 Evaluation of editorial changes

In case of editorial changes the system shall submit the changed or amendeddocumentation to the PEFC Council Secretariat. The PEFC Council Secretariat willassess the documentation against the PEFC Councils requirements.

Where the PEFC Council Secretariat is of the opinion that the changes do not onlyhave editorial character but amend or change the meaning of existing standards andprocedures it can initiate a simplified assessment procedure to be carried out by aPanel of Experts.

7.3 Decision making procedures

7.3.1 Endorsement decision by General Assembly

7.3.1.1 Recommendation by the PEFC Council Board of Directors

Based on the Final Report, the PEFC Council Board of Directors will make arecommendation to the General Assembly. Generally the Board of Directors will havetwo options:

1. To follow the recommendation of the assessor and forward it to the GeneralAssembly; or

2. To change and/or amend the recommendation stating the reasons why.

In cases where the PEFC Council Board of Directors believes a certification systemdoes not conform, the General Assembly is not consulted and the applicant isinformed. The applicant can then either revise the system and apply again or appealagainst the PEFC Council Board of Directors decision and have the GeneralAssembly reconsider the system at its next meeting.

7.3.1.2 Decision by the General Assembly

The General Assembly will decide on system endorsement and mutual recognitionafter being informed of the recommendation by the PEFC Council Board of Directors.General Assembly members will have access to the assessors assessment report toinform their decision making.

If the General Assembly votes in favour of a system, the system will be deemedapproved and mutually recognised by members of the PEFC Council and use of thePEFC trademark logo and/or claims will be permitted in accordance with the rules ofthe PEFC Council as defined in the procedures for logo licensing (PEFC GD1004:2009, Administration of PEFC scheme, chapter 6).

The decision will be announced on the official PEFC Council web page. If the vote isnegative, the applicant can make an appeal to the PEFC Council Board of Directorsto have the system reconsidered at the next General Assembly.

7.3.2 Endorsement decision by PEFC Council Board of Directors

Where a revision has been deemed to be minor the PEFC Council Board of Directorsmay approve, reject, place conditions on, or require amendments to a system prior to


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2012-11-16

PEFC Standard and System RequirementChecklist

PEFC Council

World Trade Center 1, 10 Route de lAroportCH-1215 Geneva, Switzerland

Tel: +41 (0)22 799 45 40, Fax: +41 (0)22 799 45 50E-mail: [email protected], Web: www.pefc.org

PEFC Informative Guide PEFC IGD 1007-01:2012
mailto:[email protected]://www.pefc.org/http://www.pefc.org/mailto:[email protected]


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PEFC IGD 1007-01:2012 2

Copyright notice

PEFC Council 2012

This PEFC Council document is copyright-protected by the PEFC Council. Thisdocument is freely available from the PEFC Council website or upon request.

No part of this document covered by the copyright may be changed or amended;reproduced or copied in any form or by any means for commercial purposes withoutthe permission of the PEFC Council.

The only official version of this document is English. Translations of this documentcan be provided by the PEFC Council or PEFC National Governing Bodies. In caseof any doubt the English version is definitive.

Document name: PEFC Standard and System Requirement Checklist

Document title: PEFC IGD 1007-01:2012

Approved by: PEFC Board of Directors and confirmed by the PEFC General Assembly

Approval date: 2012-11-16

Issue date: 2012-12-01

Date of entry into force: 01.01.2013


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PEFC IGD 1007-01:2012 3

Content

1 Purpose .................................................................................................................4

Part I: Standard and System Requirement Checklist for standard setting

(PEFC ST 1001:2010) ........................................................................................................51 Scope ....................................................................................................................52 Checklist ...............................................................................................................53 Application documentation ................................................................................. 10PART II: Standard and System Requirement Checklist for Group FOREST MANAGEMENTCERTIFICATION (PEFC ST 1002:2010) ........................................................................ 11

1 Scope ................................................................................................................. 112 Checklist ............................................................................................................ 11PART III: Standard and System Requirement Checklist forSUSTAINABLE FOREST MANAGEMENT (PEFC ST 1003:2010) ................................ 14

1 Scope ................................................................................................................. 142 Checklist ............................................................................................................ 14PART IV: Standard and System Requirement Checklist forcertification and accreditation procedures (Annex 6) ...................................................... 23

1 Scope ................................................................................................................. 232 Checklist ............................................................................................................ 23Part V: Standard and System Requirement Checklist forsystem specific Chain of custody standards COMPLIANCE WITH PEFC ST PEFC 2002:2010 .......................................................... 27

1 Scope ................................................................................................................. 272 Checklist ............................................................................................................ 27Part VI: Standard and System Requirement Checklist forscheme administration requirements .............................................................................. 30

1 Scope ................................................................................................................. 302 Checklist ............................................................................................................ 30


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1 Purpose

The purpose of this Informative Guide is to assist the assessment against the PEFC Councils coredocuments as listed in chapter 5 of PEFC GD 1007:201x.

Any inconsistencies between this text and the original referred to document will be overruled by the

content and wording of the technical document.


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PEFC IGD 1007-01:2012 5

Part I: Standard and System Requirement Checklist for standardsetting (PEFC ST 1001:2010)

1 Scope

Part I covers the requirements for standard setting defined in PEFC ST 1001:2010, StandardSetting Requirements.

Any inconsistencies between this text and the original referred to document will be overruled bythe content and wording of the technical document.

2 Checklist

QuestionAssess.basis*

YES/NO*

Reference toapplicationdocuments

Standardising Body

4.1 The standardising body shall have written procedures for standard-setting activitiesdescribing:

a) its status and structure, including a body responsible forconsensus building (see 4.4) and for formal adoption of thestandard (see 5.11),

Procedures

b) the record-keeping procedures, Procedures

c) the procedures for balanced representation ofstakeholders,

Procedures

d) the standard-setting process, Procedures

e) the mechanism for reaching consensus, and Procedures

f) revision of standards/normative documents. Procedures

4.2 The standardising body shall make its standard-settingprocedures publicly available and shall regularly review its

standard-setting procedures including consideration ofcomments from stakeholders.

Procedures

Process

4.3 The standardising body shall keep records relating tothe standard-setting process providing evidence ofcompliance with the requirements of this document and thestandardising bodys own procedures. The records shall bekept for a minimum of five years and shall be available tointerested parties upon request.

Procedures

Process

4.4 The standardising body shall establish a permanent ortemporary working group/committee responsible for

standard-setting activities.

Procedures

Process


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PEFC IGD 1007-01:2012 6


YES/NO*


4.4 The working group/committee shall:

a) be accessible to materially and directly affectedstakeholders,

Procedures

Process

b) have balanced representation and decision-making bystakeholder categories relevant to the subject matter andgeographical scope of the standard where single concernedinterests shall not dominate nor be dominated in theprocess, and

Procedures

Process

c) include stakeholders with expertise relevant to thesubject matter of the standard, those that are materiallyaffected by the standard, and those that can influence theimplementation of the standard. The materially affectedstakeholders shall represent a meaningful segment of theparticipants.

Procedures

Process

4.5 The standardising body shall establish procedures fordealing with any substantive and procedural complaintsrelating to the standardising activities which are accessibleto stakeholders.

Procedures

Process

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

a) acknowledge receipt of the complaint to the complainant,

Procedures

Process

b) gather and verify all necessary information to validate thecomplaint, impartially and objectively evaluate the subjectmatter of the complaint, and make a decision upon thecomplaint, and

Procedures

Process

c) formally communicate the decision on the complaint andof the complaint handling process to the complainant.

Procedures

Process

4.6 The standardising body shall establish at least onecontact point for enquiries and complaints relating to itsstandard-setting activities. The contact point shall be madeeasily available.

Procedures

Standard-setting process

5.1 The standardising body shall identify stakeholders

relevant to the objectives and scope of the standard-setting

Procedures


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YES/NO*


work.

Process

5.2 The standardising body shall identify disadvantaged andkey stakeholders. The standardising body shall address theconstraints of their participation and proactively seek theirparticipation and contribution in the standard-settingactivities.

Procedures

Process

5.3 The standardising body shall make a publicannouncement of the start of the standard-setting processand include an invitation for participation in a timely manner

on its website and in suitable media as appropriate to affordstakeholders an opportunity for meaningful contributions.

Procedures

Process

5.3 The announcement and invitation shall include:

a) information about the objectives, scope and the steps ofthe standard-setting process and its timetable,

Procedures

Process

b) information about opportunities for stakeholders toparticipate in the process,

Procedures

Process

(c) an invitation to stakeholders to nominate theirrepresentative(s) to the working group/committee. Theinvitation to disadvantaged and key stakeholders shall bemade in a manner that ensures that the information reachesintended recipients and in a format that is understandable,

Procedures

Process

d) an invitation to comment on the scope and the standard-setting process, and

Procedures

Process

e) reference to publicly available standard-settingprocedures.

Procedures

Process

5.4 The standardising body shall review the standard-setting process based on comments received from thepublic announcement and establish a workinggroup/committee or adjust the composition of an alreadyexisting working group/committee based on receivednominations. The acceptance and refusal of nominationsshall be justifiable in relation to the requirements forbalanced representation of the working group/committee

and resources available for the standard-setting.

Procedures

Process


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

a) working drafts shall be available to all members of theworking group/committee,

Procedures

Process

b) all members of the working group shall be provided withmeaningful opportunities to contribute to the developmentor revision of the standard and submit comments to theworking drafts, and

Procedures

Process

c) comments and views submitted by any member of theworking group/committee shall be considered in an openand transparent way and their resolution and proposedchanges shall be recorded.

Procedures

Process

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 isannounced in a timely manner in suitable media,

Procedures

Process

b) the invitation of disadvantaged and key stakeholdersshall be made by means that ensure that the informationreaches its recipient and is understandable,

Procedures

Process

c) the enquiry draft is publicly available and accessible,

Procedures

Process

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

Procedures

Process

e) all comments received are considered by the workinggroup/committee in an objective manner,

Procedures

Process

(f) a synopsis of received comments compiled from materialissues, including the results of their consideration, ispublicly available, for example on a website.

Procedures

Process

5.7 The standardising body shall organise pilot testing ofthe new standards and the results of the pilot testing shallbe considered by the working group/committee.

Procedures

Process

5.8 The decision of the working group to recommend the Procedures


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final draft for formal approval shall be taken on the basis of

a consensus. Process

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

a) a face-to face meeting where there is a verbal yes/novote, show of hands for a yes/no vote; a statement onconsensus from the Chair where there are no dissentingvoices or hands (votes); a formal balloting process, etc.,

Procedures

Process

b) a telephone conference meeting where there is a verbal

yes/no vote,

Procedures

Process

c) an e-mail meeting where a request for agreement orobjection is provided to members with the membersproviding a written response (a proxy for a vote), or

Procedures

Process

d) combinations thereof.

Procedures

Process

5.9 In the case of a negative vote which represents sustained opposition to any important part of theconcerned interests surrounding a substantive issue, the issue shall be resolved using the followingmechanism(s):

a) discussion and negotiation on the disputed issue withinthe working group/committee in order to find a compromise,

Procedures

Process

b) direct negotiation between the stakeholder(s) submittingthe objection and stakeholders with different views on thedisputed issue in order to find a compromise,

Procedures

Process

c) dispute resolution process.

Procedures

Process

5.10 Documentation on the implementation of the standard-setting process shall be made publicly available.

Procedures

Process

5.11 The standardising body shall formally approve thestandards/normative documents based on evidence ofconsensus reached by the working group/committee.

Procedures

Process


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5.12 The formally approved standards/normativedocuments shall be published in a timely manner and madepublicly available.

Procedures

Process

Revisions of standards/normative documents

6.1 The standards/normative documents shall be reviewedand revised at intervals that do not exceed a five-yearperiod. The procedures for the revision of thestandards/normative documents shall follow those set out inchapter 5.

Process

6.2 The revision shall define the application date andtransition date of the revised standards/normativedocuments.

Process

6.3 The application date shall not exceed a period of oneyear from the publication of the standard. This is needed forthe endorsement of the revised standards/normativedocuments, introducing the changes, informationdissemination and training.

Process

6.4 The transition date shall not exceed a period of oneyear except in justified exceptional circumstances where the

implementation of the revised standards/normativedocuments requires a longer period.

Process

3 Application documentation

The application for the endorsement and mutual recognition as defined in PEFC GD 1007:2012(Endorsement and Mutual Recognition of National Systems and their Revision) shall includeinformation which enables the assessment of the applicant systems compliance with the PEFCCouncil requirements.

The application documentation should identify and make reference to other detaileddocumentation such as minutes, internal procedures and rules, reports, etc. which do not need tocreate a part of the application documentation.

Asses. basis* The standard setting is assessed against the PEFC Council requirements in twostages: (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 settingprocedures related to the respective PEFC requirement. For Process theapplicant should either refer to the report/records of the standard setting processforming a part of the submitted application documents, or describe how the PEFCrequirement 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.


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

1 Scope

Part IIcovers requirements for group forest management certification as defined in PEFC ST1002:2010, Group Forest Management Certification Requirements.

Any inconsistencies between this text and the original referred to document will be overruled bythe content and wording of the technical document.

2 Checklist

QuestionYES /

NO*Reference to system

documentation

General

4.1 Does the forest certification scheme provide clear definitions for the following terms in conformity withthe definitions of those terms presented in chapter 3 of PEFC ST 1002:2010:

a) the group organisation,

b) the group entity,

c) the participant,

d) the certified area,

e) the group forest certificate, and

f) the document confirming participation in group forestcertification.

4.1.2 In cases where a forest certification scheme allows anindividual forest owner to be covered by additional group orindividual forest management certifications, the scheme shallensure that non-conformity by the forest owner identifiedunder one forest management certification scheme isaddressed in any other forest management certificationscheme that covers the forest owner.

4.1.3 The forest certification scheme shall definerequirements for group forest certification which ensure thatparticipants conformity with the sustainable forestmanagement standard is centrally administered and issubject to central review and that all participants shall besubject to the internal monitoring programme.

4.1.4 The forest certification scheme shall definerequirements for an annual internal monitoring programmethat provides sufficient confidence in the conformity of thewhole group organisation with the sustainable forestmanagement standard.

Functions and responsibilities of the group entity

4.2.1 The forest certification scheme shall define the following requirements for the function and


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responsibility of the group entity:

a) To represent the group organisation in the certification

process, including in communications and relationships withthe certification body, submission of an application forcertification, and contractual relationship with the certificationbody;

b) To provide a commitment on behalf of the whole grouporganisation to comply with the sustainable forestmanagement standard and other applicable requirements ofthe forest certification scheme;

c) To establish written procedures for the management of thegroup organisation;

d) To keep records of:- the group entity and participants conformity with the

requirements of the sustainable forest managementstandard, and other applicable requirements of the forestcertification 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 actionstaken;

e) To establish connections with all participants based on awritten agreement which shall include the participantscommitment to comply with the sustainable forestmanagement standard. The group entity shall have a writtencontract or other written agreement with all participantscovering the right of the group entity to implement andenforce any corrective or preventive measures, and to initiatethe exclusion of any participant from the scope of certificationin the event of non-conformity with the sustainable forestmanagement standard;

f) To provide participants with a document confirmingparticipation in the group forest certification;

g) To provide all participants with information and guidancerequired for the effective implementation of the sustainableforest management standard and other applicablerequirements of the forest certification scheme;

h) To operate an annual internal monitoring programme thatprovides for the evaluation of the participants conformity withthe certification requirements, and;

i) To operate a review of conformity with the sustainableforest management standard, that includes reviewing theresults of the internal monitoring programme and the


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certification bodys evaluations and surveillance; correctiveand preventive measures if required; and the evaluation ofthe effectiveness of corrective actions taken.

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 sustainableforest management standard and other applicablerequirements of the forest certification scheme;

b) To comply with the sustainable forest managementstandard and other applicable requirements of the forestcertification scheme;

c) To provide full co-operation and assistance in respondingeffectively to all requests from the group entity or certificationbody for relevant data, documentation or other information;allowing access to the forest and other facilities, whether inconnection with formal audits or reviews or otherwise;

d) To implement relevant corrective and preventive actionsestablished by the group entity.


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PART III: Standard and System Requirement Checklist for SUSTAINABLEFOREST MANAGEMENT (PEFC ST 1003:2010)

1 Scope

Part IIIcovers 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 thecontent and wording of the technical document.

2 Checklist

QuestionYES /

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 forestmanagement standards shall

a) include management and performance requirements thatare applicable at the forest management unit level, or atanother level as appropriate, to ensure that the intent of allrequirements is achieved at the forest management unitlevel.

b) be clear, objective-based and auditable.

c) apply to activities of all operators in the defined forest areawho have a measurable impact on achieving compliance withthe requirements.

d) require record-keeping that provides evidence ofcompliance with the requirements of the forest managementstandards.

Specific requirements for SFM standards

Criterion 1: Maintenance and appropriate enhancement of forest resources and their contribution tothe global carbon cycle

5.1.1 Forest management planning shall aim to maintain orincrease forests and other wooded areas and enhance thequality of the economic, ecological, cultural and social valuesof forest resources, including soil and water. This shall bedone by making full use of related services and tools thatsupport land-use planning and nature conservation.

5.1.2 Forest management shall comprise the cycle ofinventory and planning, implementation, monitoring andevaluation, and shall include an appropriate assessment ofthe social, environmental and economic impacts of forestmanagement operations. This shall form a basis for a cycle ofcontinuous improvement to minimise or avoid negative

impacts.

5.1.3 Inventory and mapping of forest resources shall beestablished and maintained, adequate to local and national


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conditions and in correspondence with the topics described inthis document.

5.1.4 Management plans or their equivalents, appropriate tothe size and use of the forest area, shall be elaborated andperiodically updated. They shall be based on legislation aswell as existing land-use plans, and adequately cover theforest resources.

5.1.5 Management plans or their equivalents shall include atleast a description of the current condition of the forestmanagement unit, long-term objectives; and the averageannual allowable cut, including its justification and, whererelevant, the annually allowable exploitation of non-timberforest products.

5.1.6 A summary of the forest management plan or itsequivalent appropriate to the scope and scale of forestmanagement, which contains information about the forestmanagement measures to be applied, is publicly available.The summary may exclude confidential business andpersonal information and other information made confidentialby national legislation or for the protection of cultural sites orsensitive natural resource features.

5.1.7 Monitoring of forest resources and evaluation of theirmanagement shall be periodically performed, and results fedback into the planning process.

5.1.8 Responsibilities for sustainable forest managementshall be clearly defined and assigned.

5.1.9 Forest management practices shall safeguard thequantity and quality of the forest resources in the mediumand long term by balancing harvesting and growth rates, andby preferring techniques that minimise direct or indirectdamage to forest, soil or water resources.

5.1.10 Appropriate silvicultural measures shall be taken tomaintain or reach a level of the growing stock that iseconomically, ecologically and socially desirable.

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 theconversion:

a) is in compliance with national and regional policy andlegislation relevant for land use and forest managementand is a result of national or regional land-use planninggoverned by a governmental or other official authorityincluding consultation with materially and directlyinterested persons and organisations; and

b) entails a small proportion of forest type; and

c) does not have negative impacts on threatened (includingvulnerable, rare or endangered) forest ecosystems,culturally and socially significant areas, important habitatsof threatened species or other protected areas; and


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d) makes a contribution to long-term conservation,economic, and social benefits.

5.1.12 Conversion of abandoned agricultural and treelessland into forest land shall be taken into consideration,whenever it can add economic, ecological, social and/orcultural value.

5.2.1 Forest management planning shall aim to maintain andincrease the health and vitality of forest ecosystems and torehabilitate degraded forest ecosystems, whenever this ispossible by silvicultural means.

Criterion 2: Maintenance of forest ecosystem health and vitality

5.2.2 Health and vitality of forests shall be periodically

monitored, especially key biotic and abiotic factors thatpotentially affect health and vitality of forest ecosystems,such as pests, diseases, overgrazing and overstocking, fire,and damage caused by climatic factors, air pollutants or byforest management operations.

5.2.3 The monitoring and maintaining of health and vitality offorest ecosystems shall take into consideration the effects ofnaturally occurring fire, pests and other disturbances.

5.2.4 Forest management plans or their equivalents shallspecify ways and means to minimise the risk of degradationof and damages to forest ecosystems. Forest management

planning shall make use of those policy instruments set up tosupport these activities.

5.2.5 Forest management practices shall make best use ofnatural structures and processes and use preventivebiological measures wherever and as far as economicallyfeasible to maintain and enhance the health and vitality offorests. Adequate genetic, species and structural diversityshall be encouraged and/or maintained to enhance thestability, vitality and resistance capacity of the forests toadverse environmental factors and strengthen naturalregulation mechanisms.

5.2.6 Lighting of fires shall be avoided and is only permitted ifit is necessary for the achievement of the management goalsof the forest management unit.

5.2.7 Appropriate forest management practices such asreforestation and afforestation with tree species andprovenances that are suited to the site conditions or the useof tending, harvesting and transport techniques that minimisetree and/or soil damages shall be applied. The spillage of oilduring forest management operations or the indiscriminatedisposal 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 anenvironmentally-responsible manner.

5.2.8 The use of pesticides shall be minimised andappropriate silvicultural alternatives and other biological


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measures preferred.

5.2.9 The WHO Type 1A and 1B pesticides and other highly

toxic pesticides shall be prohibited, except where no otherviable alternative is available.

5.2.10 Pesticides, such as chlorinated hydrocarbons whosederivates remain biologically active and accumulate in thefood chain beyond their intended use, and any pesticidesbanned by international agreement, shall be prohibited.

5.2.11 The use of pesticides shall follow the instructionsgiven by the pesticide producer and be implemented withproper equipment and training.

5.2.12 Where fertilisers are used, they shall be applied in a

controlled manner and with due consideration for theenvironment.

Criterion 3: Maintenance and encouragement of productive functions of forests (wood and non-wood)

5.3.1 Forest management planning shall aim to maintain thecapability of forests to produce a range of wood and non-wood forest products and services on a sustainable basis.

5.3.2 Forest management planning shall aim to achievesound economic performance taking into account anyavailable market studies and possibilities for new marketsand economic activities in connection with all relevant goodsand services of forests.

5.3.3 Forest management plans or their equivalents shalltake into account the different uses or functions of themanaged forest area. Forest management planning shallmake use of those policy instruments set up to support theproduction of commercial and non-commercial forest goodsand services.

5.3.4 Forest management practices shall maintain andimprove the forest resources and encourage a diversifiedoutput of goods and services over the long term.

5.3.5 Regeneration, tending and harvesting operations shallbe carried out in time, and in a way that does not reduce theproductive capacity of the site, for example by avoidingdamage to retained stands and trees as well as to the forestsoil, and by using appropriate systems.

5.3.6 Harvesting levels of both wood and non-wood forestproducts shall not exceed a rate that can be sustained in thelong term, and optimum use shall be made of the harvestedforest products, with due regard to nutrient off-take.

5.3.7 Where it is the responsibility of the forestowner/manager and included in forest management, the

exploitation of non-timber forest products, including huntingand fishing, shall be regulated, monitored and controlled.


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5.3.8 Adequate infrastructure such as roads, skid tracks orbridges shall be planned, established and maintained toensure efficient delivery of goods and services while

minimising negative impacts on the environment.

Criterion 4: Maintenance, conservation and appropriate enhancement of biological diversity in forestecosystems

5.4.1 Forest management planning shall aim to maintain,conserve and enhance biodiversity on ecosystem, speciesand genetic levels and, where appropriate, diversity atlandscape level.

5.4.2 Forest management planning, inventory and mappingof forest resources shall identify, protect and/or conserveecologically important forest areas containing significant

concentrations of:

a) protected, rare, sensitive or representative forestecosystems such as riparian areas and wetlandbiotopes;

b) areas containing endemic species and habitats ofthreatened species, as defined in recognised referencelists;

c) endangered or protected genetic in situ resources;

and taking into account

d) globally, regionally and nationally significant largelandscape areas with natural distribution and abundanceof naturally occurring species.

5.4.3 Protected and endangered plant and animal speciesshall not be exploited for commercial purposes. Wherenecessary, measures shall be taken for their protection and,where relevant, to increase their population.

5.4.4 Forest management shall ensure successfulregeneration through natural regeneration or, where notappropriate, planting that is adequate to ensure the quantity

and quality of the forest resources.

5.4.5 For reforestation and afforestation, origins of nativespecies and local provenances that are well-adapted to siteconditions shall be preferred, where appropriate. Only thoseintroduced species, provenances or varieties shall be usedwhose impacts on the ecosystem and on the genetic integrityof native species and local provenances have beenevaluated, and if negative impacts can be avoided orminimised.

5.4.6 Afforestation and reforestation activities that contributeto the improvement and restoration of ecological connectivity

shall be promoted.

5.4.7 Genetically-modified trees shall not be used.


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5.4.8 Forest management practices shall, where appropriate,promote a diversity of both horizontal and vertical structuressuch as uneven-aged stands and the diversity of species

such as mixed stands. Where appropriate, the practices shallalso aim to maintain and restore landscape diversity.

5.4.9 Traditional management systems that have createdvaluable ecosystems, such as coppice, on appropriate sitesshall be supported, when economically feasible.

5.4.10 Tending and harvesting operations shall be conductedin a way that does not cause lasting damage to ecosystems.Wherever possible, practical measures shall be taken toimprove or maintain biological diversity.

5.4.11 Infrastructure shall be planned and constructed in a

way that minimises damage to ecosystems, especially torare, sensitive or representative ecosystems and geneticreserves, and that takes threatened or other key species inparticular their migration patterns into consideration.

5.4.12 With due regard to management objectives, measuresshall be taken to balance the pressure of animal populationsand grazing on forest regeneration and growth as well as onbiodiversity.

5.4.13 Standing and fallen dead wood, hollow trees, oldgroves and special rare tree species shall be left in quantitiesand distribution necessary to safeguard biological diversity,

taking into account the potential effect on the health andstability of forests and on surrounding ecosystems.

Criterion 5: Maintenance and appropriate enhancement of protective functions in forestmanagement (notably soil and water)

5.5.1 Forest management planning shall aim to maintain andenhance protective functions of forests for society, such asprotection of infrastructure, protection from soil erosion,protection of water resources and from adverse impacts ofwater such as floods or avalanches.

5.5.2 Areas that fulfil specific and recognised protective

functions for society shall be registered and mapped, andforest management plans or their equivalents shall take theseareas into account.

5.5.3 Special care shall be given to silvicultural operations onsensitive soils and erosion-prone areas as well as in areaswhere operations might lead to excessive erosion of soil intowatercourses. Inappropriate techniques such as deep soiltillage and use of unsuitable machinery shall be avoided insuch areas. Special measures shall be taken to minimise thepressure of animal populations.

5.5.4 Special care shall be given to forest management

practices in forest areas with water protection functions toavoid adverse effects on the quality and quantity of waterresources. Inappropriate use of chemicals or other harmfulsubstances or inappropriate silvicultural practices influencing


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water quality in a harmful way shall be avoided.

5.5.5 Construction of roads, bridges and other infrastructure

shall be carried out in a manner that minimises bare soilexposure, avoids the introduction of soil into watercoursesand preserves the natural level and function of water coursesand river beds. Proper road drainage facilities shall beinstalled and maintained.

Criterion 6: Maintenance of other socio-economic functions and conditions

5.6.1 Forest management planning shall aim to respect themultiple functions of forests to society, give due regard to therole of forestry in rural development, and especially considernew opportunities for employment in connection with thesocio-economic functions of forests.

5.6.2 Forest management shall promote the long-term healthand well-being of communities within or adjacent to the forestmanagement area.

5.6.3 Property rights and land tenure arrangements shall beclearly defined, documented and established for the relevantforest area. Likewise, legal, customary and traditional rightsrelated to the forest land shall be clarified, recognised andrespected.

5.6.4 Forest management activities shall be conducted inrecognition of the established framework of legal, customary

and traditional rights such as outlined in ILO 169 and the UNDeclaration on the Rights of Indigenous Peoples, which shallnot be infringed upon without the free,prior and informedconsent of the holders of the rights, including the provision ofcompensation where applicable. Where the extent of rights isnot yet resolved or is in dispute there are processes for justand fair resolution. In such cases forest managers shall, inthe interim, provide meaningful opportunities for parties to beengaged in forest management decisions whilst respectingthe processes and roles and responsibilities laid out in thepolicies 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 forownership rights and the rights of others, the effects on forestresources and ecosystems, as well as compatibility with otherfunctions of the forest.

5.6.6 Sites with recognised specific historical, cultural orspiritual significance and areas fundamental to meeting thebasic needs of local communities (e.g. health, subsistence)shall be protected or managed in a way that takes due regardof the significance of the site.

5.6.7 Forest management operations shall take into accountall socio-economic functions, especially the recreationalfunction and aesthetic values of forests by maintaining forexample varied forest structures, and by encouragingattractive trees, groves and other features such as colours,flowers and fruits. This shall be done, however, in a way and


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to an extent that does not lead to serious negative effects onforest resources, and forest land.

5.6.8 Forest managers, contractors, employees and forestowners shall be provided with sufficient information andencouraged to keep up-to-date through continuous training inrelation to sustainable forest management as a preconditionfor all management planning and practices described in thisstandard.

5.6.9 Forest management practices shall make the best useof local forest-related experience and knowledge, such asthose of local communities, forest owners, NGOs and localpeople.

5.6.10 Forest management shall provide for effective

communication and consultation with local people and otherstakeholders relating to sustainable forest management andshall provide appropriate mechanisms for resolvingcomplaints and disputes relating to forest managementbetween forest operators and local people.

5.6.11 Forestry work shall be planned, organised andperformed in a manner that enables health and accident risksto be identified and all reasonable measures to be applied toprotect workers from work-related risks. Workers shall beinformed about the risks involved with their work and aboutpreventive measures.

5.6.12 Working conditions shall be safe, and guidance andtraining in safe working practices shall be provided to allthose assigned to a task in forest operations.

5.6.13 Forest management shall comply with fundamentalILO conventions.

5.6.14 Forest management shall be based inter-alia on theresults of scientific research. Forest management shallcontribute to research activities and data collection neededfor sustainable forest management or support relevantresearch activities carried out by other organisations, asappropriate.

Criterion 7: Maintenance and appropriate enhancement of protective functions in forestmanagement (notably soil and water)

5.7.1 Forest management shall comply with legislationapplicable to forest management issues including forestmanagement practices; nature and environmental protection;protected and endangered species; property, tenure andland-use rights for indigenous people; health, labour andsafety issues; and the payment of royalties and taxes.

5.7.2 Forest management shall provide for adequateprotection of the forest from unauthorised activities such asillegal logging, illegal land use, illegally initiated fires, andother illegal activities.


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PEFC IGD 1007-01:2012 22

* If the answer to any question is no, the application documentation shall indicate for eachelement why and what alternative measures have been taken to address the element inquestion.


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PEFC IGD 1007-02:201X FD 23

PART IV: Standard and System Requirement Checklist forcertification and accreditation procedures (Annex 6)

1 Scope

This document covers requirements for certification and accreditation procedures given inAnnex 6 to the PEFC Council Technical Document (Certification and accreditationprocedures).

Any inconsistencies between this text and the original referred to document will be overruledby the content and wording of the technical document.

2 Checklist

No. Question

Reference toPEFCCouncil

PROCEDURES

YES /NO*

Reference to schemedocumentation

Certification Bodies

1.

Does the scheme documentation require thatcertification shall be carried out by impartial,independent third parties that cannot beinvolved in the standard setting process asgoverning or decision making body, or in theforest management and are independent of the

certified entity?

Annex 6, 3.1

2.

Does the scheme documentation require thatcertification body for forest managementcertification or chain of custody certificationagainst a scheme specific chain of custodystandard shall fulfil requirements defined inISO 17021 or ISO Guide 65?

Annex 6, 3.1

3.

Does the scheme documentation require thatcertification body chain of custody certificationagainst Annex 4 shall fulfil requirementsdefined in ISO Guide 65?

Annex 6, 3.1

4.

Does the scheme documentation require thatcertification bodies carrying out forestcertification shall have the technicalcompetence in forest management on itseconomic, social and environmental impacts,and on the forest certification criteria?

Annex 6, 3.1

5.

Does the scheme documentation require thatcertification bodies carrying out C-o-Ccertifications shall have technical competencein forest based products procurement andprocessing and material flows in differentstages of processing and trading?

Annex 6, 3.1

6. Does the scheme documentation require thatcertification bodies shall have a good

Annex 6, 3.1


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No. Question

Reference toPEFC

CouncilPROCEDUR

ES

YES /NO*


understanding of the national PEFC systemagainst which they carry out forestmanagement or C-o-C certifications?

7.

Does the scheme documentation require thatcertification bodies have the responsibility touse competent auditors and who haveadequate technical know-how on thecertification process and issues related toforest management or chain of custodycertification?

Annex 6, 3.2

8.

Does the scheme documentation require thatthe auditors must fulfil the general criteria of

ISO 19011 for Quality Management Systemsauditors or for Environmental ManagementSystems auditors?

Annex 6, 3.2

9.

Does the scheme documentation includeadditional qualification requirements forauditors carrying out forest management orchain of custody audits?

[*1]

Annex 6, 3.2

Certification procedures

10.

Does the scheme documentation require thatcertification bodies shall have establishedinternal procedures for forest managementand/or chain of custody certification?

Annex 6, 4

11.

Does the scheme documentation require thatapplied certification procedures for forestmanagement certification or chain of custodycertification against a scheme specific chain ofcustody standard shall fulfil or be compatiblewith the requirements defined in ISO 17021 orISO Guide 65?

Annex 6, 4

12.

Does the scheme documentation require thatapplied certification procedures for chain ofcustody certification against Annex 4 shall fulfilor be compatible with the requirements defined

in ISO Guide 65?

Annex 6, 4

13.

Does the scheme documentation require thatapplied auditing procedures shall fulfil or becompatible with the requirements of ISO19011?

Annex 6, 4

14.

Does the scheme documentation require thatcertification body shall inform the relevantPEFC National Governing Body about allissued forest management and chain ofcustody certificates and changes concerningthe validity and scope of these certificates?

Annex 6, 4

15.Does the scheme documentation require thatcertification body shall carry out controls ofPEFC logo usage if the certified entity is a

Annex 6, 4


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PEFC IGD 1007-01:2012 25

No. Question

Reference toPEFC

CouncilPROCEDUR

ES

YES /NO*


PEFC logo user?

16.Does a maximum period for surveillance auditsdefined by the scheme documentation notexceed more than one year?

Annex 6, 4

17

Does a maximum period for assessment auditnot exceed five years for both forestmanagement and chain of custodycertifications?

Annex 6, 4

18Does the scheme documentation includerequirements for public availability ofcertification report summaries?

Annex 6, 4

19Does the scheme documentation includerequirements for usage of information fromexternal parties as the audit evidence?

Annex 6, 4

20.Does the scheme documentation includeadditional requirements for certificationprocedures?

[*1]

Annex 6, 4

Accreditation procedures

21.

Does the scheme documentation require thatcertification bodies carrying out forestmanagement and/or chain of custodycertification shall be accredited by a national

accreditation body?

Annex 6, 5

22.

Does the scheme documentation require thatan accredited certificate shall bear anaccreditation symbol of the relevantaccreditation body?

Annex 6, 5

23.

Does the scheme documentation require thatthe accreditation shall be issued by anaccreditation body which is a part of theInternational Accreditation Forum (IAF)umbrella or a member of IAFs specialrecognition regional groups and whichimplement procedures described in ISO 17011

and other documents recognised by the abovementioned organisations?

Annex 6, 5

24.

Does the scheme documentation require thatcertification body undertake forestmanagement or/and chain of custodycertification against a scheme specific chain ofcustody standard as accredited certificationbased on ISO 17021 or ISO Guide 65 and therelevant forest management or chain ofcustody standard(s) shall be covered by theaccreditation scope?

Annex 6, 5

25.

Does the scheme documentation require that

certification body undertake chain of custodycertification against Annex 4 as accredited

Annex 6, 5


46/69

PEFC IGD 1007-01:2012 26

No. Question

Reference toPEFC

CouncilPROCEDUR

ES

YES /NO*


certification based on ISO Guide 65?

26.Does the scheme documentation include amechanism for PEFC notification ofcertification bodies?

Annex 6, 6

27.Are the procedures for PEFC notification ofcertification bodies non-discriminatory?

Annex 6, 6

* If the answer to any question is no, the application documentation shall indicate foreach element why and what alternative measures have been taken to address theelement in question.

[*1]This is not an obligatory requirement


47/69

PEFC IGD 1007-01:2012 27

Part V: Standard and System Requirement Checklist for systemspecific Chain of custody standards COMPLIANCE WITH PEFC STPEFC 2002:2010

1 Scope

Part V is used for the assessment of scheme specific chain of custody standards againstPEFC ST 2002:2010 (Chain of Custody of Forest Based Products - Requirements).

Any inconsistencies between this text and the original referred to document will be overruledby the content and wording of the technical document.

2 Checklist

No. QuestionReferenceto PEFC

2002:2010

YES /NO*

Reference to applicationdocuments

Requirements for chain of custody process physical separation method

1.

Does the national C-o-C standard requireidentification of origin of certifiedmaterial/products in compliance wi

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PEFC GD 1007:2012 Endorsement and Mutual Recognition of National Systems and their Revision

Documents