Forest Evaluation Process Version:

2 FM Preassessment FM Assessment FM Surveillance Audit Contents

3 Forest Management Unit - FMU a clearly defined forest area mapped with boundaries, managed by a single management body to a single managerial body to a set of explicit objectives which are expressed in a self-contained multi- year management plan FSC-STD FSC Glossary of Terms, July 2004 “ ”

4 FMU as the basis for evaluation An FMU or group of similar FMUs is the defined unit for evaluation. Compliance for the full FSC standard must be demonstrated at the FMU level. Examples of FMUs: –Community managed forest –Privately owned estate (may contain several forest blocks if managed under a single FMP) –A management subdivision of a national forest Not an FMU: –The forest of a region or country consisting of many independent forest owners. Note: It is not a requirement that all forest area within an FMU be contiguous. An FMU may consist of a number of separate sites or blocks of forest.

5 SW TM Lead Auditor/Auditors Lead Auditor + TM SW TM /R0/HQ 5.Evaluation Planning 6.Preassessment (Large FME, HVO, HCVF) 7.Stakeholder consultation 8.Field evaluation 9.Prepare evaluation report 10.Final draft of the report 11.Send to FM SW task manager 12.Redraft report if necessary 13.Review by FME 14.Peer review 15.Final report 16.Certification decision 17.Certification contract 18.Certificate issuing Evaluation Process: Steps 1.Application 2.Preliminary screening 3.Stakeholder notification 4.Stakeholder Consultation (preassessment)

6 reassessments FSC-STD Forest Pre-Evaluation Visits FM-34 SW Applicability and Procedural Guidance for FSC FM Preassessments P

7 FM Preassessments Audits carried out prior to a main evaluation with the overall objective to improve quality, reduce uncertainty and reduce risk of unforeseen obstacles. The preassessment provides for: The orientation of the forest manager(s) with the main requirements of the standard to be used for the audit and the certification process. Identification of potential significant conformance issues or gaps that the manager should work to correct before committing to the cost of a full evaluation.

8 Requirement:Applicability:Means of identification large-scale forests (FSC requirement) FMEs greater than 10,000 hectares, Unless, the whole area meets the SLIMF eligibility criteria. As defined in the FM application form and confirmed by TM. High conservation value forests (FSC requirement) Designated HCVF or evidence that contains HCV attributes. Note: precautionary approach should be applied. 1.FME identifies presence of HCVFs on application form or 2.FMU(s) are formally defined as HCVF by NI, or 3.forest is not formally designated as HCVF but is commonly accepted as such. High visibility Organization (RA requirement) Organizations meet SW HVO requirements See Q-11. Preassessments are required for these situations: FM Preassessments

9 When are Preassessments Not Required? Formal Preassessments are not required for non large-scale FMEs (less then 10,000 hectares) that are not classified as an HVO and do not contain HCVFs. NOTE! If a pre-assessment is not conducted and HCVFs are identified during the assessment the assessment must be immediately suspended and HCVF targeted stakeholder consultation must be completed.

10 FM Preassessments: Small-scale FME with HCVFs Adjusted two-phase assessment process to include pre-consultation with “HCVF stakeholders” Phase I Stakeholder list development Stakeholder notification – 60 days prior to assessment field work Pre-consultation Phase II Field evaluation Preassessment alternative for non large-scale FMEs with (or have a high likelihood of containing) HCVFs:

11 Preassessment: Preparation for Primary Assessment 1. Documents and Records: Prepare copies of key documents or records needed for the main evaluation (e.g. FMP, Inventory results, maps, etc.). 2. Stakeholders and Officials: Provide SmartWood with an initial list of individuals and organizations that can be contacted as stakeholders to the main assessment The primary purpose of the preassessment is to prepare for the main assessment.

12 ssessment “The main Evaluation” A

13 Multi-disciplinary teams Independent auditors with no conflict of interest Audit is both office & forest-based Stakeholder consultation Written Report Multi-disciplinary teams Independent auditors with no conflict of interest Audit is both office & forest-based Stakeholder consultation Written Report 4:13 FSC Certification Assessment Features Standardized Process

14 Before the Auditors Arrival at the Field Site Prepare the management documentation: Management plans Policies Org. charts & staff directories Review FSC standards Prepare a checklist/questions Categorize areas of interest/concern Assessment Planning

15 Evaluation of Management Systems NOTE: For large FMEs a fully documented management system is expected. A system based on verbal descriptions and simple documentation may be acceptable for small scale or low intensity FMEs. NOTE: For large multiple FMU enterprises it is necessary to evaluate the functionality of their management systems at the regional or sub-regional offices Assessment team shall complete an explicit analysis of the critical aspects of FME management control required to ensure that the specified FM Standard(s) is implemented over: (3.2.1 FSC-STD ) 1 The full geographical area of the evaluation and Evaluate all districts and major forest types Evaluate compliance in separate regulatory jurisdictions The full range of management operations Harvest planning Active harvesting Road building

16 Evaluation of Management Systems (cont) Assessment team shall evaluate the capacity of the applicant to implement its management system consistently and effectively as described, with explicit consideration of : (3.2.3 FSC-STD ) 2 The technical resources available Type and quality of equipment GIS systems for large FMEs Adequate resources to fulfill required monitoring and inventory updates The human resources available Adequate number of people involved in the management, Adequate level of training and experience; Availability of expert advice if required. Availability of skill forest workers and appropriate harvesting systems.

17 management is functioning effectively; Healthy balance sheets Updated inventory data Valid contracts & agreements management is functioning as described; On the ground observation consistent with written plans Updated monitoring documents Harvest volume summaries consistent with management plan. and is in compliance with all applicable FM standards and policies. Current tax receipts Compliance reports from applicable regulatory bodies Required CoC tracking documentation and reports Evaluation of Management Systems (cont) The Assessment team shall evaluate the documentation and records applicable to each level of management (including CoC), sufficient to confirm that:(3.2.4 FSC-STD ) 3

18 Opening Meeting with Client Introduction of audit team and FME staff Review certification process and confirm evaluation scope FME provides overview of forest holdings and management system. Auditors review documentation inventory Finalize assessment logistics. (People, vehicles, documents…) 18 Meeting points:

19 FMU-level analysis At each FMU the SmartWood auditors will: Sites – visit a sufficient variety and number of sites so as to make direct, factual observations to verify compliance with all the relevant indicators Documents and records - Identify and assess management documentation and a sufficient variety and number of records to verify indicator compliance at that FMU Stakeholder consultation – Interview a sufficient variety and # of people affected by or involved in the forest management at the sampled FMU to make observations as to compliance with the standard.

20 A nnual SurveillanceAudits

21 Managing annual audits: 1.Evaluate continued conformance with the standard and FSC requirements. 2.Evaluate all open CARs; 3.Follow-up on any complaints or allegations of non-compliance with any aspect of the standard received since the last audit; and, 4.Verify that management systems are working effectively and consistently, across the certified operation. Surveillance Audit objectives:

22 Ongoing P&C conformance FSC requires evaluation of conformance against complete FM standard over the certification period. SmartWood will choose specific criteria to evaluate based on: Stakeholder complaints; Past audit scope or focus, Current CARs, Auditor qualifications

23 Surveillance Audits: Documentation & Records Changes to forest area included in the scope Changes in the FME management systems Complaints received Accident records Operational plan(s) for next 12 months Inventory records Harvesting records Chemical use records CoC documented procedures (for large FMEs) Records of sales of FSC certified products (invoices, trip tickets, shipping documents, TMK use, TMK approvals from SW) The SmartWood auditor will review the following documentation during annual audits. This information can be provided to the audit team in advance of the onsite audit (if applicable)

24 1.The list of group members 2.The rate of change of membership within the group 3.Any formal communication sent to group members by the group manager since the previous audit/assessment. 4.Records of monitoring carried out by the group manager 5.Records of corrective actions issued by the group manager. Surveillance Audits: Documentation & Records - Groups In the case of group certificates the audit team will review:

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