pefc gd 1007-201x ed endorsement process

7/31/2019 PEFC GD 1007-201x ED Endorsement Process

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Enquiry Draft

2012-07-18

Endorsement and Mutual Recognition ofNational Schemes 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 1007:201X
mailto:[email protected]://www.pefc.org/http://www.pefc.org/mailto:[email protected]


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PEFC GD 1007:201X ED 2

Copyright notice

PEFC Council 201X

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 Schemes and theirRevision

Document title: PEFC GD 1007:201X

Approved by: Date:

Issue date:

Date of entry into force:


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Content

Foreword ............................................................................................................... 4

0 Introduction ........................................................................................................... 51 Scope .................................................................................................................... 62 Normative references ............................................................................................ 63 Definitions ............................................................................................................. 84 Principles of the endorsement and mutual recognition process ........................... 95 PEFC Council Standard and Scheme Requirements for regional, national and

sub-national schemes ........................................................................................... 96 Scheme development and review ......................................................................... 9

6.1 Scheme development ............................................................................................ 106.2 Scheme reviews and revisions ............................................................................... 10

6.2.1 Periodic Review: expiry of five year endorsement period .................................. 106.2.2 Extraordinary review: changes in PEFC Councils requirements ...................... 106.2.3 Scheme specific review ..................................................................................... 11

7 The endorsement and mutual recognition process ............................................. 127.1 Overview ................................................................................................................ 127.2 Assessment/evaluation procedures ....................................................................... 14

7.2.1 Types of assessment/evaluation procedures .................................................... 147.2.2 Full assessment process ................................................................................... 147.2.3 Assessment process as defined by PEFC Board of Directors .......................... 177.2.4 Simplified assessment process carried out by the Panel of Experts ................. 177.2.5 Evaluation of editorial changes .......................................................................... 18

7.3 Decision making procedures .................................................................................. 187.4 Validity and termination of the endorsement status ............................................... 19

Additional informative Guides

PEFC IGD 1007:01:201x PEFC Standard and Scheme Requirement Checklist

PEFC IGD 1007:02:201x Appointment of independent assessorsPEFC IGD 1007:03:201x The assessment report

PEFC IGD 1007:04:201x Involvement of Panel of Experts in the endorsement ofnational forest certification schemes


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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 raw material

originates in sustainably managed forests.

The PEFC Council provides endorsement of national forest certification schemeswhich are required to comply with the PEFC Council requirements subject to regularevaluations.

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 1007:01:201x PEFC Standard and Scheme RequirementChecklist

2. PEFC IGD 1007:02:201x Appointment of independent assessors3. PEFC IGD 1007:03:201x The assessment report

4. PEFC IGD 1007:04:201x Involvement of Panel of Experts in the endorsementof national forest certification schemes

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 Schemes and their Revision).

2) GL 2/2010 (PEFC Council Minimum Requirements Checklist),

3) PEFC GL 8/2008 (Involvement of the panel of experts in the endorsement ofnational forest certification schemes),

4) GLI 6/2005 (Content of the assessors assessment report for forestcertification schemes).

These documents are hereby withdrawn on DD.MM.YYYY.


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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 sustainably managed forests and recycled sources and othernon-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 reliability of PEFCcertification schemes worldwide.


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1 Scope

This document describes the endorsement and mutual recognition process andrefers to PEFC Standards and Guidelines. Procedures for the endorsement andmutual recognition of reviewed, revised and amended schemes are described.

The endorsement of a scheme means that the members of the PEFC Council havedetermined that the scheme meets the requirements of the PEFC Council. Theelection procedure ensures that each scheme votes on each other. Therefore theschemes mutually recognise each other under the PEFC Council mutual recognitionumbrella.

Rules for endorsement of forest certification and chain of custody standards andschemes guide the assessment and decision-making in the process. The rulesharmonize the documentation of the scheme and applications as well as theassessment processes carried out by independent assessors and experts..

They also set the framework for the endorsement decision making process in the

PEFC Council and thus provide fairness and equity for all applicants.

2 Normative references

The following referenced documents are indispensable for the application of thisdocument. The dated references are the particular original documents. For thepurpose of the application of this Guide the current version is relevant.

ISO/IEC 17000:2004 Conformity assessment Vocabulary and generalprinciples

ISO/IEC Guide 65:1996 General Requirements for bodies operating productcertification systems

For the purposes of this standard, the relevant definitions given in ISO/IEC Guide 2and ISO 9000:2005 apply, together with the following definitions:

ISO 19011:2011, Guidelines for auditing management systems

IAF GD 5:2006, IAF Guidance on the Application of ISO/IEC Guide 65:1996(available fromwww.iaf.nu)

PEFC ST 1001:2010, Standard Setting - Requirements (available fromwww.pefc.org)

PEFC ST 1003:2010, Sustainable Forest Management Requirements. (availablefromwww.pefc.org)

PEFC ST 1002:2010, Group Forest Management Certification - Requirements(available fromwww.pefc.org)

PEFC ST 2002:2010, Chain of Custody of Forest Based Products Requirements(available fromwww.pefc.org)

PEFC ST 2003:2012, Requirements for Certification Bodies operating Certificationagainst the PEFC International Chain of Custody Standard; the relevant part of TDAnnex 6 is still valid during the transition period

PEFC GD 1004:2009, Administration of PEFC scheme, chapter 8 (available from

www.pefc.org)
http://www.iaf.nu/http://www.iaf.nu/http://www.iaf.nu/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/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/http://www.pefc.org/http://www.pefc.org/http://www.pefc.org/http://www.pefc.org/http://www.iaf.nu/


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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 scheme

Any alteration of the wording of a scheme documentation of

a) a PEFC endorsed scheme, after the scheme has been endorsed, or

b) an applicant scheme which was submitted for assessment.

3.2 Applicant scheme

Forest certification scheme submitted for assessment against PEFC Requirementsby the relevant National Governing Body.

3.3 Editorial changes

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

3.4 Mutual recognition

The endorsement of a scheme means that the members of the PEFC Council havedetermined that the scheme meets the requirements of the PEFC Council. Theelection procedure ensures that each scheme votes on each other. Therefore theschemes mutually recognise each other under the PEFC Council mutual recognitionumbrella.

3.5 National Governing Body

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

3.6 Review of a scheme

The activity of identifying whether a scheme meets the demands and requirements ofscheme owner, stakeholders, customers etc. The review of a scheme can result in ascheme revision.

3.7 Revision of a schemeAmendment to a scheme following a review of a scheme.

3.8 Scheme documentation

Technical documents of an applicant scheme or a PEFC endorsed scheme, relevantfor 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 schemes, are transparent and widelycommunicated.

The endorsement and mutual recognition of forest certification schemesand 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 Scheme Requirements for regional,national and sub-national schemes

The schemes 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)

logo licensing procedures (PEFC GD 1004:2009, Administration of PEFCscheme, chapter 8)

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

certification and accreditation procedures (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 Scheme development and review

The application of the endorsement process is relevant when a newly developedscheme wants to act as a PEFC Scheme and make PEFC claims or when existingschemes are reviewed. Revisions in a scheme documentation, as a consequence ofa review, lead to a specific assessment procedure.


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6.1 Scheme development

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

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

guide.

6.2 Scheme 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 scheme specific framework

Each of these reviews can result in changes to existing scheme documentation.Figure 1 gives 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, where necessary, revision

6.2.1 Periodic Review: expiry of five year endorsement period

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

The reviewed standard 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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Any revisions to standards and or schemes induced by the PEFC Council shall besubmitted by the PEFC National Governing Body, to the PEFC Council forassessment within the time limits specified. The PEFC Council Board of Directors willdetermine specific assessment procedures.

Note: The assessment procedure determined by the PEFC Council Board of

Directors can include elements of the full assessment process as well as anysimplified Panel of Expert assessment.

6.2.3 Scheme specific review

From time to time, on a scheme specific level, the necessity to review the schemeagainst specific requirements can arise before the periodic review has to be carriedout. The resulting changes of such a review may be substantial or only editorial.Unless a NGB decides that the changes are major changes, which have to passthrough the full assessment process, the changes can potentially be assessed in asimplified process.

The PEFC Council Secretariat will decide on whether an amendment is major orminor using the procedures outlined in chapter 7.2.4 of this guide and theassessment will proceed accordingly.


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7 The endorsement and mutual recognition process

7.1 Overview

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

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

Full

assessment

process

Report and

recommen-

dation to Board

available

V

No revision,

Report

available

Revised

documentation

available

V

Assessment

process as

defined by

Board

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

V

Changes

accepted as

editorial

V

Experts Report

available

minor changes

Experts Report

available

major changes

Experts Report

available

editorial

changes

V

Report and

recommen-

dation to Board

available

Recommendati

on to GA by

Board

Board approves

changes

VV

V

Recommendati

on to GA

available

GA reendorses

the scheme

Changes

endorsed

Scheme

reendorsed

Involvement

of Panel of

Experts

Applicant

classifies

changes

V

Major changes Minor changes

Panel of

Experts

evaluation

Evaluation of

editorial

changes

Different

types

of reviews

Different

assessment/

evaluation

procedures

Different

decision

making

procedures

Changes not

accepted as

editorial

Figure 2: Overview about the process

Flow diagram legend:


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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 the

function.

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, revisedschemes.

3. Decision making procedures concerning the endorsement of schemes.

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 authority is solely responsible for theendorsement decision and mutual recognition for new schemes andschemes with major revisions.

Board ofDirectors

Responsible for ensuring the assessment is sound and completedaccording 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 scheme in case of newschemes and major revisions.

Endorsement decision in case of minor changes of a scheme.

ApplicantScheme

Preparation of the scheme documentation.

Application for endorsement.

Assessor Solely responsible for the independent assessment of the schemewith regard to the compliance with PEFC requirements.

Making a recommendation to the PEFC Board of Directors concerningthe endorsement of a scheme.

Panel ofExperts

Quality assurance of the Assessment Report.

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

PEFCCouncilSecretariat

Coordination of the involved actors.

Quality assurance of the overall endorsement process.

Training of the assessors.

Organizing experience sharing between registered experts.Table 1: Role / main tasks of actors in the endorsement process


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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 Board of Directors3. Panel of Experts evaluation

4. Evaluation of editorial changes by the secretariat

7.2.2 Full assessment process

7.2.2.1 Application

A PEFC National Governing Body member, which membership is financially in goodstanding, may apply for endorsement and mutual recognition of a forest certificationscheme. 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. Scheme 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 complaint

procedures8. Description of certification and accreditation procedures with relevant

references to international standards defining the competence requirementsfor auditors and certification bodies

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

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

7.2.2.2 Adapting the scope

If the involved parties (scheme owner and other stakeholders) during the revisionprocess come to the result that a documentation adaptation is not necessary and astandard development report in compliance with the particular PEFC standarddescribes the this process, the PEFC Secretariat can adopt the scope of the fullassessment process.

7.2.2.3 International Consultation

Once an application has been accepted, PEFC will start an international consultation.

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

The minimum time for the international consultation is 60 days.


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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 scheme.

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 Annex 1. The assessmentshall 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 schemes. The stage one assessmentgenerally covers the following aspects:

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

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 (asa transition period applies to PEFC ST 2002:2010)

6. An assessment of the Logo usage rules against PEFC ST 2001:2008, PEFCLogo usage rules - Requirements

7. An assessment of the complaints and dispute resolution procedures againstPEFC 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 scheme.

Note 1: point 6 and 7 are only relevant in case of the first endorsement.

Note 2: Where a scheme review does not lead to a revision of the schemedocumentation 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 assesses 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 and the appropriate time frame.

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

Note: Comment is invited to provide a more prescriptive time limit regardingcorrective action.

7.2.2.4.1.3 Draft Report

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

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

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

7.2.2.4.1.4 Comments and amendments by the applicant scheme

Based on the Draft Report the applicant scheme can provide additional information.The applicant scheme can also make changes to the scheme 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 betweenApplicant Scheme, PEFC Council Secretariat and Consultant.

7.2.2.4.1.5 Field Assessment

A visit to the schemes region of operation to gather information about the applicantscheme and interview the NGB, and relevant stakeholders, is required in the case ofthe initial assessment of a scheme. In any other assessment the PEFC CouncilSecretariat can request a field assessment on a case by case basis.

7.2.2.4.2 Phase two of the assessment

7.2.2.4.2.1 Scope

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

comments and additional information provided by the applicant; and

comments received as a result of the international consultation.


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7.2.2.4.2.2 Recommendation

The final result of the external assessment is the assessors recommendation to thePEFC Board of Directors. The assessor shall recommend whether the PEFC Boardof Directors recommends to the General Assembly the endorsement or not.

The endorsement recommendation can include conditions for endorsement. Such

conditions 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 scheme.

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

7.2.2.4.2.4 Panel of Expert Review

The PEFC Council Secretariat appoints a Panel of three Experts to review the Final

Draft Report, and test and comment on the quality of the assessors work. This reviewserves as quality assurance for the assessment, but not to replace the assessorsdeterminations.

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 has 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 of the assessors

assessment report which will be publicly available when the report is published.The Final Report will be made publically available after the endorsement and mutualrecognition decision by the General Assembly.

7.2.3 Assessment process as defined by PEFC Board of Directors

When the PEFC Council revises the general PEFC Council requirements forstandards and administration the PEFC Council Board of Directors will determinespecific assessment 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 may

comprise other elements.The PEFC Board of Directors will also determine whether the endorsement decisionis made by the General Assembly or the PEFC 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 oramendments of a certification scheme. 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 assessment

process as per chapter 7.2.2 (major changes) or if the changes are minor and


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can be assessed in a simplified procedure. If the Panel of Experts evaluatesthe changes as minor the PEFC Council Secretariat can initiate phase 2.

2. Phase 2: Assessment of the changes against PEFC Councils requirements.The Panel of Experts evaluates the changes against PEFC Councilsrequirements and makes a recommendation to the PEFC Board of Directors

concerning the endorsement of the changes. The PEFC Board of Directorscan decide according to the procedure described in chapter 7.3.2.

7.2.5 Evaluation of editorial changes

In case of editorial changes the Scheme has to submit the changed or amendeddocumentation to the PEFC Council Secretariat. The PEFC Council Secretariatassesses 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 existing standards and procedures itcan initiate a simplified assessment procedure carried out by a Panel of Experts.

7.3 Decision making procedures

7.3.1 Endorsement decision by General Assembly

7.3.1.1 Recommendation by the PEFC Board of Directors

Based on the Final Report, the PEFC Board of Directors makes a recommendation tothe General Assembly. Generally the Board of Directors has two 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 schemedoes not conform, the General Assembly is not consulted and the applicant isinformed. The applicant can then either revise the scheme and apply again or appealagainst the PEFC Council Board of Directors decision and have the GeneralAssembly reconsider the scheme at its next meeting.

7.3.1.2 Decision by the General Assembly

The General Assembly decides on scheme 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. The decision can be made in an Electronic General

Assembly Ballot.

If the General Assembly votes in favour of a scheme, the scheme 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 Logo usage rules (PEFC ST 2001:2008, PEFCLogo usage rules Requirements).

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 scheme reconsidered at the next General Assembly.


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7.3.2 Endorsement decision by PEFC Board of Directors

Where a revision has been deemed to be minor the PEFC Board of Directors mayapprove, reject, place conditions on, or require amendments to a scheme prior toapproval etc. on behalf of the members of the PEFC Council General Assembly,taking into account an assessment by and written recommendation from member(s)

of the independent Panel of Experts.

The revisions and decisions of the PEFC Council Board of Directors will becommunicated to the members of the PEFC Council and placed on the official PEFCCouncil web page.

7.4 Validity and termination of the endorsement status

An endorsement by the PEFC Council is valid for the duration of the validity of theassessed and endorsed scheme up to a maximum of five years from the officialannouncement of the endorsement decision.

The PEFC Council decision on the re-endorsement of the forest certification schemeprior to the end of the validity of the original endorsement automatically results in thetermination of the endorsement status of the original scheme. This does not affectcertifications valid during the revised schemes transition period.

The PEFC Council Board of Directors may extend the validity of the endorsementstatus based on a written application of the relevant PEFC National Governing Body.Such an extension may be awarded where there are exceptional reasons for thedelay in the periodic review of the scheme, which is outside the control of the PEFCNational Governing Body or a standard setting body.

Any scheme amendment or change during the 5 years validity period does not affectthe endorsement period of the endorsed scheme.

The PEFC Council Board of Directors can either suspend (with immediate effect)and/ or terminate (with three months prior notice) the endorsement status of therelevant scheme on behalf of the PEFC Council if evidence exists that the scheme orthe relevant PEFC National Governing Body is not complying with the PEFC Councilrequirements, rules and procedures and the violation continues after a writtenwarning has been issued by the Board of Directors.

The expiry of the validity or the suspension/termination of the schemes endorsementstatus results in certificates issued against the scheme not being considered asPEFC recognised.


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PEFC Standard and Scheme 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 1007-01:201X
mailto:[email protected]://www.pefc.org/http://www.pefc.org/mailto:[email protected]


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Copyright notice

PEFC Council 201X

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 Scheme Requirement Checklist

Document title: PEFC IGD 1007-01:201X

Approved by: PEFC Board of Directors Date:

Issue date:

Date of entry into force: DD.MM.YYYY


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Content

1 Purpose ...................................................................................................................................... 4Part I: PEFC Standard Requirements Checklist for standard setting (PEFC ST 1001:2010) ..... 5

1 Scope ................................................................................................................................ 52 Checklist ........................................................................................................................... 53 Application documentation .............................................................................................. 10

PART II: PEFC Standard Requirements Checklist for Group FOREST MANAGEMENTCERTIFICATION (PEFC ST 1002:2010) ......................................................................................... 12

1 Scope .............................................................................................................................. 122 Checklist ......................................................................................................................... 12

PART III: PEFC Standard Requirement Checklist for SUSTAINABLE FOREST MANAGEMENT(PEFC ST 1003:2010) ...................................................................................................................... 15

1 Scope .............................................................................................................................. 152 Checklist ......................................................................................................................... 15

PART IV: PEFC Standard Requirements Checklist for certification and accreditation procedures(Annex 6) 24

1 Scope .............................................................................................................................. 242 Checklist ......................................................................................................................... 24

Part V: PEFC Standard Requirements Checklist for SCHEME specific Chain of custodystandards COMPLIANCE WITH PEFC ST PEFC 2002:2010....................................................... 28

1 Scope .............................................................................................................................. 282 Checklist ......................................................................................................................... 28

Part VI: PEFC Standard Requirements Checklist for scheme administration requirements ....... 311 Scope .............................................................................................................................. 312 Checklist ......................................................................................................................... 31


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1 Purpose

The purpose of this Informative Guide is to assist the assessment against the PEFCCouncils core documents as listed in chapter 5.

Any inconsistencies between this text and the original technical document will be overruled by thecontent and wording of the technical document.


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Part I: PEFC Standard Requirements Checklist for standard setting(PEFC ST 1001:2010)

1 Scope

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


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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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 identifydisadvantaged and key stakeholders. Thestandardising body shall address the constraints oftheir 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 process

and include an invitation for participation in a timely manneron 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 thesteps of the standard-setting process and itstimetable,

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 nominations

shall be justifiable in relation to the requirements forbalanced representation of the working group/committee

Procedures

Process


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YES/NO*


and resources available for the standard-setting.

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 the

working 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 of

the new standards and the results of the pilot testing shallbe considered by the working group/committee.

Procedures

Process


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YES/NO*


5.8 The decision of the working group to recommend thefinal draft for formal approval shall be taken on the basis ofa consensus.

Procedures

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 verbalyes/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 the Procedures


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YES/NO*


standards/normative documents based on evidence of

consensus reached by the working group/committee. Process

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

Process

3 Application documentation

The application for the endorsement and mutual recognition as defined in Chapter 5 of Annex 7(Endorsement and Mutual Recognition of National Schemes and their Revision) shall includeinformation which enables the assessment of the applicant schemes compliance with the PEFC

Council 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.


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


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PART II: PEFC Standard Requirements Checklist for Group FORESTMANAGEMENT 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.


2 Checklist

QuestionYES /

NO*Reference to scheme

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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QuestionYES /


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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 therequirements of the sustainable forest managementstandard, and other applicable requirements of theforest certification scheme,

- all participants, including their contact details,identification of their forest property and its/theirsize(s),

- the certified area,

- the implementation of an internal monitoring

programme, its review and any preventive and/orcorrective actions taken;

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 certification

in 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 with

the certification requirements, and;


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QuestionYES /


documentation

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

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: PEFC Standard Requirement Checklist for SUSTAINABLE FORESTMANAGEMENT (PEFC ST 1003:2010)

1 Scope

Part IIIcovers requirements for sustainable forest management as defined in PEFC ST 1003:2010,Sustainable Forest Management Requirements.


2 Checklist

QuestionYES /


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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QuestionYES /


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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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documentation

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 recognisedreference lists;

c) endangered or protected genetic in situ resources;

and taking into account

d) globally, regionally and nationally significant largelandscape areas with natural distribution andabundance of 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 not

appropriate, planting that is adequate to ensure the quantityand 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 contribute

to the improvement and restoration of ecological connectivityshall be promoted.


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5.4.7 Genetically-modified trees shall not be used.

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 speciessuch 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 away 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, old

groves 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 protectivefunctions 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 managementpractices in forest areas with water protection functions toavoid adverse effects on the quality and quantity of water


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resources. Inappropriate use of chemicals or other harmfulsubstances or inappropriate silvicultural practices influencingwater quality in a harmful way shall be avoided.

5.5.5 Construction of roads, bridges and other infrastructureshall 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 consider

new 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, customaryand 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 ofrecreation 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 encouraging


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QuestionYES /


documentation

attractive trees, groves and other features such as colours,flowers and fruits. This shall be done, however, in a way andto an extent that does not lead to serious negative effects on

forest 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 effectivecommunication 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 about

preventive 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 relevant

research 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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* 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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PART IV: PEFC Standard Requirements Checklist for certification andaccreditation 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 technical document will be overruled bythe 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*

Reference to schemedocumentation

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

pefc gd 1007-201x ed endorsement process

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