ABC Organization Generic FSC Audit Protocol - Natural Forest Management … · 2020-06-19 · ABC...

ABC Organization Generic FSC Audit Protocol - Natural Forest Management Date(s):

Purpose of Assessment (PCA/CA/M): Auditor(s):

Principle 1.0 Compliance with Laws and FSC Principles

Forest management shall respect all applicable laws of the country in which they occur, and international treaties and agreements to which the country is signatory, and comply with all FSC Principles and Criteria.

S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable

PCA = Pre-Certification Assessment CA =Certification Audit M = Monitoring Visit

kpmg Copyright © KPMG Forest Certification Services Inc. January 2000

FSC Criteria and Associated Indicators of Compliance Audit Procedures S Mi Ma N/A Auditor Comments

Criterion 1.1

Forest management shall respect all national and local laws and administrative requirements.

Indicators

• All national and local laws and administrative requirements have been identified and current versions maintained on site.

• A comprehensive program exists to maintain compliance with national and local laws and administrative requirements. At a minimum, the program should include: (1) the assignment of responsibility for ensuring compliance to key employees, (2) adequate training for employees and contractors, (3) documented standard operation procedures for higher risk activities, and (4) a program of internal compliance inspections.

• Internal and, where available, external (e.g., regulatory agency) compliance inspection results must demonstrate a high degree of regulatory compliance. In addition, field sampling must confirm the accuracy of these inspection results.

• Where instances of non-compliance have been identified, either by third parties or through internal compliance monitoring by the forest manager, appropriate actions have been taken to prevent their recurrence.

Documentation(required)

Interviews(required)

Field(required)

Criterion 1.2

All applicable and legally prescribed fees, royalties, taxes and other charges shall be paid.

Indicators

• All legally prescribed fees, royalties, taxes and other charges (e.g., stumpage and royalty charges, forest land taxes and licensing fees, logging taxes, etc.) have been paid.

NB: Prior to assessing compliance with this criterion, the auditor must determine the nature of any fees, royalties, taxes and other charges that apply to the forest area being evaluated.


Interviews(potential)

Field

NA.









Criterion 1.3

In signatory countries, the provisions of all binding international agreements such as CITES, ILO conventions, ITTA and Convention on Biological Diversity, shall be respected.

Indicators

• Current copies of all applicable international agreements and conventions are maintained on site or are readily available.

• Key staff representatives are aware of the relevant agreements and applicable legal responsibilities.

• There is evidence of compliance with all applicable international agreements and conventions.

NB: Prior to assessing compliance with this criterion, the auditor must determine which international agreements apply to the forest area being evaluated.

Documentation(recommended)


Field(recommended)

Criterion 1.4

Conflicts between laws, regulations and the FSC Principles and Criteria shall be evaluated for the purposes of certification, on a case by case basis, by the certifiers and the involved or affected parties.

Indicators

• The forest manager has reviewed the FSC Principles and Criteria in relation to local laws and regulations to determine whether any significant conflicts exist and, where this is the case, taken reasonable steps to attempt to resolve the conflict.

NB: where local laws are in direct conflict with a critical criteria of this standard, certification cannot be granted.

Documentation (potential)

Interviews (required)

Field

NA.









Criterion 1.5

Forest management areas should be protected from illegal harvesting, settlement and other unauthorized activities.

Indicators

• Responsibility for protecting the forest area from illegal harvesting, settlement and other unauthorized activities must be clearly assigned.

• Procedures for periodic surveillance monitoring, incident reporting and taking action to protect against illegal harvesting, settlement and other unauthorized activities have been developed and implemented.

NB: Depending on the jurisdiction, responsibility for protecting the forest from unauthorized activities may rest with the forest manager, regulatory agencies or a third party.



Field(required)

Criterion 1.6

Forest managers shall demonstrate a long-term commitment to adhere to the FSC Principles and Criteria.

Indicators

• The forest manager has made a formal, written commitment to the FSC Principles and Criteria.

• The forest management plan must demonstrate a commitment to long term forest management, and include: (1) long term projections for forest growth and yield, and (2) a harvest schedule that is consistent with the plan’s management objectives.

• Forest practices are being carried out in accordance with the long term forest management plan required under Principle #7.

• The extent of changes in land use (including forest conversion) and ownership does not preclude achievement of the long-term commitment to adhere to the FSC Principles and Criteria.



Field(required)









Overall Score for Principle 1:

Justification for the Score Given:



Principle 2.0 Tenure and Use Rights and Responsibilities

Long-term tenure and use rights to the land and forest resources shall be clearly defined, documented and legally established.





Criterion 2.1

Clear evidence of long-term forest use right to the land (e.g., land title, customary rights, or lease agreements) shall be demonstrated.

Indicators

• In jurisdictions where forest use rights are included under the land title or lease agreements, documentary evidence must exist that the forest manager has a long-term right to use the land.

• In jurisdictions where forest use rights are customary and may not be addressed in legal documents, adequate interview evidence (regulatory agencies, surrounding communities, etc.) must exist to demonstrate that the forest manager has a long-term right to use the land.

NB: Although forest tenure arrangements vary by jurisdiction, it is preferable that the forest manager’s land use rights cover a period of 20 years or greater.


Interviews(recommended)

Field

NA.









Criterion 2.2

Local communities with legal or customary tenure or use rights shall maintain control, to the extent necessary to protect their rights or resources, over forest operations unless they delegate control with free and informed consent to other agencies.

Indicators

• Local communities with established legal or customary tenure or resource use rights have been identified by the forest manager (e.g., water licences, guide outfitters, trappers, berry pickers, mushroom pickers, traditional hunting and gathering areas of indigenous peoples, etc.).

• Prior to carrying out forest operations, the forest manager has evaluated their potential impacts on the legal or customary use rights of local communities, and identified any instances where there is a significant risk of infringement of those rights.

• The forest manager has consulted with the local communities that are potentially affected, and (1) made a reasonable effort to accommodate the “interests” of those that are not subject to specific use rights or whose rights are explicitly secondary to forest management activities, and (2) obtained the free and informed consent of those parties with specific use rights that are required to be maintained.



Field

NA.









Criterion 2.3

Appropriate mechanisms shall be employed to resolve disputes over tenure claims and use rights. The circumstances and status of any outstanding disputes will be explicitly considered in the certification evaluation. Disputes of substantial magnitude involving a significant number of interests will normally disqualify an operation from being certified.

Indicators

• The forest manager must maintain documentation of all previous and ongoing disputes over tenure claims and use rights, including the nature of any consultations between the forest manager and the affected party(ies). The forest manager must disclose all known disputes to the certification body.

• There is an appropriate process for resolving each significant dispute. Depending on the nature of the dispute and the jurisdiction in question, the process may involve consultation and negotiation with the affected party(ies), mediation and/or access to a court of law.

• The forest manager must have made substantive efforts to initiate and maintain the process for resolving each significant dispute (i.e., contacting the affected party(ies), arranging and attending meetings with them in an attempt to resolve the dispute, providing adequate resources to the dispute resolution process, etc.).

• Disputes of substantial magnitude involving a significant number of interests have either been resolved, or are being addressed through a larger land use planning process which has the support and ongoing participation of all parties to the dispute.



Field

N/A.





Principle 3.0 Indigenous Peoples' Rights

The legal and customary rights of indigenous peoples to own, use and manage their lands, territories, and resources shall be recognized and respected.





Criterion 3.1

Indigenous peoples shall control forest management on their lands and territories unless they delegate control with free and informed consent to other agencies.

Indicators

• The forest manager has clearly identified those portions of the forest management area which include: (1) lands and territories to which indigenous peoples hold clear title, and (2) areas of customary use by indigenous peoples (including those which may be subject to native land claims).

• Prior to carrying out forest operations, the forest manager has evaluated their potential impacts on the legal or customary use rights of indigenous peoples, and identified any instances where there is a significant risk of infringement of those rights.

• The forest manager has consulted with the indigenous peoples that are potentially affected, and (1) made a reasonable effort to accommodate their interests, and (2) obtained their free and informed consent to the forest operations in question.



Field(potential)

Criterion 3.2

Forest management shall not threaten or diminish, either directly or indirectly, the resources or tenure rights of indigenous peoples.

Indicators

• The forest manager has clearly identified the resources and tenure rights of indigenous peoples within the forest management area (i.e., resources obtained from areas of customary use, formal tenure rights held by indigenous peoples).

• Forest management planning is done in consultation with the potentially affected indigenous peoples, and actions required to mitigate the potential impacts on the resources and tenure rights of indigenous peoples are implemented where required.



Field(potential)









Criterion 3.3

Sites of special cultural, ecological, economic or religious significance to indigenous peoples shall be clearly identified in cooperation with such peoples, and recognized and protected by forest managers.

Indicators

• Prior to conducting forest operations and in cooperation with potentially affected indigenous peoples, the forest manager has clearly identified those sites which are of special cultural, ecological, economic or religious significance. These sites are accurately noted on applicable maps and in operational planning documents (the maps may have restricted access to maintain the confidentiality of the information where appropriate).

• In cooperation with potentially affected aboriginal peoples, the forest manager has developed and implemented procedures that are sufficient to protect the sites of special cultural, ecological, economic or religious significance identified through the above process.



Field(recommended)









Criterion 3.4

Indigenous peoples shall be compensated for the application of their traditional knowledge regarding the use of forest species or management systems in forest operations. This compensation shall be formally agreed upon with their free and informed consent before forest operations commence.

Indicators

• The forest manager has consulted with indigenous peoples regarding opportunities for the application of their traditional knowledge regarding the use of forest species or management systems in forest operations.

• Where the forest manager is reasonably able to apply the traditional knowledge of aboriginal peoples in the use of forest species or management systems while meeting the management objectives laid out in the forest management plan, compensation shall be paid to the indigenous peoples for the knowledge provided.

• Compensation for the traditional knowledge provided to aboriginal peoples must be formally agreed upon with their free and informed consent before forest operations commence.

NB: In determining whether the compensation provided (if any) is appropriate, the auditor must consider the extent to which the knowledge provided is generally available in the public domain, and the value that it may represent to the forest manager in implementing the forest management plan.



Field

NA.





Principle 4.0 Community Relations and Worker's Rights

Forest management operations shall maintain or enhance the long-term social and economic well-being of forest workers and local communities.





Criterion 4.1

The communities within, or adjacent to, the forest management area should be given opportunities for employment, training, and other services.

Indicators

• The majority of forest workers should come from local communities. In remote or sparsely populated areas where the majority of workers must be brought in, there should be evidence that local communities have been afforded adequate opportunities for employment, training and other services.

• The compensation provided to forest workers (wages and benefits) is fair and reflective of local standards.

• The forest manager has provided an appropriate level of community support, commensurate with the size and profitability of the operation (e.g., investment in community infrastructure and social services, use of local industrial suppliers, etc.).

• The forest manager has contributed to the education of local communities regarding forest management issues (e.g., conducting woodlands tours, meeting with community groups, etc.).

Documentation (required)

Interviews (required)

Field

NA.









Criterion 4.2

Forest management should meet or exceed all applicable laws and/or regulations covering health and safety of employees and their families.

Indicators

• All forest workers are provided with the required safety equipment applicable to the jurisdiction within which the forest management area resides (e.g., hard hats, protective footwear, etc.).

• The forest manager has implemented a comprehensive safety program designed to limit the number and seriousness of industrial accidents. At a minimum, the program should include worker safety training, the development of safe job procedures (where required), worker safety meetings and periodic inspections of work sites to ensure safe working conditions.

• The safety program is effective in ensuring regulatory compliance in field operations. Where infractions have occurred, there is evidence that changes have been made to the program to prevent their recurrence.

• All employees are aware of the health and safety requirements that relate to their job function.

• Forest workers are provided with adequate health and safety coverage to ensure that they and their families are provided for in the event of a worksite accident.



Field(required)









Criterion 4.3

The rights of workers to organize and voluntarily negotiate with their employers shall be guaranteed as outlined in Conventions 87 and 98 of the International Labour Organization (ILO).

Indicators

• All employees are aware of: (1) their rights to organize and negotiate with their employers, and (2) the existence and nature of the dispute resolution process that is available to them.

• Attempts to organize and voluntarily negotiate with employers have not been stymied by employers.

• A process to resolve workplace disputes exists, including, at a minimum: (1) a formal grievance process, (2) the right to strike, and (3) access to mediation or other formal dispute resolution mechanism whether direct worker-employer negotiation proves unsuccessful.

• Where appropriate (i.e., for disputes of a non-trivial nature), worker-employer disputes are documented, and the dispute resolution process implemented in order to resolve the dispute between the parties.



Field

NA.









Criterion 4.4

Management planning and operations shall incorporate the results of evaluations of social impact. Consultations shall be maintained with people and groups directly affected by management operations.

Indicators

• The forest manager has completed an evaluation of the potential social impacts of management operations within the forest area (e.g., impact on local employment levels, indirect economic benefits to suppliers and others, impacts on community water supplies and viewscapes, etc.).

• The results of evaluations of social impact are incorporated within forest management plans, including the development of specific management objectives and targets, where appropriate.

• Employees, local communities and other groups directly affected by management operations are provided an opportunity for consultation in forest management planning and ongoing forest practices, including the opportunity to review and comment on forest management plans.

• Feedback from employees, local communities and other groups directly affected by management operations is considered in the development and implementation of forest management plans. Prior to carrying out the management operations, the forest manager will make a reasonable effort to address any concerns identified.



Field

NA.









Criterion 4.5

Appropriate mechanisms shall be employed for resolving grievances and for providing fair compensation in the case of loss or damage affecting the legal or customary rights, property, resources, or livelihoods of local peoples. Measures shall be taken to avoid such loss or damage.

Indicators

• The management plan (or similar documentation) will specify procedures to be employed for resolving grievances and for providing fair compensation in the case of loss or damage affecting the legal or customary rights, property, resources, or livelihoods of local peoples.

• Where management operations have resulted in such loss or damage, the forest manager will have employed these procedures.

• Where warranted by the level of risk posed to the legal or customary rights, property, resources, or livelihoods of local peoples, the forest manager will develop and implement specific procedures designed to avoid such loss or damage (e.g., standard operating procedures for road construction, harvesting, etc.)..



Field(potential)





Principle 5.0 Benefits From the Forest

Forest management operations shall encourage the efficient use of the forest's multiple products and services to ensure economic viability and a wide range of environmental and social benefits.





Criterion 5.1

Forest management should strive toward economic viability, while taking into account the full environmental, social, and operational costs of production, and ensuring the investments necessary to maintain the ecological productivity of the forest.

Indicators

• The forest management operation is both economically and ecologically sustainable. In other words, forest practices result in an acceptable financial rate of return, while ensuring that environmental and social requirements are considered and adequately provided for.

• Any actions taken to address immediate financial concerns (e.g., quarterly financial results, poor markets for forest products, etc.) do not compromise the long term sustainability of the forest values present within the forest area or the achievement of management plan objectives.

• An adequate portion of the profits from the forest management operation is re-invested to ensure the maintenance of ecological productivity of the forest. Examples of such investments would include ecological research, stream rehabilitation works, projects designed to improve soil productivity and ecological function, etc.

NB: The determination of what is an “adequate” portion of the profits to re-invest is expected to vary between forest management units, and is dependent on the nature of the resource management issues present.



Field(potential)









Criterion 5.2

Forest management and marketing operations should encourage the optimal use and local processing of the forest's diversity of products.

Indicators

• Where: (1) adequate local processing facilities exist, and (2) the products from the forest management area are not otherwise encumbered by pre-existing supply agreements to outside processing facilities, a portion of those products should be offered to local processing facilities at current market prices.

• Where economically feasible, the forest manager will encourage value-added processing of the products produced from the forest.

NB: The determination of the portion of forest products that should be offered to local processors will depend on the nature of the local processing facilities, their ability to process the products in an efficient and cost effective manner (e.g., correct species, log grades, etc.), and the availability of other sources of supply.

NB: Under most circumstances, a blend of value-added and commodity forest products will provide the optimal mix of uses for the products produced from a given forest. The exact split will depend on the structure and profitability of the industry, production costs, and the availability of markets for the range of finished products that may be produced.

Documentation(potential)


Field

NA.









Criterion 5.3

Forest management should minimize waste associated with harvesting and on-site processing operations and avoid damage to other forest resources.

Indicators

• Defensible targets are set, monitored and achieved for the level of waste to be left on site.

• Harvesting and on-site processing operations are designed to minimize waste, including the selection of equipment and techniques designed to minimize waste and breakage.

• Other forest resources at operating sites are identified and practices employed to avoid damage to them (e.g., introduction of deleterious levels of logging debris to streams is avoided, wildlife patches and nesting trees are protected, etc.).

NB: Targets for wood waste may vary between stands and forest types, and will be dependent on a number of factors, including stand age, extent of decay in standing and down trees, and objectives for coarse woody debris. In most cases, the volume of on-site waste and breakage (excluding decay) will not exceed 5% of net stand volume.



Field(required)









Criterion 5.4

Forest management should strive to strengthen and diversify the local economy, avoiding dependence on a single forest product.

Indicators

• Forest management promotes long term community stability by ensuring that current harvest levels are set in consideration of the need to maintain a sustainable wood supply. Where the current harvest level is temporarily above that considered sustainable, there is explicit socio-economic justification given (e.g., maintenance of community stability), with future projections showing a return to the long term sustainable harvest level in the short term.

• The forest manager has assessed the potential for the sustainable production of non-timber products from the forest area (e.g., fisheries values, botanical forest products, recreational opportunities, hunting, etc.), and incorporated this within the forest management planning process.

• The forest manager has made an effort to strengthen and diversify the local economy through: (1) encouragement of the production of non-timber products from the forest area, and (2) working with other interests in maintaining opportunities for non-consumptive forest use (e.g., tourism, recreation, etc.).



Field

NA.









Criterion 5.5

Forest management operations shall recognize, maintain, and, where appropriate, enhance the value of forest services and resources such as watersheds and fisheries.

Indicators

• Detailed inventory data exists outlining the nature of forest services and resources present within the forest area (e.g., ecological site classification data, location of community water supply intakes, wildlife habitat inventories, stream classification data, recreation areas, etc.). Where such data do not yet exist, plans have been developed to gather this information prior to the conduct of forest management operations.

• Forest services and resources are explicitly considered in the forest management planning process. Plans identify management objectives and actions designed to maintain, and, where appropriate, enhance the value of forest services and resources present.

• The actions designed to maintain, and, where appropriate, enhance the value of forest services and resources present are implemented in the field as required.



Field(required)









Criterion 5.6

The rate of harvest of forest products shall not exceed levels which can be permanently sustained.

Indicators

• Actual harvest levels are monitored and recorded by the forest manager.

• The determination of an allowable harvest level is based on a long term ecosystem based planning process that: (1) employs current forest inventory data, (2) considers the views of local communities and other stakeholders, and (3) incorporates strategies designed to maintain ecological sustainability, community stability and the full range of resource values present.

• Current harvest levels are set in consideration of the need to maintain a sustainable wood supply. Where the current harvest level is temporarily above that considered sustainable, there is explicit socio-economic justification given (e.g., a written justification for the harvest level that considers both the environmental and economic impacts, demonstrates the short-term socio-economic impacts of reduced harvest levels on local communities, etc. and provides projections showing a return to the long term sustainable harvest level in the short term).

NB: It is recognized that various factors considered in the determination of allowable harvest levels may at times be in conflict (e.g., is some situations, a desire to maintain community stability may conflict with the need to reduce the harvest to the long term sustainable level). In such situations, short term variations from the level considered sustainable may be allowed where justification is given, provided that ecosystem health and the sustainability of long term harvest levels are not put at risk.



Field

NA.





Principle 6.0 Environmental Impact

Forest management shall conserve biological diversity and its associated values, water resources, soils, and unique and fragile ecosystems and landscapes, and, by so doing, maintain the ecological functions and the integrity of the forest.





Criterion 6.1

Assessment of environmental impacts shall be completed – appropriate to the scale, intensity of forest management and the uniqueness of the affected resources – and adequately integrated into management systems. Assessments shall include landscape level considerations as well as the impacts of on-site processing facilities. Environmental impacts shall be assessed prior to commencement of site-disturbing operations.

Indicators

• The forest manager has completed an assessment of actual and potential landscape level environmental impacts (e.g., reduction in landscape level biodiversity, ecosystem fragmentation, impact on protected areas, etc.), and developed objectives and procedures designed to minimize any adverse impacts prior to carrying out forest operations.

• The forest manager has completed an assessment of actual and potential stand level environmental impacts (e.g., loss of soil productivity, reduction in water quality, loss of critical wildlife habitat, etc.), and developed objectives and procedures designed to minimize any adverse impacts prior to carrying out forest operations.

• The forest manager has completed an assessment of actual and potential impacts of on-site processing facilities (e.g, fuel and chemical spills, risk of operational fires, accumulation of industrial waste, etc.), and developed objectives and procedures designed to minimize any adverse impacts prior to carrying out processing operations.

NB: The objectives and procedures developed by forest managers may be incorporated within forest management plans or outlined in detailed standard operating procedures.



Field(required)









Criterion 6.2

Safeguards shall exist which protect rare, threatened and endangered species and their habitats (e.g., nesting and feeding areas). Conservation zones and protection areas shall be established, appropriate to the scale and intensity of forest management and the uniqueness of the affected resources. Inappropriate hunting, fishing, trapping and collecting shall be controlled.

Indicators

• A process is in place to identify and protect rare, threatened and endangered species and their habitats prior to conducting forest operations.

• Where rare, threatened or endangered species and their habitats are found to exist on the forest management area, appropriate measures are taken to protect them including participation in larger scale species recovery plans where warranted and the collection of the species abundance data necessary to determine their effectiveness.

• Conservation zones and protection areas are established (where justified by the scale and intensity of forest management) to protect specific on-site features and habitat (e.g., nesting trees, rare plant communities, etc.) through exclusion from harvest or modification of the silvicultural system.

• A process is in place to control inappropriate hunting, fishing, trapping and collecting activities within the forest area (e.g. licensing, periodic enforcement inspections, etc.).

NB: Depending on the jurisdiction, responsibility for controlling inappropriate activities within the forest may rest with either the forest manager or regulatory agencies.



Field(recommended)

Criterion 6.3

Ecological functions and values shall be maintained intact, enhanced, or restored, including:









Criterion 6.3a

Forest regeneration and succession.

Indicators

• Site preparation methods should not adversely affect soil productivity.

• Natural regeneration should form a component of all regenerated stands. Where planting is the primary method of regeneration, a significant number of the trees in regenerated stands (calculated as an average of all stands deemed to be regenerated or free growing during the audit period) should be of natural origin (pre-existing advance regeneration or seeded in following disturbance).

• Forest management serves to ensure that natural forest succession patterns are maintained intact, enhanced or restored. For example, silviculture treatments such as brush control, juvenile spacing (thinning), etc. will be planned and implemented in such a way as to ensure that an appropriate range of successional stages are present.

NB: A 25% natural regeneration minimum can be used as a general rule but must be considered in the context of local conditions are forest types.



Field(required)









Criterion 6.3b

Genetic, species, and ecosystem diversity.

Indicators

• Forest management plans incorporate objectives and actions designed to ensure that genetic, species and ecosystem diversity are maintained intact, enhanced or restored.

• Forest practices encourage the maintenance, enhancement and/or restoration of genetic diversity (e.g., use of seed sources drawn from several genetically diverse parent trees from a local provenance, maintenance of forest reserve areas as gene pools, silviculture practices which retain a component of the original stand as a genetic legacy, etc.).

• Forest practices encourage the maintenance, enhancement and/or restoration of species diversity (e.g., reforestation with multiple tree species, retention of a hardwood component in some forest types, thinning programs which promote the growth of multiple tree species, etc.).

• Forest practices encourage the maintenance, enhancement and/or restoration of ecosystem diversity (e.g., retention of the historic range of forest types and seral stages across the landscape, provision for connectivity corridors to prevent or reduce forest fragmentation, retention of a component of standing dead and down trees in harvest areas, etc.).

NB: Depending on the nature of the forest management unit and the ecological impacts of past practices, specific management emphasis may be required with respect to the maintenance, enhancement and/or restoration of the elements of biological diversity.



Field(required)









Criterion 6.3c

Natural cycles that affect the productivity of the forest ecosystem.

Indicators

• Forest management planning will incorporate the consideration of natural cycles, and the implications that these may for ecosystem productivity.

• Where even-aged management is planned, the historic range and variability in natural disturbance patterns (e.g., wildfires, windthrow, pest damage, etc.) will be taken into account when determining appropriate rotation ages.

• Short rotation forestry which puts long term ecosystem productivity at risk should be avoided (i.e., short rotation single species management, aggressive brush control, heavy use of fertilizers, etc.).



Field(potential)









Criterion 6.4

Representative samples of existing ecosystems within the landscape shall be protected in their natural state and recorded on maps, appropriate to the scale and intensity of operations and the uniqueness of the affected resources.

Indicators

• Representative samples of existing ecosystems have been protected in their natural state and recorded on maps.

• Protected areas include rare ecosystems, critical wildlife habitat and adequate representation of the range of sites occurring within the forest management unit.

• Protected areas are managed to restore or maintain the full range of ecosystems present within the forest management unit.

• The proportion of the management unit contained in protected areas is appropriate to the scale and intensity of operations and the uniqueness and sensitivity of the affected resources. Where the scale of operations is small and/or the affected resources are not unique, a lower proportion of protected area is required. Conversely, where the scale of operations is large and/or areas of rare or unique ecosystems are present, a larger proportion of the management unit should be included in protected areas.

NB: In some jurisdictions, representative examples of existing ecosystems may already be protected either within, adjacent to or in close proximity to the forest management unit. Where this is the case, the auditor should consider their existence and contribution when determining whether adequate representation of the range of sites has been achieved, or whether additional protected areas are required. Factors to be considered in determining representativeness include size, shape, location, contiguousness, etc.



Field(required)









Criterion 6.5

Written guidelines shall be prepared and implemented to: control erosion; minimize forest damage during harvesting, road construction, and all other mechanical disturbances; and protect water resources.

Indicators

• Written guidelines have been prepared and implemented to control erosion, minimize forest damage and protect water resources during: (1) harvesting, (2) road construction and (3) all other mechanical disturbances (e.g., mechanical site preparation).

• The guidelines should outline: (1) responsibilities for ensuring that they are implemented as required, (2) detailed operating procedures and environmental constraints (e.g., road construction practices on steep terrain, road construction and harvesting practices near streams, harvesting equipment limitations on wet, sensitive sites, etc.), and (3) procedures to be followed in the event of environmental emergencies.



Field(required)









Criterion 6.6

Management systems shall promote the development and adoption of environmentally friendly non-chemical methods of pest management and strive to avoid the use of chemical pesticides. World Health Organization Type 1A and 1B and chlorinated hydrocarbon pesticides; pesticides that are persistent, toxic or whose derivatives remain biologically active and accumulate in the food chain beyond their intended use; as well as any pesticides banned by international agreement, shall be prohibited. If chemicals are used, proper equipment and training shall be provided to minimize health and environmental risks.

Indicators

• Where justified by the intensity of forest management, forest health related activities should be guided by an overall pest management strategy.

• Management systems promote the development and adoption of environmentally friendly non-chemical methods of pest management. When non-chemical treatment options exist and are shown to be effective and reasonably cost-competitive with chemical methods (e.g., manual brushing of certain woody species where re-sprouting is unlikely and access is not a problem), preference should be given to their use.

• World Health Organization Type 1A and 1B and chlorinated hydrocarbon pesticides; pesticides that are persistent, toxic or whose derivatives remain biologically active and accumulate in the food chain beyond their intended use; as well as any pesticides banned by international agreement, are prohibited.

• Where approved chemicals are used, proper equipment (e.g., spray suits, gloves, eye protection, dust masks, etc.) and training is provided to workers to minimize health and environmental risks.



Field(potential)









Criterion 6.7

Chemicals, containers, liquid and solid non-organic wastes including fuel and oil shall be disposed of in an environmentally appropriate manner at off-site locations.

Indicators

• An effective waste management and recycling program (e.g., collection and recycling of waste oil, used batteries, fuel and chemical containers, etc.) appropriate to the materials in use in forest operations is in place.



Field(required)

Criterion 6.8

Use of biological control agents shall be documented, minimized, monitored and strictly controlled in accordance with national laws and internationally accepted scientific protocols. Use of genetically modified organisms shall be prohibited.

Indicators

• Pest control methods which utilize non-biological control agents are given preference where they are shown to be effective and reasonably cost-competitive.

• Where biological control methods are used, comprehensive records of use are maintained by the forest manager.

• All applications of biological control methods are conducted by workers who are competent on the basis of adequate training and experience.

• Application rates and weather conditions are monitoring during application to minimize environmental risks.

• Use of genetically modified organisms is prohibited in all aspects of forest operations.



Field(potential)









Criterion 6.9

The use of exotic species shall be carefully controlled and actively monitored to avoid adverse ecological impacts.

Indicators

• Where planting is used, exotic tree species will not be planted on the forest management unit without adequate justification for their use (i.e., ecological suitability, absence of impact on long-term ecosystem productivity, higher growth rates, etc.).

• The forest manager has implemented studies to monitor the growth and ecological impacts of the exotic species present.

• Where studies have determined that the use of certain exotic species may lead to adverse ecological impacts, their use is avoided.

NB: Certain tree species, while not currently native to a forest management unit, may have at one time existed there but have yet to become re-established (e.g., where a species has been forced out of an area through glaciation, but has yet to return due to the slow pace of species migration). In such cases, the auditor should give consideration to their inclusion as a native species.



Field(potential)









Criterion 6.10

Forest conversion to plantations or non-forest land uses shall not occur, except in circumstances where conversion:

NB: The FSC Principles and Criteria define a plantation as a forest area lacking most of the principal characteristics and key elements of native ecosystems as defined by FSC-approved national and regional standards of forest stewardship, which result from the human activities of either planting, sowing or intensive silvicultural treatments. Based on this definition, reforested areas which: (1) incorporate a reasonable component of naturally (i.e., not planted) regenerated trees, (2) include multiple tree species, (3) retain some of the structure of the previous stand (e.g., scattered or clumped standing green trees, dead and down trees, etc.), and (4) are managed to allow the seral stages and ecological functions typical of natural forests to develop over time, would not necessarily qualify as plantations. Further guidance can be obtained from applicable draft regional certification standards.

Criterion 6.10a

Entails a very limited portion of the forest management unit.

Indicators

• Where a portion of the forest management unit is converted to plantations or non-forest uses there must be a clear written justification for the nature and extent of the conversion. The area converted should be limited in scale. The particular threshold for the extent of conversion will depend on the potential impacts of the conversion (i.e., this threshold may be higher where the area of the management unit included in protected areas and HCV forests exceeds that necessary to adequately conserve the range of ecological values present).



Field(required)









Criterion 6.10b

Does not occur on high conservation value forest areas.

Indicators

• No high conservation value forest areas have been converted to plantations or non-forest uses.

NB: Limited conversion to other uses may occur in certain areas required for forest management (e.g., gravel pits, logging camps and other similar facilities).



Field

NA.

Criterion 6.10c

Will enable clear, substantial, additional, secure, long-term conservation benefits across the forest management unit.

Indicators

• Forest conversion to plantations or other non-forest uses must be justified on the basis of clear, substantial, additional, secure, long-term conservation benefits across the forest management unit. In other words, the forest manager must be able to demonstrate that there are substantial conservation benefits attributable to the conversion (e.g., the conversion allows for a greater area of conservation reserves while maintaining the long term harvest level).



Field

NA.





Principle 7.0 Management Plan

A management plan – appropriate to the scale and intensity of the operations – shall be written, implemented, and kept up to date. The long-term objectives of management, and the means of achieving them, shall be clearly stated.





Criterion 7.1

The management plan and supporting documents shall provide:

Criterion 7.1a

Management objectives.

Indicators

• The plan outlines the forest manager’s forest stewardship philosophy.

• The plan contains detailed management objectives for the key environmental, economic and social values present within the forest management unit.



Field

NA.

Criterion 7.1b

Description of forest resources to be managed, environmental limitations, land use and ownership status, socio-economic conditions, and a profile of adjacent lands.

Indicators

• The plan contains a general description of the forest resources (timber and non-timber) to be managed on the forest management unit.

• The plan outlines the main challenges to the achievement of the management objectives (e.g., lack of inventory data for certain species, effect of past practices, age class distribution issues, etc.).

• The plan clearly describes the land use and ownership status of the forest management unit, and outlines any challenges this may pose to the achievement of the management objectives.

• The plan clearly describes current and predicted socio-economic conditions within and adjacent to the forest management unit, including the impact of forest operations on employment levels in the local community.

• The plan contains a profile of adjacent lands, including an overview of their land use and ownership status, and the nature of the environmental, social and economic values present.



Field

NA.









Criterion 7.1c

Description of silvicultural and/or other management system, based on the ecology of the forest in question and information gathered through resource inventories.

Indicators

• The plan describes the silvicultural system(s) to be employed on the forest management unit, and outlines how they will be used to achieve the management objectives included in the plan.

• Inventory data has been collected for the key environmental values present (e.g., standing timber inventory, ecological classification, information on critical wildlife habitat, stream inventories, etc.), or, where this data does not yet exist, the plan describes the procedures and timeline that will be followed to collect it.

• The silvicultural system(s) selected are consistent with the ecology of the area and information gathered through resource inventories.

• Where an environmental management system (EMS) is in place (such as that described under ISO 14001), the plan or supporting documentation will outline the nature of the system and it’s role in ensuring the management objectives of the forest manager are met.

• Where exotic species are employed, adequate justification for their use must be given (i.e., ecological suitability, absence of impact on long term ecosystem productivity, higher growth rates, etc.).



Field(potential)

Criterion 7.1d

Rationale for rate of annual harvest and species selection.

Indicators

• The plan and/or supporting documentation: (1) outlines the methodology used to determine the annual harvest level, (2) describes the basic assumptions used and the limitations in any data employed, and (3) provides a rationale to justify the harvest rate selected.

• The plan contains a rationale for the selection of tree species to be managed on the forest management unit.



Field

NA.









Criterion 7.1e

Provisions for monitoring of forest growth and dynamics.

Indicators

• The plan contains provisions for monitoring of forest growth and dynamics, and outlines the procedures to be followed (e.g., forest regeneration and free growing surveys, immature stand inventories, timber cruises, etc.).

• The plan describes how the monitoring results will be used to update inventories for use in future plans and/or plan amendments.



Field

NA.

Criterion 7.1f

Environmental safeguards based on environmental assessments.

Indicators

• Based on the results of environmental assessments, the plan outlines the management strategies and procedures to be used to protect the environmental values present. This should include strategies and procedures designed to protect environmental values: (1) during the conduct of routine forest operations (e.g., road construction, harvesting, silviculture, etc.), and (2) from significant natural disturbances (e.g., wildfires, pest outbreaks, etc.).



Field

NA.









Criterion 7.1g

Plans for identification and protection of rare, threatened and endangered species.

Indicators

• The plan and/or supporting documentation outlines the: (1) existing inventory data on rare, threatened or endangered species resident within the forest management unit, and (2) the procedures and timelines to be followed in addressing any gaps present in the data.

• The plan and/or supporting documentation describes how rare, threatened and endangered species will be protected, both at the stand and landscape level. Where the species present have a wide geographic distribution or are the subject of a species recovery initiative, the plan describes the forest manager’s role in cooperating with other landowners and/or outside agencies.



Field

NA.

Criterion 7.1h

Maps describing the forest resource base including protected areas, planned management activities and land ownership.

Indicators

• The plan includes maps, at an appropriate scale, which depict the forest resources present within the management unit. At a minimum, the maps should describe the: (1) timber types present (including species and age), (2) ecological classification for the area, (3) location of protected areas, (4) nature of land ownership and any legal boundaries, (5) the road network, (6) key forest resource features and values (e.g., areas of critical habitat for rare, threatened or endangered species, fish streams, sensitive sites, etc.), and (7) the location of planned management activities (road construction, harvesting and silviculture) for at least the next 5 years.



Field

NA.









Criterion 7.1i

Description and justification of harvesting techniques and equipment to be used.

Indicators

• The plan and/or supporting documentation describes the harvesting techniques and equipment to be used.

• The plan and/or supporting documentation provides a rationale for the techniques and equipment to be used, which demonstrates how stand and landscape level objectives for timber and non-timber resources will be achieved.

NB: Depending on the jurisdiction and the size of the management unit, detailed, site specific plans (which should be consistent with the forest management plan) may be used as the basis for determining compliance with these indicators.



Field

NA.

Criterion 7.2

The management plan shall be periodically revised to incorporate the results of monitoring or new scientific and technical information, as well as to respond to changing environmental, social and economic circumstances.

Indicators

• The management plan shows evidence of periodic revision at an interval of no greater than 5 years.

• The results of monitoring or new scientific and technical information are incorporated into periodic amendments to the plan. Where new information comes to light which may impact the achievement of the management objectives, the plan is amended to the extent necessary to ensure that the objectives can be met.

• Changing environmental, social and economic circumstances are reflected in amendments to the plan. For example, there is evidence that the impact of large fires/insect outbreaks on the timber inventory and other forest resources is reflected in amendments to the plan.



Field

NA.









Criterion 7.3

Forest workers shall receive adequate training and supervision to ensure proper implementation of the management plan.

Indicators

• There is an adequate training program for forest workers to ensure that the plan is properly implemented. At a minimum, the forest manager will have: (1) identified training needs, (2) ensured that required training is completed in a timely manner, and (3) maintained training records for all employees and contractors whose work can impact the effective implementation of the plan.

• Supervision of forest workers is adequate to ensure proper implementation of the management plan. Supervisors: (1) provide workers with adequate information on the site-specific environmental issues/concerns prior to starting work at a new worksite, and (2) conduct periodic inspections of all worksites (e.g., road construction, harvesting, silviculture, etc.) to ensure that the objectives of the plan are met. Where inspections detect weaknesses in plan implementation, appropriate corrective actions are implemented and tracked to completion.



Field(required)

Criterion 7.4

While respecting the confidentiality of information, forest managers shall make publicly available a summary of the primary elements of the management plan, including those listed in Criterion 7.1.

Indicators

• The primary elements of the plan (including the items listed in criterion 7.1) are summarized and made publicly available.

• Stakeholders (local communities, aboriginal peoples, etc.) are made aware that a summary of the plan is available, and are given the opportunity to review the summary information and provide comments.



Field

NA.



Principle 8.0 Monitoring and Assessment

Monitoring shall be conducted – appropriate to the scale and intensity of forest management – to assess the condition of the forest, yields of forest products, chain of custody, management activities and their social and environmental impacts.





Criterion 8.1

The frequency and intensity of monitoring should be determined by the scale and intensity of forest management operations as well as the relative complexity and fragility of the affected environment. Monitoring procedures should be consistent and replicable over time to allow comparisons of results and assessment of change.

Indicators

• A comprehensive, long term monitoring program is in place to assess the environmental impacts of forest practices over time. Where specific forest management objectives have been set for the management unit (e.g., retention of a certain area of critical wildlife habitat, achievement of seral stage objectives, satisfactory regeneration of harvested areas within a set timeframe, etc.), sufficient data must be collected to enable the forest manager to assess whether or not they are being achieved.

• The forest monitoring program incorporates an assessment of inherent risk to forest resources in determining the frequency and intensity of monitoring. This risk assessment is based on: (1) the relative complexity and fragility of the affected environment, and (2) the size and intensity of forest operations. Where the level of risk to environmental values is greater, a corresponding increase in the frequency and intensity of monitoring should exist.

• To ensure comparability between objectives and results, monitoring procedures are consistently applied over time.

• Where indicators have been determined, monitoring results are used to evaluate changes in indicator levels over time. The results of these comparisons are addressed through periodic revisions to the forest management plan.

NB: Requirements for short-term monitoring (such as operational road and harvesting inspections) are addressed under the supervision requirements outlined under criterion 7.3.



Field(required)









Criterion 8.2

Forest management should include the research and data collection needed to monitor, at a minimum, the following indicators:

Criterion 8.2a

Yield of all forest products harvested.

Indicators

• The annual volume of timber harvested from the forest management unit (e.g., logs, fence-posts, specialty wood products, etc.) is monitored.

• To the extent possible, the yield of all non-timber forest products (e.g., botanical forest products, fish and game, etc.) harvested from the forest management unit is monitored.

NB: Depending on the jurisdiction, responsibility for monitoring the yield of forest products may rest with either the forest manager or outside agencies. However, regardless of where responsibility lies, compliance must still be assessed with respect to monitoring the yield of non-timber forest products.



Field

NA.









Criterion 8.2b

Growth rates, regeneration and condition of the forest.

Indicators

• Silviculture surveys (e.g., regeneration, free growing, etc.) are conducted on all regenerated areas to determine species composition, forest health, stocking levels and rate of growth.

• Forest growth rates in juvenile, mature and old-growth forest types are monitored through the application of appropriate survey methodology (e.g., permanent sample plots, inventory and operational timber cruises, photo interpretation, etc.).

• The condition (health, productivity, seral stage representation) of the forest is monitored to determine whether management objectives are met.

NB: Survey data collection methods are expected to vary between forest management units, and should be tailored to meet local needs. However, irrespective of the methods used (e.g., detailed ground surveys of selected stands or forest types, aerial overviews of large areas, etc.), the data collected must be of sufficient quality to enable the effective implementation and monitoring of the forest management plan.



Field(required)

Criterion 8.2c

Composition and observed changes in the flora and fauna.

Indicators

• Existing inventory data on the flora and fauna present in the forest management unit are documented in the forest management plan. Where significant data gaps exists, an inventory program (with a timeline for implementation) has been developed.

• Measurable changes in key flora and fauna present in the forest area (including those for which management objectives and targets have been developed) are monitored and documented.



Field(potential)









Criterion 8.2d

Environmental and social impacts of harvesting and other operations.

Indicators

• The environmental impacts of forest operations are monitored and documented. Specific attention should be given to: (1) impacts on rare, threatened and endangered species, and (2) environmental values for which management objectives and targets have been developed. Typical examples might include: changes in habitat availability for rare, threatened and endangered species, changes in seral stage distribution, impact of road construction and harvesting on water quality, quantity and timing, etc.

• The social impacts of forest operations (e.g., direct employment in forest operations, impacts of forest operations on indigenous peoples, impacts on community stability, etc.) are monitored and documented.



Field(potential)

Criterion 8.2e

Costs, productivity, and efficiency of forest management.

Indicators

• The costs of forest management are monitored (e.g., logging costs, reforestation costs, costs required to implement the inventory program, $/km of road constructed, etc.).

• Forest management productivity and efficiency indicators are identified and monitored (e.g., estimates of machine productivity, trees planted per man day, level of avoidable waste left on-site after harvest, etc.).

NB: The nature of the measures used to track the costs, productivity and efficiency of forest management will depend on the complexities of the forest management unit, the objectives included in the forest management plan and the sophistication of the information management system in place.



Field

NA.









Criterion 8.3

Documentation shall be provided by the forest manager to enable monitoring and certifying organizations to trace each forest product from its origin, a process known as the "chain of custody."

Indicators

• A clear, documented procedure is in place to ensure that all certified forest products are traceable from their point of origin.

• Adequate documentation is maintained to demonstrate the origin of all forest products that originate from the forest management unit.

• Certified forest products are clearly identified through appropriate timber marks or other acceptable methods.



Field(potential)

Criterion 8.4

The results of monitoring shall be incorporated into the implementation and revision of the management plan.

Indicators

• All monitoring results are considered in the preparation of periodic amendments to the plan. Where the monitoring results indicate that changes may be required to ensure that the management objectives are met, appropriate amendments to the plan are made.

• Where changes are made to the plan to address the results of the monitoring program, there must be evidence that the required changes to forest practices have been made in the field.



Field(potential)









Criterion 8.5

While respecting the confidentiality of information, forest managers shall make publicly available a summary of the results of monitoring indicators, including those listed in Criterion 8.2.

Indicators

• A public summary of monitoring results is made available to the public, which at a minimum includes the results for the indicators outlined under criterion 8.2.

• Stakeholders (local communities, aboriginal peoples, etc.) are aware that the monitoring results are made available, and are given the opportunity to review the results and provide comments.



Field

NA.





Principle 9.0 Maintenance of High Conservation Value Forests

Management activities in high conservation value forests shall maintain or enhance the attributes which define such forests. Decisions regarding high conservation value forests shall always be considered in the context of a precautionary approach.





Criterion 9.1

Assessment to determine the presence of the attributes consistent with High Conservation Value Forests will be completed, appropriate to scale and intensity of forest management.

Indicators

• The forest manager has conducted an assessment to determine whether the forest area or a portion thereof should be considered a high conservation value (HCV) forest.

• At a minimum, the assessment should consider: (1) the global, regional and national significance of the forest ecosystems present within the management unit, (2) the presence and relative abundance of rare, threatened or endangered ecosystems, (3) the extent, nature and distribution of prior disturbance (logging, wildfires, etc.), (4) the ability of the forest management unit or portions thereof to support most if not all naturally occurring species, (5) the role that certain areas of the management unit may play in preventing erosion and protecting watersheds with significant domestic water and fisheries values, and (6) the views of indigenous peoples, local communities and recognized specialists in conservation forestry.

• The scale of the assessment is consistent with the scale and intensity of forest management and the uniqueness and sensitivity of the affected resources. Where these are limited, the assessment may be less detailed. Conversely, where these are significant, more detailed assessments will be required.

• As a general rule, a greater area should be designated as HCV forest where all or a large portion of the management unit meets one or more of attributes of a HCV forest, as defined in the FSC Principles and Criteria.



Field(required)









Criterion 9.2

The consultative portion of the certification process must place emphasis on the identified conservation attributes, and options for the maintenance thereof.

Indicators

• NA—This is a requirement of the certification body’s certification process and is not a requirement of the applicant.

Documentation

NA.

Interviews

NA.

Field

NA.









Criterion 9.3

The management plan shall include and implement specific measures that ensure the maintenance and/or enhancement of the applicable conservation attributes consistent with the precautionary approach. These measures shall be specifically included in the publicly available management plan summary.

Indicators

• Prior to carrying out forests operations in HCV forests, the forest manager has completed an assessment of the potential risks that the forest practices outlined in the management plan may pose to the conservation values present.

• The results of the risk assessment are used as the basis for determining the nature and extent of forest operations that may take place in HCV forests.

• The forest operations conducted in HCV forests are restricted to those which pose a low risk to the conservation values present.

• The management plan includes specific measures to monitor the maintenance/enhancement of the applicable conservation attributes present in HCV forests (e.g., wildlife habitat inventories, water quality studies, etc.).

• The measures used to monitor the maintenance/enhancement of the applicable conservation attributes present in HCV forests are included in a publicly available management plan summary.

NB: Depending on the forest types and conservation values present in HCV forests, the forest manager may have to restrict the intensity of forest operations and/or the scope or nature of silviculture systems and/or forest practices employed in order to limit the risk posed by forest management activities.



Field(required)









Criterion 9.3 (continued)

NB: In determining the nature and intensity of forest operations that may take place in HCV forests, the forest manager will have to consider several factors, including: (1) the risk posed to the conservation values present, (2) the social and economic implications of the proposed forest operations (both for the local community and the forest manager), (3) the health and safety risks that certain forest practices may pose to forest workers, and (4) the ecological suitability of any silvicultural systems or forest practices employed.

Criterion 9.4

Annual monitoring shall be conducted to assess the effectiveness of the measures employed to maintain or enhance the applicable conservation attributes.

Indicators

• The effectiveness of specific measures for the maintenance/enhancement of the applicable conservation attributes present in HCV forests is monitored on an annual basis.

• The annual monitoring results are considered in the preparation of management plan amendments. Where the monitoring results indicate that changes to the intensity or nature of forest operations may be required, appropriate amendments to the plan are made.




Field(required)





Principle 10.0 Plantations

Plantations shall be planned and managed in accordance with Principles and Criteria 1-9, and Principle 10 and its Criteria. While plantations can provide an array of social and economic benefit, and can contribute to satisfying the world's needs for forest products, they should complement the management of, reduce pressures on, and promote the restoration and conservation of natural forests.





Criterion 10.1

The management objectives of the plantation, including natural forest conservation and restoration objectives, shall be explicitly stated in the management plan, and clearly demonstrated in the implementation of the plan.

Indicators

• The management objectives for the plantation are explicitly stated in the forest management plan, and include objectives related to conservation and restoration of natural forests within the management unit.

• Conformance to the management objectives of the plantation is clearly demonstrated in the field.

NB: The FSC Principles and Criteria define a plantation as a forest area lacking most of the principal characteristics and key elements of native ecosystems as defined by FSC-approved national and regional standards of forest stewardship, which result from the human activities of either planting, sowing or intensive silvicultural treatments. Based on this definition, reforested areas which: (1) incorporate a reasonable component of naturally (i.e., not planted) regenerated trees, (2) include multiple tree species, (3) retain some of the structure of the previous stand (e.g., scattered or clumped standing green trees, dead and down trees, etc.), (4) are managed to allow the seral stages and ecological functions typical of natural forests to develop over time, would not normally qualify as plantations, and (5) do not include a significant component of exotic tree species (i.e., greater than 10% by trees per hectare).


Interviews

NA.

Field(required)









Criterion 10.2

The design and layout of plantations should promote the protection, restoration and conservation of natural forests, and not increase pressures on natural forests. Wildlife corridors, streamside zones and a mosaic of stands of different ages and rotation periods, shall be used in the layout of the plantation, consistent with the scale of the operation. The scale and layout of plantation blocks shall be consistent with the patterns of forest stands found within the natural landscape.

Indicators

• The design and layout of plantations promotes the protection, restoration and conservation of natural forests within the forest management unit. Where plantations are established, they are designed and laid out in consideration of the location and distribution of existing plantations and natural forest areas. Efforts are made to reduce the fragmentation of natural forest areas, and restore (through fill-planting and other silvicultural techniques) areas which have been degraded by past forest practices.

• Wildlife corridors, streamside zones and a mosaic of stands of different ages are incorporated as stand level plantation design elements. The nature of these design elements (e.g., width of timbered reserves along streams, area devoted to wildlife corridors, etc.) is consistent with the scale of the operation and the significance of the ecological values present. For example, streamside zones in areas with high fisheries or watershed values should be designed to afford a high level of stream protection, while those in areas with lower values need not offer the same degree of protection.

• The scale and layout of plantation blocks is consistent with the patterns of forest stands found within the natural landscape. Where stand forming events (e.g., wildfires, pest outbreaks, windthrow, etc.) are more frequent or larger in scope, plantations may be larger in size and more prevalent on the landscape. Conversely, where stand forming events are infrequent and smaller in scope, the size and frequency of plantations should be restricted accordingly.



Field(required)









Criterion 10.3

Diversity in the composition of plantations is preferred, so as to enhance economic, ecological and social stability. Such diversity may include the size and spatial distribution of management units within the landscape, number and genetic composition of species, age classes and structures.

Indicators

• Diversity in the size, spatial distribution and composition of plantations exists (e.g., species mix, genetic composition, age class, stand structure, etc.), appropriate to the scale and intensity of operations present within the management unit.

• Where ecologically appropriate, multiple tree species are planted within a given plantation.

• Ingress of naturally regenerated, ecologically adapted tree species is not discouraged, provided that the resulting stand density and composition does not preclude the achievement of the management objectives for the plantation.

• Intermediate stand entries (brushing, thinning, etc.) serve to encourage a range of tree species and stand structures.



Field(potential)









Criterion 10.4

The selection of species for planting shall be based on their overall suitability for the site and their appropriateness to the management objectives. In order to enhance the conservation of biological diversity, native species are preferred over exotic species in the establishment of plantations and the restoration of degraded ecosystems. Exotic species, which shall be used only when their performance is greater than that of native species, shall be carefully monitored to detect unusual mortality, disease, or insect outbreaks and adverse ecological impacts.

Indicators

• Selection of species for planting is based on their overall suitability for the site and their appropriateness to the management objectives.

• Exotic species are only favored over native species when their growth performance (e.g., height, volume, etc.) is shown to be clearly superior.

• The forest manager has implemented studies to monitor the exotic species that have been planted in the forest management unit in order to detect unusual mortality, disease, or insect outbreaks and adverse ecological impacts. In instances where problems are identified, the use of exotics is avoided.

• In the absence of adequate justification, exotic tree species will generally not exceed 20% of the total trees planted on the forest management unit.

NB: Certain tree species, while not currently native to a forest management unit, may have at one time existed there but have yet to become re-established (e.g., where a species has been forced out of an area through glaciation, but has yet to return due to the slow pace of species migration). In such cases, the auditor should give consideration to their inclusion as a native species.



Field(potential)









Criterion 10.5

A proportion of the overall forest management area, appropriate to the scale of the plantation and to be determined in regional standards, shall be managed so as to restore the site to a natural forest cover.

Indicators

• An appropriate proportion of the overall forest management area is managed so as to restore the site to a natural forest cover.

NB: In determining the an appropriate proportion of the forest management unit for restoration, the auditor should consider the size of the plantation, the relative abundance of rare, threatened and endangered ecosystems both within and outside the management unit, and the silvicultural feasibility of any restoration treatments which might be undertaken.



Field(potential)









Criterion 10.6

Measures shall be taken to maintain or improve soil structure, fertility, and biological activity. The techniques and rate of harvesting, road and trail construction and maintenance, and the choice of species shall not result in long-term soil degradation or adverse impacts on water quality, quantity or substantial deviation from stream course drainage patterns.

Indicators

• Road and trail construction and maintenance practices are planned and implemented to prevent long term soil degradation and maintain water quality, quantity and drainage patterns (e.g., avoiding construction in potentially unstable terrain, minimizing road widths where feasible, careful placement of spoil materials, installation and maintenance of adequate road drainage structures, etc.).

• Forest harvesting practices are planned and implemented to prevent long term soil degradation and maintain water quality, quantity and drainage patterns (e.g., matching logging equipment to the conditions of the site, avoiding sensitive sites with ground based equipment, protection of streamside zones during harvesting, clean-out of temporary stream crossings concurrent with operation, etc.).

• Silviculture practices, including site preparation and the choice of tree species, are planned and implemented to prevent long term soil degradation and maintain water quality, quantity and drainage patterns (e.g., avoidance of wet, sensitive sites with ground based equipment, use of native species and those exotics which do not adversely affect soil productivity, etc.).



Field(required)









Criterion 10.7

Measures shall be taken to prevent and minimize outbreaks of pests, diseases, fire and invasive plant introductions. Integrated pest management shall form an essential part of the management plan, with primary reliance on prevention and biological control methods rather than chemical pesticides and fertilizers. Plantation management should make every effort to move away from chemical pesticides and fertilizers, including their use in nurseries. The use of chemicals is also covered in Criteria 6.6 and 6.7.

Indicators

• Measures have been taken to prevent and minimize outbreaks of pests and diseases (e.g., periodic ground and/or aerial pest incidence surveys, pest outbreak risk assessments, control of pest populations through stand treatments and/or the application of pest control treatments, etc.).

• Measures have been taken to prevent and minimize outbreaks of fire (e.g., training of field workers, provision of adequate fire equipment on-site, shutdown of operations during periods of high fire hazard, etc.).

• Measures have been taken to prevent and minimize invasive plant introductions, including the use of eradication programs where necessary.

• The management plan contains a section on integrated pest management, outlining how it will be applied in the management unit.

• Preference is given to prevention and biological control methods rather than chemical pesticides and fertilizers. Pest control methods which utilize non-chemical control agents are given preference where they are shown to be effective and reasonably cost-competitive.

• The forest manager has made a substantial effort to move away from chemical pesticides and fertilizers, including their use in nurseries.



Field(recommended)









Criterion 10.8

Appropriate to the scale and diversity of the operation, monitoring of plantations shall include regular assessments of potential on-site and off-site ecological and social impacts (e.g., natural regeneration, effects on water resources and soil fertility, and impacts on local welfare and social well-being), in addition to those elements addressed in principles 8, 6 and 4. No species should be planted on a large scale until local trials and/or experience have shown that they are ecologically well-adapted to the site, are not invasive, and do not have significant negative ecological impacts on other ecosystems. Special attention will be paid to social issues of land acquisition for plantations, especially the protection of local rights of ownership, use or access.

Indicators

• A plantation monitoring program is in place, appropriate to the scale and diversity of the operation. At a minimum, the program includes monitoring of: (1) potential on-site and off-site ecological impacts of plantations, and (2) the elements included in principles 4 (social and economic impacts), 6 (impacts on biological diversity and its associated values) and 8 ((a) yield of all forest products harvested, (b)growth rates, regeneration and condition of the forest, (c) composition and observed changes in the flora and fauna, (d) environmental and social impacts of harvesting and other operations, and (e) costs, productivity and efficiency of forest management).

• All monitoring results are considered in the preparation of periodic amendments to the plan. Where the monitoring results indicate that changes may be required to ensure that the management objectives are met, appropriate amendments to the plan are made.




Field(required)









Criterion 10.8 (continued)

• No species are planted on a large scale without prior local trials and/or experience demonstrating that they: (1) are ecologically adaptation to the site and are not invasive, and (2) do not have significant negative ecological impacts on other ecosystems.

• When acquiring land for plantations, special attention has been paid to the protection of local rights of ownership, use or access.

Criterion 10.9

Plantations established in areas converted from natural forests after November 1994 normally shall not qualify for certification. Certification may be allowed in circumstances where sufficient evidence is submitted to the certification body that the manager/owner is not responsible directly or indirectly of such conversion.

Indicators

• The plantation was established prior to November 1994.

• Where the plantation was established after November 1994: (1) the plantation was established on land that was not converted from natural forests, or (2) the manager/owner had no direct/indirect responsibility for the conversion of the plantation area from natural forest.



Field(potential)



ABC Organization Generic FSC Audit Protocol - Natural Forest Management … · 2020-06-19 · ABC...

Documents

Transcript of ABC Organization Generic FSC Audit Protocol - Natural Forest Management … · 2020-06-19 · ABC...