SCREENING GUIDE Sustainable Plantation Forest Management Certification
1. Introduction In the Sustainable Plantation Forest Management Certification (SPFM) process within a management unit, a document preassessment procedure is conducted by Expert Panel I. Expert Panel I’s membership regulation follows LEI Guide 99-06 (General Requirements of Expert Panel SPFM Certification). Expert Panel I assesses every information individually and separately, which followed by a discussion to take decisions.
2. Scope The objective of LEI Guide 99-33 is to provide guidance for the screening process within the SPFM certification program, which includes various document assessments, scoping visits, decision making, and recommendation support. Expert Panel I who conducts the screening process is responsible to the decision whether to continue SPFM certification process to the next phase or not.
3. Reference a)LEI Standard 5000, Sustainable Production Forest Management (SNFPM) System. b) LEI Standard 5000-2, Sustainable Plantation Forest Management (SPFM) System. c) LEI Standard 5005, Terms and Definition Related to Forest Certification. d) LEI Guide 99, Sustainable Production Forest Management (SNFPM) Certification System. e) Technical Document LEI-03, Toolbox Verifier and Verification for Assessment Criteria and Indicator within Sustainable Plantation Forest Management (SPFM) System. LEI Guide 99-33
Screening Guide Sustainable Plantation Forest Management Certification
f)
Technical Document LEI-04, Value (Intensity Scale) of Sustainable Plantation Forest Management (SPFM) Indicators.
4. Documents Assessed Sustainable Plantation Forest Management (SPFM) certification applicant must submit several documents needed by Expert Panel I to study the condition of the management unit and take screening actions on Sustainable Plantation Forest Management (SPFM) certification. The documents submitted to the Certification Institution must comply with a certain amount of time. The documents are: 4.1 Corporate Statement, which contains at least information on: vision and objectives of the management unit, descriptions regarding regional condition, implementation of management intensity, forest product potentials, and business potentials. 4.2 Basic Data, such as: legal documents regarding the unit’s management, environmental analysis document, feasibility study documents, satellite images (hard copy and/or digital data) and/or aerial photos, and its image decoding/interpretation. Information contained in the basic data describes the condition of the plant forest management of the unit, particularly the inherent characteristics of the plant forest, as follows: a) Condition of forest resources; b) Condition of land resources; and c) Condition of social, economy and cultural aspects. 4.3 Plan Documents, such as: plant forest work plan, annual work plan, environmental management and surveillance plan, social management plan, and management unit budgeting plan. The documents are grouped into long-, mid-, and short-term (annual) plan, and operational plan. 4.4 Reports, consisting of: a) Report on forest management activities, such as: border positioning, permanent block measurement (PUP), silviculture activities, audit on silviculture activities, production yield, log marketing, and log mutations. b) Reports on environmental management activities, such as: environmental management and surveillance. LEI Guide 99-33
Screening Guide Sustainable Plantation Forest Management Certification
c) Reports on social management activities, such as reports or documents on community aid/support outside the social program framework, agreements regarding conflict or dispute settlement (for example, forfeiture note, etc.). d) Financial reports, such as: tax payments and financial audit. 4.5 Additional documents needed by Expert Panel.
5. Screening Stages The screening stages conducted by Expert Panel I are as follows: a) Study and analyze Corporate Statement from the assessed management unit. b) Study and analyze documents and required additionals. c) Conduct scoping visits, unless with written affirmation that it is unnecessary. d) Determine to continue the certification process onto the field assessment phase. e) Arrange for a recommendation.
5.1 Document Assessment 5.1.1
Document validity
In this assessment, Expert Panel I is set with technical guidance and regulations applicable to plant forest management. Afterwards, documents consisting of maps, satellite images/aerial photos, corporate plan and reports, are examined for its validity according to the existing guidance/regulation. If there were some inaptness, the SPFM certification applicant is asked to rearrange the documents in a certain period of time. If the applicant cannot provide the valid document, then the certification process cannot be continued. 5.1.2
Document Assessment for Substantiality
Information contained in the plan documents needs to be examined for its consistency with the information on the basic data, considering that it acts as foundation of the plan. Information contained in the plan documents are interrelated in its target, material, and LEI Guide 99-33
Screening Guide Sustainable Plantation Forest Management Certification
time period; a cross check between documents are necessary. Steps within a document assessment are: a) Assess the adequacy of activity accomplishment within the SPFM context. b) Assess the scope of activity accomplishment with a relevant plan document. c) Based on the flow of information from the basic data, plan documents, and activity reports, documents are examined for its inconsistency. If there were any inconsistencies, Expert Panel I will cross check through a discussion with the management unit.
5.2 Scoping Visits Based on findings in document assessment for substantiality, Expert Panel I conducts scoping visits. It is conducted to focus on important/critical matters that might influence the screening decision process and to provide a greater assurance in making decisions. 5.3 Decision Making Decision-making within the screening process is based on the findings of critical factor that may influence the sustainability of the plant forest management. These critical factors generally have the following characteristics: a) If the factors are ignored, it will cause an irreversible effect. b) Have the influence or influenced by external forces (policies). c) Have an enormous importance and intensity. Expert Panel I can analyze the existence of critical factors through evaluations towards every indicator or based on the following steps: 5.3.1
Describes the validity of the items contained in the Corporate Statement based on documents, additionals, and result of scoping visits.
5.3.2
Analyze and determine SPFM problems by paying attention to factors causing alterations of the items in the Corporate Statement.
5.3.3
Based on points 5.3.1 and 5.3.2, Expert Panel I may determine whether or not critical factors can be used to make decisions.
LEI Guide 99-33
Screening Guide Sustainable Plantation Forest Management Certification
In the analysis and conclusion process, Panel Expert I can focus the assessment on documents, interviews with the unit, and scoping of the following: richness/potentials of forest resources, forest completeness, production activities, forest rehabilitation, organizational ability, and long-term reinvestment, which can be concluded as: a) Aptness of real production to the annual allowable cut (AAC). b) Aptness of forest rehabilitation accomplishment to the target planned. c) Organizational support and funding. d) Long-term guarantee. e) Production and organizational capability. Critical factors that can be used by Expert Panel I, are: a) Level of forest destruction in relation to the production potentials. b) Level of fragility of forest ecosystem. c) Forest regional status within the mangement unit area. d) Land tenure Based on the assessment of those critical factors, Expert Panel I determines on whether to continue with the certification process or not. Expert Panel I arranges a complete and clear assessment report. 5.4 Recommendation Formulation Recommendations are arranged by the Expert Panel based on the screening assessment: 5.4.1
If the screening result states that the certification process may continue to the next phase, Expert Panel I formulates the recommendations on important matters to be clarified further within the field assessment.
5.4.2
If the screening result states that the certification process may not continue to the next phase, Expert Panel I formulates the recommendations on important matters that must be completed by the management unit.
LEI Guide 99-33
Screening Guide Sustainable Plantation Forest Management Certification