LEI Guideline 99 - International Tropical Timber Organization 95/pd 1-95-6 rev 4 (M... · LEI...

LEI Guideline 99

Sustainable Production Forest Management [SPFMJ Certification System

LEI Guideline 99 LEI Guideline 99-01 LEI Guideline 99-02 LEI Guideline 99-03 LEI Guideline 99-21 LEI Guideline 99-22 LEI Guideline 99-23 LEI Guideline 99-24 LEI Guideline 99-25 LEI Guideline 99-26

~ THE INDONESIAN

ECOlABElllNG

LEI INSTITUTE .

Sustainable Production Forest Management (SPFMJ Certification System

J1. Taman Malabar No. 18. Bogor 16151 Te1. (62)-(251) 340 744,745,759 Fax. (62)-(251) 321739 E-mail: [email protected]. Web site : http://www.lei.or.id

©2000 by The Indonesian Ecolabeling Institute

ISBN:

Prepared by:

The Indonesian Ecolabeling Institute

Expert Team:

LEI In-house Experts

Editor:

Asep S. Suntan a Dam Asycarya Yudi Iskandarsyah Paramita Iswari

English Version:

Gloria C. Kismadi Yudi Iskandarsyah

Administration:

Soleh Suaidi

Published by : The Indonesian Ecolabelling Institute (LEI)

This publication was prepared for a dissemination of Certification System for Sustainable Production Forest Management to concerned parties. Publications are available in two versions, in Indonesian and English.

" . ,

Contents LEI Guideline Series 99

Contents

Numbering System of Indonesian Ecolabeling Institute

Forest Certification System Documents

Gratitude

Preface

About the LEI Standards, LEI Guidelines,

v

Vll

Xl

XV

LEI Technical and Academic Documents XVll

ShOlt Notes In the Development Process of Certification System XXI

LEI Guideline 99 1 Sustainable Production Forest Management Certification System

LEI Guideline 99-01 General Requirements for Sustainable Production Forest Management Certification Body

LEI Guideline 99-02 General Requirements for Sustainable Production

Forest -Management Certification Field Assessor

LEI Guideline 99-03 General Requirements for Sustainable Production Forest Management Certification Expert Panel

LEI Guideline 99-21 Guideline for Field Assessment on Sustainable Natural Production Forest Management Certification

FRAMEWORK FOR SUSTAINABLE PRODUCTION FORESTS MANAGEMENT SYSTEM

17

33

43

53

Numbering System of The Indonesian Ecolabeling Institute Forest Certification System Documents Letter No. : 29/LEI/SPS/VII/99

Each LEl's document will follow the numbering/coding system as follows: I. Document Type and Status

Document types and status for every LEI standards and guidelines is written at the left-upper of its cover, as drawn below :

fr··,,","···,··,,m,,,,,,,,,,,,,,,,,,,,,!

I LEI Guid~ne 9~01 : :~ DOCUMENT TlTTlE [ ' .• ,.:.!-!.~.:.:.:.:.:.:.:.:.:~-:.:.:.:.:.:.:.:.:.:.:.:.:-:-:-:.»:.:.:.,."

~ rvpe of Document /' I Status of Document

Document No. Date

Amendment Draft LEI-II LEI-II/99-02/2 June 18, 1999

1.1. Type of Document a. Proposal Draft. is a new proposal document to the document of

certification system b. Amendment Draft is a revised document that has been determined as

LEI/BSN . Guideline

1.2. Status of Document a. LEI-I

h. LEI-U

c. LEI-III

d. LEI-IV

e. LEI-V

f. Final Document

Document of proposal/amendment draft proposed by LEI Secretariat

Document of propos~\l/ amendment draft resulted from the first workshop and/or from consultation process with stakeholders

Document of proposal/amendment draft resulted from Team Work established by LE!

Document of proposal/amendment draftresuited from the second workshop and/or from consultation process with stakeholders

Document of fmal proposal/amendment draft proposed by LEI to be approved by stakeholders.

Document that has been approved by YLEI Board of Trustees

1.3. Number of Document

Document number is related to the document types and status. Document No. LEI-II/99-02l2 - for example -indicate that: a. The document is published from the result of workshop b. It has a serial number of 99-02 c It is a second draft judging from the status of document


p-

THE INDONESIAN ECOLABELING INSTITUTE

1.4. Date of Doculll.ent

Describing when the document is made

11. Document Title Document title follows LEI numbering system. Example:

• LEI Guideline 99-01: General Requirements ofSPFf.-[ Certification Body

Ill. Numbering System

:::::::::::::

1.

2 3. 4.

1.

2

3.

4.

... VIII

A. LE! Standard Document :::);:""'",:::::0:;::;:;::,::::,::.:::::,:::,:;::::: . "-.:,;;;~::: :::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::~:::::::: :::::::::::::::::::::::::::::::::::: ·:::0:::::::::::::::::::::0::::::::::::::::::::::::::::::::::::::::: ..

LEI Standard 5000 Framework for Sustainable Production Forest Management System LEI Standard 5000-1 Sustainable Natural Production Forest ~fanagement System

LE! Standard 5000-2 Sustainable Plantation Forest Management System LE! Standard 5000-3 Sustainable Community-based Forest Management System LE! Standard 5000-4 Sustainable Non-Timber Forest Product ~fanagement System LE! Standard 5001 Timber Tracking System LEI Standard 5002 Forest Product Labeling LE! Standard 5005 Terms and Definitions related to Forest Certification

B. LE! Guideline 55 ~:j::::~:::: ;:~, ::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::0:::::::::::::::::::::::0:::::::::::::::::::::0::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::

LEI Guideline 55 Resolution Guideline to Appeal against the Certification Decision

C. LE! Guideline Series 88

LEI Guideline 88

LEI Guideline series 88-00 LEI Guideline 88-01 LEI Guideline 88-02 LEI Guideline 88-03


LEI Guideline series 88-20 LEI Guideline 88-21 LE! Guideline 88-22

LEI Guideline 88-23 LEI Guideline 88-24 LEI Guideline 88-25

LE! Guideline 88-26

Timber Tracking Certification System

Requirement Guideline and Work Procedure for Timber Tracking General Requirements for Timber Tracbng Certification Body General Requirements for Tunber Tracking Certification Field Assessor General Requirements for Tunber Tracking Certification Expert Panel

Requirement Guideline and Training Procedure of Timber Traillillg Guidelille for Timber Trackillg Certificatioll Field A.r.re.r.ror Traillillg Guidelille for Timbr.r Trackillg Certificatioll Expert Pallel Traillillg Guidelille for Timber Trackillg Certificatioll Trailler

Guideline for Timber Tracking Certification Program Guideline for Field Assessment on Timber Tracking Certification Guideline for Report-writing Field Assessment on Timber Tracking Certification Guideline for Screening Process on Timber Tracking Certification Guideline for Decision-making on Timber Tracking Certification Guideline for Drawing-Up Recommendations on Timber Tracking Certification Guideline for Surveillance Implementation and Certificate Extension on Timber Tracking CertifIcation

lEl STANDARD SERIES 5000

THE INDONESIAN ECOlABEllNG INSTITUTE

3.

4.

5.

6.

D. LEI Guideline Series 99

LEI Guideline 99


LEI Guideline series 99-10

LE! Guideline 99-11 LEI Guideline 99-12 LEI Guideline 99-13 LEI Guideline 99-14 LEI Guideline 99-15


LEI Guideline 99-21 LEI Guideline 99-22 LEI Guideline 99-23 LEI Guideline 99-24 LEI Guideline 99-25 LEI Guideline 99-26



Sustainable Production ForestM.anagement (SFPM) Certification System

Requirement Guideline and Work Procedure for SPFM General Requirements for SPFM Certification Body General Requirements for SPFM Certification Field Assessor General Requirements for SPFM Certification Expert Panel

Requirement Guideline and Training Procedure of SPFM Certification Program Training Guideline for SPFM Certification Field Assessor Training Guideline for SPFM Certification Expert Panel Training Guideline for SPFM Certification Trainer General Criteria for SPFM Certification Training Institution General Criteria for SPFM Certification Personnel Training Institution

Guideline for Sustainable Natural Production Forest Management (SNP FM) Certification Program Guideline for Field Assessment on SNPFM Certification Guideline for Report-writing Field Assessment on SNPFM Certification Guideline for the Screening Process in the SNPFM Certification Guideline for Decision-making on SNPFM Certification Guideline for Drawing-Up Recommendations on SNPFM Certification Guideline for Surveillance Implementation and Certificate Extension on SNPFM Certification

Guideline for Sustainable Plantation Forest Certification

Guideline for c, .: ... d,,, .... ,J Forest M"",, u.

E. LEI Technical Document :::::::::::::::

Technical Document LEI-01 Verifier and Verification Toolbox for Assessment Criteria and Indicators of Sustainable Natural Production Forest Management (SNPFM) System

Technical Document LEI-02 Indicators of Intensity Scale for Sustainable Natural Production Forest Management

E LEI Academic Document

Academic Document Academic Document for Certification System of LEI-01 Sustainable Natural Production Forest M~n~' II

Iv. Memorandum 1. All parties who have reasons. to quote all or some of this document, should acknowledge

the document status, type, and number dearly, and should inform LEI secretariat.

2. The use of every LEI Standard, Guideline, Technical and Academic Document in the implementation of SPFM Certification should be done thoroughly. LEI is not responsible for the inaccurately use of LE I Standards and Guidelines.

Note:· Documents in which the titles are in italic form shows that such documents are still in the developmen t process .•


Gratitudes

With a kind help and supports from various concerned parties to the de

velopment of certification system for an upright and sustainable natu

ral resources management, this publication was completed. We would like

to take this opportunity to deliver our gratitude for the support and coopera

tion provided in the development of certification system for natural produc

tion forest management and its training system to :

Ecolabel Working Group (1994 -1998): Emil Salim, Agus Purnomo

(pelangi), Loekito Darj~di (Departemen Kehutanan), Zaim Saidi (YLKI) ,

Asep S. Suntana, Mia Siscawati (RMI), Tri Nugroho, Suporahardjo (LATIN),

Riga Adiwoso (UI), Mubariq Ahmad (NRM), Daniel Abimanju Carnadie,

Upik W. Djalins; Leaders and Members of Criteria and Indicator Working

Team: Ishemat Soerianegara (RIP) of Bogor Agricultural University for pro

duction aspect, Effendi Sumardja of Ministry of Environment (ecological

aspect), Riga Adiwoso Sup rap to of Magister Management University of In

donesia (social aspect), also to Koesnadi Hardjasoemantri and Wimar

Witoelar for giving their valuable inputs in developing the institutional as

pects of LEI foundation (YLEI); LEI In-house Experts: Hariadi

Kartodihardjo, M. Buce Saleh, Haryanto R. Putro, R. Yando Zakaria; and to

Iwan Jaya Azis, Raksaka Mahi, Kirti Peniwati, and Ngadiono for their ef

forts in developing decision making system using Analytic Hierarchy Pro

cess (AHP), and to Alan Purbawiyatna who designed standard procedures

for certification implementation.

We also would like to convey our gratitude to : Mr. Djamaluddin

Surjohadikusumo (Ex-Minister of Forestry) for his courage and support in

the development of forest certification system in Indonesia, and to forestry

officers (echelon I and II) in the Ministry, Untung Iskandar, M. Ratu Asyhari

(Foreign Affairs of rvfinistry of Forestry), Boedijono, Tri Joko Mulyono (Center



for Standardization and Environment, Ministry of Forestry) and also to oth

ers in the Ministry that we can not mention individually. To our colleagues

from National Standardization Body (NSB) i.e. Herudi Kartowisastro dan

Lies \\libisono, our thanks also goes to them. People from NGO(s): Abdon

Nababan (Telapak), Indro Tjahjono (SKEPHI), Wibowo A. Djatmiko

(LATIN), JimJarvie (TNC), Niel Makinuddin (PLASMA), Noer Fauzi (KPA),

Ruwindrijanto (Telapak), HiraJhamtani (Konphalindo). Colleagues from \\lalhi

: Zukri Saad, Suraya Hafif, Emmy Hafild, Lili Hasanuddin, and rV(uayat Ali

Muhsy gave many inspiration to us, thank you. We would like to extend our

thanks to private sectors associated in APHI (Indonesian Concession Hold

ers Association), as well as individual from companies; Nana Suparna, Jeffri

Sirait, Agung Nugraha, APHI Expert Team Member : Achmad Soemitro,

Zachrial Coto, Syafii Manan, A.A. Malik, Soeyitno Soerdiman, Herujono

Hadisoeparto, Amri Marzali, Darni Soebari, Anwar Umar, dan Daniel Leuhery.

As well to the Certifiers: PT. Sucofindo (Haris Witjaksono,Triyan Aidilfitri);

PT. Mutu Agung Lestari (Hermawan, Arifin Lambaga, Victor Antonio Amir,

Taufik Margani); LATIN (Dwi Rakhmat Muhtaman, Aisyah Sileuw). And to

experts from Academics and Research Centers : Endang Suhendang, Didik

Suhardjito, Sanusi Wiradinata [RIP], Bahruni, Sudaryanto, Soemarjono

Soedargo [RIP], Nyoto Santoso, Elias, A. Mahmud Thohari, Teddy Rusolono,

Togu Manurung, \Xliratno, Yanto Santosa (IPB); Agus Setyarso, Sofyan P.

Warsito, Hasanu Simon, P.M. Laksono (UGM); M. Soerjani, Semiarto Aji

Purwanto, Yunita T. Winarno (UI); M.A. Sarjono, Soeyitno Sudirman

(UNMUL); Purnadjaja [RIP] (CIFOR). Assesors : Jamartin Sihite, Daru

Asycarya, Marolop Sianipar, Nawa Irianto, Sunardi, Ahmad, Jalal, Zaenal,

Ferdinandus Agung PMW, Lukman Mulyanto, etc.

Our special thanks also goes to Duncan Poore (IISD), Timothy Synnott

(Executive Director of Forest Stewardship Council/FSC), T. Mok (FSC Board

Member), Kishokumar Jeyaraj (FSC Consultant), and FSC-accredited certi

fiers: Richard Donovan, Steve Gretzinger, Abraham Guillen, and Jeff Hay

ward from Smartwood, Ruth Nussbaum and Bill Maynard from SGS Qualifor

who have been working with Ecolabell Working Group since 1994 in dis

cussions regarding certification system in Indonesia. Our thank you goes to

our colleagues from WWF International such as Chris Elliot, Pierre

.. XII


Hausselman. To Alexander Hienrich, Hans Beukeboom and Barbara von

Kruedener from GTZ. Datuk Freezailah, Amha bin Buang and Efransyah

fromlTTO.

\Xle appreciate all consulting firms and forest concessionaires who ex

pressed their willingness as well as participation in the implementation of

field tests for certification system of sustainable natural product forest man

agement:

a) Consulting Firms : PT. Access Centrakarya, PT. Adhimulia

Purnaservindo, PT. Forindo Bangunkonsultan, PT. Ekokon

Nusantara, PT. Mutuagung Lestari, PT. Pronatres Development, PT.

Reka Paramitra Konsultan, PT. Sarbi Moerhani Lestari, PT.

Setyamitra Bhaktipersada, PT. Sucofindo, PT. Tanindo, PT.

\X'anabhakti Persadajaya.

b) Forest Management Units : PT. Cipta Rimba Jaya, PT. Gruti, PT.

Kiani Lestari, PT. Kulim Company, PT. IV1elapi Timber, PT. Minas

Pagai, PT. Mujur Timber, PT. ITCI, PT. Inhutani I, PT. Inhutani I1,

c) Member of Expert Panel I for Second Field Test of Sustainable

Natural Production Forest Management (SNPFrv1) Certification Sys

tern: Sanusi Wiradinata, 1v1S (RIP), H. Nurman Tasman, R. Yando

Zakaria: Nyoto Santoso, Buce Saleh: Mangasa B. l\tfanik Radja (RIP):

Yosefa Sayekti, and Rosmie Saleh.

d) l\tfember of Expert Panel II and Team Member of Second SNFPM

Certification System Field Test: Eka Pria Anas, Gunarwan Soeratmo,

Lumisu Mangiwa, Kus Darmodjo, Aulia LP. Aruan, Komara Djaja;

Deddy Herdiansyah; Arimbi Heroepoetri; Anna Indria \XTitasari;

Suranto; Ayub Pairunan; Endang Suhendang; Yanto Santosa,

Raksaka l\tfahi; Ngadiono.

e) Evaluation Team for Second SNPFM Certification System Field Test:

Budhi Sugarda; Hiras Sidabutar; Toga Silitonga; Loekito Darjadi;

Rudy C. Tarumingkeng; Herman Prayudi; Teddy Pawitra; Chris A.

Bennett; Effendi A. Sumardja; Iwan Tjitradjaja; Indroyono Susilo;

Soemarso SR; Agus Purnomo; Ahmad D. Habir



f) Forest Management Unit PT. Hutan Mulya (Dwima Group) where

the revised certification system field test was conducted.

g) Expert Panel I and II for Field Test of Revised Certification System

for SNP FM: Didiek Suharjito, Soedarjanto, M. Ratu Asyhari.

h) Assesors for field assesment on the Field Test for Revised Certifica

tion System on SNP FM: Nawa Irianto, \X1uri, Ahmad, Jamartin Sihite,

Sunardi, Jalal.

Finally, we also would like to extend our gratitude to our colleagues at

the Executive Board of LEI who have been very active to directly or indi

rectly involve in the development of certification system and therefore, make

this publication possible, as well to all parties we could not name of and also

to field officers of forest management units who involved in the field tests

as the counterparts to system developers, government agencies, NGO(s)

and private sectors who gave significant contributions in designing and de

veloping certification system in Indonesia.

Bogor, December 2000

Dradjad H. Wibowo Executive Directore

. . XIV LEI STANDARD SERIES 5000

Preface

Sustainable Forest Management

Indonesia belongs to a few and limited countries of rich biological diversity.

Forests provide economics, socio-culture and environmental benefits to

the current as well as the future generations. We may achieve those by a

comprehensive implementation of Sustainable Forest Management.

One road toward Sustainable Forest Management is through forest cer

tification. This certification reveals the managerial performance on the as

pects of production, social and ecology. The managerial units that have met

the performance criteria are given certification for sustainably have man

aged the forest.

Forest certification system is developed by an independent working group

supported by multi-stakeholders comprising of non-governmental organiza

tions, academicians, professionals and government bureaucrats as well. This

system covers

(1) criteria and indicators of Sustainable Forest Management

(2) procedures for implementing the system

(3) requirements for certification actors and

(4) guidelines for decision-making in certifi<.:ation.

The implementation would be transparent, open and follow internation

ally accepted standards.

The system on certification for a Sustainable Forest Management is, there

fore, concluded and presented in the following chapter.


" I

if I,


It is hoped that the readers not only comprehend the content of the

certification system but also using this information to watch the proper imple

mentation of Sustainable Forest Management .•

Jakarta, 28 March 2001

--------. EmilSalim

Board on Trustees

. XVI LEI STANDARD SERIES 5000

The LEI Standards, LEI Guidelines, LEI Technical and Academic DOGuments

1 . LEI standards describe .system framework for sustainable production

forest management, which are the basis for certification implementa

tion. The standards al~o become assesment frameworks for Sustainable

Prodcution Forest Management System (SPFM).

2. The LEI Guidelines is the reference during an implementation of SPFM

Certification activity, these guidelines define procedures for Sustainable

Natural Production Forest Manageme~t (SNPFM) including procedure

for the process of appealing against certification decision.

LEI Guidelines in SNPFM comprises.of three main parts :

2. 1 LEI Guidelines series 99-00 explains Minimum Requirements for

certification implementers i.e.: certification bodies, Assesors and Ex

perts Panel.

2.2 LEI Guidelines series 99-10 explains Training Systems, Requirements

for Training Institution, and Personnel Registra~on Body.

2.3 LEI Guidelines series 99-20 explains Procedures for Certification

Implementation, Decision i\1aking, Formulating Recommendations,

Reporting and Surveillance.

3. LEI Technical Documents are available for references in the assesments

or in developing quality system for certification bodies. Available docu

ments to date are Verifier and Verification Toolbox for Assessment Cri-



teria and Indicators of Sustainable Natural Production Forest Manage

ment (SNPFM) System and Indicators of Intensity Scale for Sustainable

Production Forest Management.

4. The Academic Document provides background, logical framework and

the urgent to develop SPFM certification system.

5. This publication is prepared for the interest of SNPFM certification

implementation in Indonesia. These guidelines are developed particu

larly to lead Executive Board of LEI, Secretariat and Certification Bod

ies as well as concerned parties.

... XVIII

5.1 For LEI Executive Board :

5.1.1 To provide a basis to evaluate certification bodies for ac

creditation process.

5.1.2 To provide a basis for developing other procedures

5.1.3 To provide for a transparency as LEI is required to be cred

ible with the stakeholders including government, private sec

tor in forestry, certification bodies, Personnel Registration

Body, NGO(s) and general public.

5.2 For Certification Bodies:

5.2.1 To provide a concise framework to facilitate the develop

ment of effective certification systems

5.2.2 As reference in developing quality system for the certifica

tion bodies

5.2.3 To specify the performance that should be achieved by certi

fi~ation bodies in order of maintaining their accreditation

fromLEI

5.3 For management unit:

5.3.1 As a framework in achieving sustainable forest management.

5.3.2 As a reference for internal assesment in management unit to

prepare for certification .

LEt STANDARD SERIES 5000


5.4 For concerned parties

5.4.1 As a reference to understand certification system that has

been applied,

5.4.2 As a reference in the monitoring process of certification

implementation,

5.4.3 As a reference for inputs providing as well as critics to the

certification implementation,

5.4.4 As a reference for providing inputs and critics to the certifi

cation system. -


Short Notes

In Iha Development Procoss of Cortification System

1. LEI Standards, LEI Guidelines and Technical Documents have been

developed through various consultations with multi-stakeholders in the

form of seminars, workshop, meetings with selected participants, small

group meetings and others.

2. LEI Standards, LEI Guidelines, and LEI Technical Documents has been

developed through a long process, started in September 1999 to No

vember 11, 1999.

3. In February 1998, the Ministry of Forestry initiated a workshop to dis

cuss criteria and indicators for a system of management on natural pro

duction forest. The participants of the workshops were from govern

ment agencies (Ministry of Forestry), Indonesian Ecolabelling Working

Group, and APHI Expert Team Members. The result was an agreement

to a set of criteria and indicator for sustainable natural production for

est management.

4. With reference to the above workshop results, Indonesian Standardiza

tion Body (ISB) endorsed the standards for sustainable production for

est management as a guidelines for an implementation to be applied as

the ISB Standard and Guidelines in 1998;

• SNI 19-5000-1998 : The Framework for Sustainable Production

Forest Management

• SNI 19-5000-1-1998: The System for Sustainable Production For

est Management

FRAMEWORK FOR SUSTAINABLE

PRODUCTION FORESTS MANAGEMENT SYSTEM .

XXI


• SNI 19-5005-1998: Terms and Definitions relating to Production

Forest Certification

• BSN Guideline 99 : Certification System for Sustainable Produc

tion Forest Management

5. \XTith respect to various inputs and critics via letters, fax, e-mail mes

sages delivered to LEI Secretariat from the stakeholders on criteria and

indicators for sustainable production forest management and its certifi

cation system, as well as recommendations from various discussion/

workshops and other public meetings on LEI Standards and Guidelines

to concerned parties in Indonesia together with memorandum of under

standing between LEI and Forest Stewardship Council (FSC), LEI Board

of Trustees decided to revise (amend) LEI certification system.

6. During the joint activities between LEI and FSC in international work

shops, and joint field test for both systems, a revision needs to be con

ducted to the certification system (in subjects of Procedure for Certifi

cation Implementation as well as Criteria & Indicators) of Sustainable

Natural Production Forest Management.

7. On November 11, 1999 -after system development and revision pro

cess was completed- LEI Board of Trustees approved LEI Standards,

LEI Guidelines and LEI Technical Documents as the Final Documents

as stated in a letter of approval No. 02/LEI/SK/BP /XI/99 signed by

Prof. Dr. Emil Salim. The revision process followed the stages as de

scribed in LEI numbering system.

8. This publication is based on a review of all comments and suggestions

received until 2000. It has also been reviewed by the LEI editorial team

to ensure the clarity, accuracy and adaptability of the sentences struc

ture .•

All partiu are invited to give COJJlJJletttJ' and JuggestioltJ, to thiJ publicatiol/. All inputs should be delivered to LEI Secretariat

.. XXII

Manageme

Contents LEI Guideline 88

1.

2.

3.

4.

5.

Introduction

Scope

Definitions

Certification System

4.1. Pre-Field Assessment

4.2 Field Assessment & Community Input

4.3 Performance Evaluation & Certification Decision-Making

4.4 Certification Decision

4.5 Surveillance 4.6. Certificate Granting, Cancellation, Delay and Extension

Changes in SPFM Certification System

SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION SYSTEM

7

8

8

10

10

11

11

12

12

12

14

List of Picture LEI Guideline 99

Chart 1. Certification Process fot Sustainable Management

of Production Forest (SMPF)

Chart 2. Appeal Resolution Procedure on Decision of Certification


15

16

· LEIGuideline99" . ,

,s'lfit~ififlfiiiProduction Forest ..... ·'Mal1agement Certification System

,Y-,c-{: i .~".;:-::_ """' .. ~-.-;- ".

-, ,,:'-, .- >,"'-:r~f:0;';'-'~(l r ~~,~ :';

'">(:,:

1. Introduction

T,he Sustainable Production Forest Management (SPFM) is the actualiza

tion of a sustainable development concept in the field of forestry. To

meet the objectives set ~y SPFM, there needs to be a system to manage

Production Forests, which will ensure and guarantee the sustainability of its

various functions - production, ecological and social. The SPFM certificate

is a bridge to convey the information of a well-performed forest manage

ment to the buyers of wood products. A SPFM certification system has been

developed that abides by standardized criteria and common indicators to

ensure an effective and efficient certification process. The implementation

of the SPFM Certification System is outlined in the LEI Guideline 99 that

includes various guides inter-linked within the system.

The standard reference manual of SPFtv1 is the LEI Standard 5000 se

ries that sets the framework for the SPFM. The entire manual remains an

integral and inseparable part of the SPFM Certification System.

In the context of the SPFM system, LEI Guideline 55 specifically out

lines the resolution guideline against the SPFM certification decision issued

by the Certification Body. In addition, other documents like the Manual

Accreditation, which has become the basis for the Indonesian Ecolabelling

Institute (LEI) to recognize the Certification Body; LEI Technical Docu

ments describe verifiers, the method of their verification and the level of

indicator maturity as well as other relevant documents issued by LE!.


THE INDONESIAN ECOLABELLING INSTITUTE

2. Scope

The objective of LEI Guideline 99 is to provide a general road map of

the entire SPFM certification process.

The SPFI\1 Certification System dictates the certification procedure. The

LEI Guideline 99 is the parent for all subsequent guides derived from it.

3. Definitions

The definition of terminology related to the system for the management

of a sustainable production forest is based on general and technical forestry

terms. The definition of the following terms is used as a reference to this

standard:

3.1. Certification Review Council (CRC) is a council formed and

mandated by stakeholders of the Certification System to re

solve any disputes that may arise in connection with the deci

sion and affirmation of certification.

3.2 Provincial/Local Consultation Forum is a procedure of veri

tlcation, validation and/or dispute settlement on the final certi

fication decision used by the Certification Review Council

through group discussion forums with the relevant parties.

3.3 Personal Consultation is a procedure of verification, valida

tion and/or dispute settlement on the decision of certification,

used by the Certification Review Council through personal dis

cussions with the relevant parties.

3.4 Forest Certification Body here after referred to as forest

certifica tion body is a legal body, which has the competence

to provide forest certification services and has been accredited

by LE!.

3.5 Expert Panel is an ad hoc team, which consists of a group of

individuals who are themselves specialists in their fields and/or

have an in-depth knowledge on issues associated with the certi

fication process and has the right to make certification deci

Slon.

THE INDONESIAN ECOlABElllNG INSTITUTE

3.6 Appeal Resolution Committee is an ad hoc committee cre

ated by Certification Review Council to resolve a dispute of

decision and affirmation certification

3.7 Field Scoping is a field visit carried out by the Expert Panel I

and is part of the screening process.

3.8 Sustainable Production Forest Management is a series of

strategy and implementation activities to harvest forest prod

ucts that ensure sustainable production, ecological and social

functions.

3.9 Field Assessor is an individual who has the right to do field

assessment in the forest certification process based on the LEI

5000 Series Guidelines. The Field Assessor is not allowed to

have financial ties and/or ownership or any relationship with

any management unit or other enterprise that would pose a con

flict of interest.

3.10 Surveillance is a) a monitoring activity conducted by the Certi

fication Body of a certified management unit to determine

whether certificates obtained remain appropriate; b) a monitor

ing activity conducted by the Certification Body to certification

body, personnel registration body and training institution to de

termine whether certificates of accreditation obtained remain

appropriate

3.11 Sustainable Production Forest Management Certification

is carried out by independent third parties to issue a statement,

which stipulates that the managing of the forest production by

the management unit is in accordance with the- LEI Standard

5000.

3.12 Sustainable Production Forest Management Certification

System is a procedure ofinter-dependence and relations among

the certification applicants, panel of experts, field assessors,

certification bodies, Certification Review Councils, and stake

holders in the SPFM certification.

SUSTAINABLE PRODUCTION FOREST MANAGEMENT

CERTIFICATION SYSTEM


3.13 Management Unit is the unit of production sustainability man

aged by the legal institution/individuals/ community groups that

have the right to manage the production forest.

4. Certification System

The PFM Certification System is founded upon the voluntary-based,

transparent, independent, participation, non-discriminative and accountable

principles. In its implementation, the SPFM certification system separates

the process of data collection and the decisionmaking, and also involving

many elements in both process.

The procedure of inter-dependence and relations among all components

involved in the SPFM certification process is outlined in Chart 1 attached.

To increase credibility and provide opportunities to all stakeholders to

review the certification process, tl1e system gives an equal chance to rel

evant parties to submit their complaints and obligations. The procedure for

lodging a formal complaint and its subsequent conflict resolution process is

outlined in Chart 2.

The procedures for bringing forward objections against the certification

decision will be regulated in a separate guideline.

In general, the certification process is divided into 4 stages of activities,

as follows:

4.1. Pre-Field Assessment

The Pre-Field Assessment is a series of activities designed to increase

the efficiency of the evaluation process, paving the way for a more expedi

tious certification process due to an increased understanding of the underly

ing information that serves as its basis. Therefore, those management units

which do not meet with the necessary qualifications should no longer con

tinue the certification process.

The activities witl1in a Pre-Field Assessment consist of:

a. Screening by Expert Panel 1

• Document Evaluation

-~ . , ~


., Field Scoping

• Decision Making & Submission of Recommendation

b. Affirmation of decision by the Certification Body

4.2 Field Assessment & Community Input

Both activities are carried out simultaneously.

4.2.1. Field Assessment

At this stage data/information collecting and analytical pro

cessing are carried out by Field Assessors based on the SPFM

criteria and indicators. The procedure of these field assessments

is regulated in a separate guideline.

4.2.2. Community Input

The Community Input is complemented by the field assessment

process in order to provide the communitywith the opportunity

to actively participate and submit data/information, covering

both the positive as well as negative effects of the presence of

the management units being evaluated. The Certification Body

will openly announce this opportunity to the public.

This Community Input is submitted to the Certification Body

as inputs for Expert Panel II in making a final decision on certi

fication.

4.3 Performance Evaluation & Certification Decision-Making

The performance evaluation is a process of evaluating the manage

ment unit based on SPFM criteria and indicators through comparing

the actual and the standard conditions in order to make a decision

and rank of certification as well as recommendations to the man

agement unit.

The Field Assessment Report, the Community Input and the results

of Screening process by the Expert Panel are sources of informa

tion.



The SPFM Certification decision is made by the Expert Panel II

appointed by the SPFM Certification Body. Expert Panel II mem

bership, work procedures and recommendation proposal for the man

agement unit will be regulated in a separate guideline.

4.4 Certification Decision

The Certification Decision is the process of endorsing the Expert

Panel II decision into a Certification Body Decree.

In the event a management unit is granted certification, the Certifi

cation Body shall openly announce the event through the mass me

dia, and disclose the decision in a sealed notification to all relevant

parties in the government, NGO(s) and various groups/associations

concerned.

4.5 Surveillance

To maintain the credibility of the Certification Decision, the Certi

fication Body will periodically monitor and assess the already certi

fied management units. The surveillance activity will be carried out

by a team of qualified individuals which is equal to the Expert Panel

or Lead Field Assessor.

Team memberships and surveillance implementation standard will

be regulated by the Certification Body, referring to the existing Sur

veillance Guidelines.

The Surveillance Results will be announced to the public in accor

dance with the Certification Body'S quality standards.

4.6. Certificate Granting, Cancellation, Delay and Extension

4.6.1 SPFM Certification Assessment Result

Assessment results are classified into two categories - "Pass"

and "Fail"

4.6.2. Certificate Ratings


In the interest of improving the performance by the manage

ment unit under assessment, the certification results are rated

into 5 (five) ranks:

a) Gold (Highest)

b) Silver

c) Bronze

d) Copper

e) Zinc (Lowest)

In line with the SPFM evaluation, the SPFM certificate is

awarded only to management units who receive a rating of

Bronze, Silver and Gold.

4.6.3 Certificate Cancellation

A SPFM certificate that has been granted by the Certifica

tion Body to a management unit may be revoked due to the

following reasons: a) Passed expiry date and not extended b) Surveillance or re-certification report indicates that cer-

tification is revoked c) The management unit has lost its license to work

d) Dissolution of the management unit that applies the

SPFM e) Acts against the law by court f) Upon written request by the management unit g) A decree set forth by the Certification Review Council

that revokes the certificate.

4.6.4. Certificate Delay

A SMPF certificate that has been awarded to a management

unit by the Certification Body may be postponed due to the

following reasons:

a) An area of the management unit's location has been

struck by a natural disaster (force majeur) and is consid-



ered hazardous to the sustainability of the forest re

sources.

b) The management unit is under court proceedings on charges of violating the law.

c) A decree set forth by the Certification Review Council

(CRC) that delay issuance of the certificate.

4.6.5. Certificate Extension

Certificates that are near their dates of expiry may be ex

tended. The Extension process may be carried out taking the Surveillance Report in consideration. Certificate extension must be submitted not later than 3 (three) months prior to the expiration date.

4.6.6. Re-certification Request of the Failed Management Units

The standard procedure for a certificate request by a previ

ously failed management unit in the certification process is as follows:

a) For those who failed in the Screening Assessment, the review process conducted begins with the Screening phase.

b) For those who failed in the Performance Evaluation phase, the review process will not go through the Screening Assessment, but with the condition that the second submission of the certification process should not exceed

more than 6 (si.x) months.

5. Changes in SPFM Certification System

In the event that modifications are made on the LEI Standards, Guidelines and Technical Document, the management unit must comply and modify

accordingly, in line with the new Certification System.

The evaluation process by the Certification Body on the modifications

in accordance with the new Certification System must be implemented not

later than 12 (twelve) months after its rulings .•

. . 14

...• '.


Application of SMPF Certification by

Management Unit

Forestry Document and Basic Data

Document Assessment by Expert Panel

Yes

+ Field Assessment by

Assesor Team

Result of Field Assessment Input

Performance Evaluation by Expert Panel

Chart 1 .

. Certification Process for Sustainable

Management of Production Forest (SMPF)

No

Pre Field Assessment

No

Public Announcement on Field Assessment Field

Evaluation and

Input from Community

Performance Evaluation and

Decision Making

-------l-----------------------------Yes

Surveillance

Certification Decision Making

SUSTAINABLE PRODUCTION FOREST MANAGEMENT

CERTIFICATION SYSTEM


Chart 2.

Appeal Resolution Procedure on Decision of Certification

Appeal against Decision of certification

Verification, Validation - - - - - .. and Resolution of

Appeal by Certification Review Council .. _ _ - _ _

Decision - Making Process by Appeal

Resolution Committee

rocess: Consultation P -Personal Con sultation -Regional Cons ultation

Yes

>---------------~goo

Reserved

Shift on Decision of Certification

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Contents LEI Guideline 99-01

1. Introduction

2. Scope

3. Reference

4. SPFM Certification Body Requirements

5. Communication with The Indonesian Ecolabeling Institute, Certification Review Council, and Provincial/Local Communication Forum

6. Personnel of the SPFM Certification Body

7. Resolution of Appeal against the Decision of

Certification Process

8. Procedures for Use of Certificate, Logo and SPFM

Certification Award Label

9. Surveillance

10. Change in the SPFM Certification System

GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION BODY

21

21

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22

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31

31

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32

··-IN·DONESIAN ECOlABElllNG INSTITUTE

, . :,t

1. \ Introduction

The Sustainable Production Forest Management (SPFM) certification body

is a legal body competent in giving SPFM certification services and recog

nized by LE!. A general requirements standard guideline is essential for the

SPFM certification body to be able to function in accordance to principles

of independence, non-discriminatory, objectivity and transparency. The LEI

Technical Document 99-01 regulates the General Requirements for SPFM

Certification Body as an inseparable part of the LEI Guideline 99 Series on

the SPFM Certification System.

2. Scope

The aim of the LEI Guideline 99-01 is to form the general requirements

for SPFM certification body. These general requirements will be a reference

for legal bodies to perform as SPFM certification bodies, but with prior rec

ognition by the accreditation body.

3. Reference

1. ISO Guide 61: General requirements for assessment and accredita

tion of certification/ registration bodies.

2. ISO Guide 62: General requirements for bodies operating assess

ment and certification/ registration of quality systems.


Oil

,t


3. BSN 49 - 1997 Guideline: General Requirements for Environmen

tal rVfanagement System Certification Body.

4. FSC Accreditation Manual.

5. LEI Standard 5000, Framework for Sustainable Production Forests

Management System.

6. LEI Guideline 55, Resolution Guideline to Appeal against the Cer

tification Decision.

7. LEI Guideline 99, Sustainable Production Forest Management Cer

tification System.

4. SPFM Certification Body Requirements

4.1. General Stipulation

~ .. 22

4.1.1. Have a strong commitment to acquire SPFM.

4.1.2. The SPFM certification body may not have relations that

may arouse conflict of interest with, among others but are

not limited to:

a) Bodys that have or are doing business in the sector being

processed for certification;

b) The SPFM consulting Firms or coordinator of the SPFM

consultation program;

c) Training body or training of field assessor and/ or SPFM

certification expert panel.

4.1.3. The SPFM certification body implements a transparent cer

tification process without any obstacles or prerequisites that

may hinder stakeholders to gain access unless regulated within

this guideline.

4.1.4. The SPFM certification body implements the certification

system in accordance to LEI 99 Series Guideline and LEI 55

Guideline.

4.1.5. The SPFM certification body affirms certification decision

~ ..


made by Panel Expert II and takes responsibility towards the decision.

4.2. The SPFM Certification Body Structure

4.2.1. The SPFM certification body structure is set up to give as

surance towards its certification activities.

4.2.2. The SPFM certification body should:

a) Have a document that states its legal existence, detailed

organizational structure, and stake ownership on behalf

of the individual and/or organization;

b) Responsible for decisions to award, postpone, cancel and

extend certification;

c) Form a management that generally takes responsibility of:

c.l) Policy formulation that relates to implementation of certification;

c.2) Implementation of certification in accordance to

LEI 99 Series Guideline;

c.3) Resolution of appeal against the decision of certi-

fication in accordance to LEI 55 Guideline;

cA) Policy implementation surveillance;

c.5) SPFM certification body financial surveillance;

c.6) Delegating responsibility to committees or individu-

als to take over duties when necessary.

d) Have financial and other resources needed to implement

SP FM certification system.

e) Have a number of qualified personnel to implement SPFM

certification duties, and each personnel should meet the

required qualifications.

t) Have a quality system that is able to provide assurance

of its capabilities in conducting SPFM certification sys

tem.



g) Have the rules and procedures to involve individuals and/

or groups in the certification process.

h) Have the policy and procedures that differentiates be

tween SPFM certification activities with other activities.

4.3. SPFM Certification Body Quality System

4.3.1. The SPFM certification body management with an executive

responsible for the quality system should endorse and docu

ment quality policies, including the aim and commitment to

quality.

4.3.2. The SPFM certification body implements a quality system

that is in accordance with related elements within this guide

line.

4.3.3. The SPFM certification body should guarantee effective

implementation of the procedure and work instruction of

the quality system.

4.3.4. The management should guarantee the understanding, imple

mentation, and maintenance of the quality system by the

SP F~[ certification body.

4.3.5. Have the authority, responsibility, and clear function in ac

cordance with the existing organizational structure.

4.3.6. The quality system is documented in the general guideline

and standard operational procedures that are interrelated. The

quality guideline should include:

a) Quality Policy Statement;

b) A short deliberation of the legal status of the SPFM cer

tification body which includes the name of ownership,

individual or organization, and the person in charge;

c) Organizational structure chart that clearly indicates line

of authority, responsibility, function, and the relation

amongst sectors sharing responsibility in the implemen-

~-..


tation of certification;

d) Operational and functional duties and services related

to quality, so that the scope of responsibility of each per

sonnel is known to all relevant parties;

e) The position, qualification, authority and responsibility

of the personnel involved in and responsible for the cer

tification quality;

f) Policy and procedure of accepting personnel and train-

ing both of permanent as well as contractual-based staff;

g) Administration procedure including document control;

h) Policy and procedure for management review;

i) Requirements and standard operational procedures for

implementation of certification process.

4.4. The awarding, postponement, cancellation and extension of the

SPFM certification is done by the SPFM certification body in accor

dance with the LEI Guideline 99.

4.5. The Internal Audit, Corrective and Preventive Measures and Man

agement Review:

4.5.1. The SPFM certification body should regularly carry out an

internal audit on the entire procedure, systematically and well

planned, to prove that the quality system has been ef~ec

tively implemented;

4.5.2. The SPFM certification body management with executive

responsibilities carry out a management review of the qual

ity system i3eriodically to guarantee the compatibility and ef

fectiveness of the implementation of this guideline and the

agreed quality policy. The result of the management review

is documented.

4.6. Documentation

4.6.1. The SPFM certification body should produce and maintain

GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION

FOREST MANAGEMENT CERTIFICATION BODY


up-dated documents accessible to the public by request. These

documents are:

a) Information on the SPFM certification body operational

authority;

b) Clarification on the implementation of the certification

system and process;

c) Clarification on the manner in which the SPFM certifica

tion body gains financial support and general informa

tion on the expense imposed on the management unit

applicant and those already awarded certification;

d) Clarification on the rights and responsibility of the man

agement unit applicant of certification and those already

awarded certification;

e) Information on the resolution of the appeal procedure

on certification;

f) Information on the management unit, which has obtained

certification and the type of certification implemented.

4.6.2. The SPFM certification body affirms and implements the pro

cedure to control data and documents related to its certifica

tion activities.

4.6.3. The document list with its own status, amendments, other

changes, and availability, should be maintained to guarantee

that the specified document is obtainable by the personnel

of the SPFM certification body and the management unit in

order to be able to perform its function related to certifica-.

tion.

4.7. Recording

4.7.1. The SPFM certification body should have a recording sys

tem that guarantees the continuity of information.

4.7.2. The recording should indicate that the certification proce

dure has been fulfilled effectively, including amongst others:


~ .. a) The document and application process of certification,

including the contract document with the management

unit applicant;

b) Qualification, selection process and contract with the field

assessor and expert panel;

c) Document, evaluation process and assessment of docu

ment by Expert Panel I;

d) Document and information process to gather inputs from

the community related to the management unit in the

process of certification;

e) Document and field assessment process, field assessment

result and community inputs presented to the SPFM cer

tification body;

f) Document, evaluation process and result document by

Expert Panel II;

g) Decision on awarding, postponement, cancellation and

extension of certification and the notification on the de""

cision of certification;

h) Appeal document against the decision of certification and

the resolution of appeal process;

i) Handling of certification cost and payment of taxes in

accordance with existing regulations;

j) Document, process and result of surveillance on the man

agement unit being awarded certification.

4.7.3. The SPFM certification body should have a policy and pro

cedure to save recordings of a specified term in accordance

to the contract, law, and other responsibilities.


cedure related to recording access.

4.7.5. The SPFM certification body should call for each manage

ment unit being awarded certification to submit recording of



~-.


appeal against the decision of certification presented by rel

evant parties to the management unit and its responding ac

tions should be according to the SPFM certification system,

if requested by the SPFM certification body.

4.8. Secrecy

4.8.1. The SPFIv( certification body should have sufficient mecha

nism conform the regulations to protect the secrecy of infor

mation being gathered from the certification process at all

levels of the organizational structure.

4.8.2. Management unit information may not be granted to a third

party without written permission from the management unit

concerned, unless stipulated in the SPFM certification sys

tem. If the regulation permits information be granted to a

third party, therefore, the management unit concerned has to

be informed.

4.8.3. Specifically for open and/ or publicly accessible information

from the management unit document are stipulated by the

SPFM certification system, the SPFM certification body is

able to provide such information if requested by a relevant

party without the consent of the management unit concerned.

4.9. Publication


cedure to publicize information related to the SPFM certifi

cation.

4.9.2. The publicized information has to be clear and should not be

in contradiction to the guarantee of secrecy on issues agreed

upon between the SPFM certification body with relevant

parties.

4.9.3. Immediate publication through easily accessed media, cov

ering the following issues:

,: .


""--.. ~ .. a) All changes concerning standards, requirements and cer

tification procedure;

b) The management unit in the middle of a certification pro

cess, already being awarded certification and its certifi

cation status.

4.9.4. The SPFM certification body provides publication by request,

covenng:

a) A management unit's certification summary, including in

formation on the management unit, field assessor, expert

panel, and assessment result by the expert panel;

b) The development of the implementation of certification

being performed on a management unit applicant.

5. Communication with The Indonesian Ecolabelling Institute,

Certification Review Council, and Provincial/Local

Communication Forum

With regard to the SPFM certification implementation process, the cer

tification body should establish communication with:

a) Accreditation Body;

b) Certification Review Council (CRC)

c) Provincial/Local Communication Forum; and

d) Other relevant parties.

6. Personnel of the SPFM Certification Body

6.1. General

6.1.1. Personnel of the SPFM certification body involved in certi

fication must have the ability to function accordingly.

6.1.2. Information on qualification, training and relevant experi

ence of each personnel should be maintained and up-dated

by the SPFM certification body.

6.1.3. The latest technical guideline documented defining the du-



~ ....

THE INDONESIAN ECOlABELLING INSTITUTE

ties and responsibilities of personnel should always be avail

able.

6.1.4. The SPFM certification body recommends the field assessor

team.

6.1.5. The certification body is required to appoint a facilitator for

the implementation of certification process. The facilitator

should have the qualification equal to the Senior/Lead Field

Assessor.

6.2. The facilitator has a function to fully facilitate the implementation

of certification, from the field pre-assessment phase to the decision

of certification and the implementation of surveillance. Although

they do not have a right to vote in the decision-making process, the

facilitator may express the view points of the SPFM certification

body it represents as inputs for the field assessor and expert panel.

6.3. The qualification of the field assessor and expert panel is based on

requirements stipulated in the LEI 99-02 Guideline on General Re

quirements for SPFM Certification Field Assessor and LEI 99-03

Guideline on General Requirements for SPFM Certification Expert

Panel.

6.4. The SPFM Certification Body requires procedures for:

6.4.1. Appointing the field assessor and expert panel based on stipu-

1ated regulations on requirements for the field assessor and

requirements for the expert panel.

6.4.2. Work assessment of the field assessor and expert panel dur

ing the evaluation process and further assessments.

6.5. Personnel Contract

6.5.1. The field assessor and expert panel involved in the imple

mentation of certification should be required to sign a con

tract and other documents expressing their commitment to

abide by the stipulated regulations of the SPFM certification

body. This includes issues of secrecy, freedom from com-

'.'~ ~-..


mercial or other interests, and freedom from previous or cur

rent relations with the management unit under certification.

6.5.2. The SPFM certification body should guarantee and docu

ment the compatibility of the personnel involved in the cer

tification process in accordance with the guideline.

6.5.3. The certification body should have a policy and procedure

to arrange for compensation for the contract made by the

field assessor and expert panel.

6.6. Personnel Recording

6.6.1. The SPFM certification body should acquire and maintain

up-dated recordings of personnel involved in certification.

6.6.2. The SPFM certification body should have a procedure that

guarantee and verify the personnel involved in certification

uphold the recordings in accordance to the regulations within

this guideline.

7. Resolution of Appeal against the Decision of Certification

Process

To resolve appeal against the decision of certification expressed by rel

evant parties to the SPFM certification body is based on the LEI Guideline

55 on Resolution of Appeal against the Decision of Certification.

8. Procedures for Use of Certificate, Logo and SPFM

Certification Award Label

8.1. In the event that the SPFM c~rtification body is required to permit

the use of the certificate, logo and SPFM certification award label

to the management unit being awarded certification, the unit is al

lowed to use them according to the written approval by the SPFM

certification body.

8.2. The SPFM certification body should have a right follow-up proce

dure to alter incorrect interpretation of the certification system or



. ....:-, ~-..


abuse of the certificate, logo or SPFM certification award label of

ten found in advertisements, catalogues and other media.

9. Surveillance

The SPFM certification body should apply surveillance towards the

management unit being awarded certification.

10. Change in the SPFM Certification System

Any change or improvement of the LEI Guideline, Standard and LEI

Technical Document based on the agreement reached among relevant stake-

\ holders or LEI decision, the certification body should perform assessment

of the management unit based on the new certification system. The assess

ment should be implemented by a maximum of 12 (twelve) months after the

establishment of the new· certification system.

The clause on the assessment process should be stipulated in the SPFM

certification body quality system and included in the work contract with the

specific management unit being assessed. _

. ",::;:':,;:;:;:;:;:;:;:.

ft', roductlOu< ' ..... .". < · · . " .. "CertlficationifiillldASSeSSOr H

" ", '.,

--_ ..

Contents LEI Guidelino 99-02

1.

2.

3.

4.

5.

6.

7.

8.

Introduction

Scope

Reference

Criteria and Requirements for SPFM Certification

Field Assessor 4.1. Area of Expertise of SPFM Certification Field Assessor

4.2. Career Levels of Field Assessor

4.3. The qualification of a field assessor

Duties of the SPFM Certification Field Assessor

Junior Field Assessor

6.1. Expertise and Level of Education

6.2. Training

Mid-level Field Assessor


7.2. Assessment Experience

Senior/Lead Field Assessor


8.2. Training


GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION FIELD ASSESSOR

37

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LEI Guideline 99-02

General Requirements for Sustainable Production Forest Management Certification Field Assessor

1. Introduction

The Sustai.nable Production ~orest Management (SPFM) cer~fication field assessor 1S a person authonzed to conduct field assessment in the SPFM

certification, based on LEI Standard 5000. The field assessor does not have financial and/or ownership relations and/or any relations whatsoever with a specific management unit or business that may cause conflict of interest. A general requirement for field assessors is needed to make the assessment process more effective.

The LEI Guideline 99-02 regulates the general requirements for SPFM certification field assessor, provides the basis for compiling the registration procedure and utilizing registration right of the SPFM field assessor as well as an inseparable part of the LEI Guideline 99 Series.

2. Scope

The purpose of this guideline is to regulate the criteria and general requirements for Field Assessors.

This general requirement will be a reference for a person who will work

as a field assessor, with prior registration at the Personnel Registration Body (PRB).

3. Reference

1. LEI Standard 5000, Framework for Sustainable Production Forest

GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION FIELD ASSESSOR

v ;


Managemen t System.

2. LEI Standard 5005, Terms and Definitions related to Forest Certifi

cation.

3. LEI Guideline 99, Sustainable Production Forest Management Cer

tification System.

4. Criteria and Requirements for SPFM Certification Field Assessor

-" " 38

4.1. Area of Expertise of SPFM Certification Field Assessor

4.1.1. A field assessor should possess at least a D-3 diploma with 5

(five) years working experience in their field, or S-l with 3

years working experience in their field.

4.1.2. The field assessors are divided into:

a) Production Aspect Field Assessor;

b) Ecological Aspect Field Assessor;

c) Social Aspect Field Assessor.

4.1.3. A field assessor should have expertise related to the SPFM

certification, i.e.:

a) Production (forest harvesting and internal timber track-

ing system of the management unit);

b) Forest management;

c) Company management;

d) Forest Ecology;

e) Wildlife Ecology/Management;

f) Soil and Water Conservation;

g) Anthropology /Sociology /Human Ecology, and

h) Economy.

4.2. Career Levels of Field Assessor:

4.2.1. Junior Field Assessor

4.2.2. Mid-level Field Assessor


4.2.3. Senior/Lead Field Assessor

The leader of the Field Assessor teams should meet the qualifica

tions of a Lead/Senior Field Assessor.

4.3. The qualification .of a field assessor is regulated by the Personnel

Registration Body (PRB) in accordance with the requirements stipu

lated in the General Requirements for Field Assessors Guideline.

5. Duties of the SPFM Certification Field Assessor

The duties include:

5.1. Draw up a field assessor work plan based on information from the

management unit and recommendation from Expert Panel I;

5.2. Presentation and discussion of a field assessor work plan with Ex

pert Panel I, to be subsequently decided together.

5.3. Decide on the typology of the management unit under assessment;

5.4. Collect primary and secondary data of the management unit in the

field based on LEI Guideline related to the implementation of SPFM

certification field assessment;

5.5. Analyze and make conclusion of each indicator based on the field

data/information gathered;

5.6. Formulation of a systematic report compatible to the decision-mak

ing process of certification conform with the assessment result's

guideline for SPFM certification;

5.7. Give presentation on the field assessment result report to Expert

Panel II with detailed information on the conditions of the manage

ment unit to assist Expert Panel II in the decision-making process

of certification.

6. Junior Field Assessor


A junior field assessor should be competent to fulfill the following:


FOREST MANAGEMENT CERTIFICATION FIELD ASSESSOR


6.1.1. Expert in a specific science and technology discipline related

to the SPFM certification, indicated by a title or level of

education as stated in clause 4.1.1.

6.1.2. Technically able to perform field assessment activity in the

management unit area.

6.1.3. Able to analyze field data/information and make conclusion

of each indicators in each aspect "and properly present it in

the form of a field assessment report.

6.1.4. Possess good communications skills, both oral and written.

6.1.5. Registered at the PRB as a Junior Field Assessor.

6.2. Training

A Junior Field Assessor is a person who has completed SPFM certi

fication field assessor training or have followed other procedures

recognized and certified by PRB.

7. Mid-level Field Assessor


A mid-level field assessor should be competent to fulfill the

following:

7.1.1. Have the expertise and level of education of a junior field

assessor.

7.1.2. Able to give inputs on the development of field assessment

methods.


A mid-level field assessor is a junior field assessor who has com

pleted 2 (two) field assessments based on the guideline with the

implementation of the SPFM certification field assessment under

the responsibility of a qualified senior/lead field assessor.

8. Senior/Lead Field Assessor



A senior field assessor should be competent to fulfill the following:

8.1.1. Have the expertise, level of education and experience of a

mid-level field assessor

8.1.2. Have a combination of leadership capacity and experience

to function effectively in organizing the field assessor team.

8.1.3. Able to produce work assessment for the field assessor team.

8.1.4. Have the capacity to communicate with senior executives of

the management unit in a business-like but firm manner on

issues requiring attention.

8.2. Training

A senior field assessor is a mid-level field assessor who has com

pleted SPFM certification training for the senior/lead field assessor

level or other training related to the SPFM certification ~ystem rec

ognized and certified by PRB .

. 8.3. Assessment Experience

A senior field assessor should :

8.3.1. Have completed 5 (five) field assessments based on LEI

Guideline related to the implementation of SPFM certifica

tion field assessment under the responsibility of a qualified

senior /lead field assessor.

8.3.2. In the absence of qualified senior/lead field assessor able to

give guidance and training, the task should be performed by

a team or expert appointed by PRB .•


FOREST MANAGEMENT CERTIFICATION FIELD ASSESSOR

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