SURVEILLANCE AND CERTIFICATE EXTENSION GUIDE Sustainable Plantation Forest Management Certification
1. Introduction The Sustainable Plantation Forest Management Certification (SPFM) valid for 5 years since its verification by the Certification Institution. The certification is expected to be observed within its time range to extend its validity. A certification institute conducts the observation or surveillance. The surveillance is done to determine whether the certificate is still worth awarded to the management unit. The results will also be used as judgment in the extension process of the certificate.
2. Scope This guide provides directions in surveillance as the management unit’s performance evaluation after attaining the certificate. This activity is meant to appraise the unit’s performance and decide whether the certificate is still commendable for the unit. The scopes of the surveillance are: a) Determine a number of key indicators to be examined. b) Conduct validity study to each key indicator. c) Evaluate the key indicators. d) Evaluate change of performance of the management unit. e) Determine when will the next surveillance be performed.
LEI Guide 99-36
Surveillance and Certificate Extension Guide Sustainable Plantation Forest Management Certification
3. References 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) LEI Guide 99-34, SPFM Certification Decision Making Guide. f)
LEI Guide 99-35, SPFM Certification Recommendation Arrangement Guide.
g) LEI-03 Technical Document, Toolbox Verifier and Verification for Criteria and Indicators of Assessment in the Sustainable Plantation Forest Management (SPFM) Certification System. h) LEI-04 Technical Document, Value (Intensity Scale) of Sustainable Plantation Forest Management (SPFM) Indicators.
4. Surveillance Process A team consisting a Head Field Assessor and Expert Panel or personnel with the qualification of an Expert Panel or Head Field Assessor who are registered in the Personnel Certification Institution (LSP) conducts the surveillance process. The Certification Institution arranges the preference of team members and surveillance standard procedure in their quality system.
5. Surveillance Time Determination Basically, the schedule for surveillance is based on the following: a) The management unit’s performance assessment result, the higher the rating the less surveillance the unit needs. b) Surveillance can be brought forward if required in the objection settlement. c) The result of the surveillance will affect the time and scope of the next surveillance.
LEI Guide 99-36
Surveillance and Certificate Extension Guide Sustainable Plantation Forest Management Certification
6. Surveillance Standard Procedure Surveillance standard procedure is based on the following: a) Surveillance is based on SPFM criteria and indicators, unit management’s performance appraisal by Expert Panel II, and inputs from stakeholders. b) Surveillance is conducted twice in minimum in a 5-year period for management unit with Gold ratings, three times minimum for Silver ratings, and four times minimum for Bronze ratings. c) The first surveillance is conducted within the first year, at the latest, after the certificate is awarded. d) The management unit acknowledges the surveillance implementation. e) The surveillance work plan must contain in detail: determination of several key indicators to be observed including its validity and evaluation method to detect change in the unit’s performance. f)
Surveillance is conducted through a field assessment process.
g) Result of the surveillance is reported in writing and publicized to related stakeholders.
7. Determination of the Observed Indicators The indicators observed in the surveillance process are based on the unit’s performance evaluation by Expert Panel II (LEI Guide 99-34). Substantially, the surveillance consists of indicators with the related matters: a) Change of corporate goals b) Change of landscape c) Change of management intensity d) Change of forest potentiality e) Change of business model f)
Change of the quality of the plant forest ecosystem
g) Change of the social relationship model between the management unit and the community
LEI Guide 99-36
Surveillance and Certificate Extension Guide Sustainable Plantation Forest Management Certification
8. Assessment of Change on Management Unit’s Performance The process of surveillance result assessment is as follows: a) The assessment of the unit’s performance in the surveillance process is conducted on several observed key indicators. b) The assessment is done to identify the extent of change of indicator values observed during each surveillance. c) Unobserved indicators and those indicating no change are considered to have fixed values. d) Results of the assessment process conducted by Expert Panel II will be made as reference for the surveillance implementation. e) The surveillance decision making is conducted using AHP model built to evaluate the earlier evaluation on management unit’s performance. f)
If there are changes of typology, the surveillance process will be conducted similar to a recertification process.
9. Surveillance Result Recommendation The result of surveillance is made in a written report, aimed to determine: a) The course of improvement for the management unit b) The type of the next surveillance process c) Whether the SPFM certificate no longer valid
10.
Certificate Extension
The certificate extension process is conducted by considering surveillance results. The extension procedures are as follows: a) The extension of certificates is done at least within three months before the certificate expires. b) The Certification Institution determines the procedure of the certificate extension according to LEI Guide 99.
LEI Guide 99-36
Surveillance and Certificate Extension Guide Sustainable Plantation Forest Management Certification