GENERAL REQUIREMENTS SUSTAINABLE PLANT FOREST MANAGEMENT CERTIFICATION INSTITUTION 1. Introduction The Sustainable Plant Forest Management (PHTL) Certification Institution is a legal entity with the competence to provide PHTL certification services and accredited by the Accreditation Institution. To function capably according to the independence, non-discriminative, objective and transparent principles, the PHTL Certification Institution must be directed by a general requirement in the form of a guidebook. LEI Guide 99-04 which administers General Requirements of Sustainable Plan Forest Management Certification Institution is an inseparable part of LEI Guide 99 regarding Sustainable Production Forest Management Certification Institution.
2. Scope The LEI Guide 99-04 verifies the general requirements of PHTL Certification Institution. The general requirement is a reference to legal entities that will play the role of PHTL Certification Institution. The institute must obtain an accreditation from the Accreditation Institution prior to functioning its role.
3. Reference a) LEI Standard 5000, Framework of Sustainable Production Forest Management (PHPL) System. b) LEI Standard 5000-2, Sustainable Plant Forest Management System. c) LEI Guide 55, Certification Objection Settlement Guide. d) LEI Guide 99, Sustainable Production Forest Management (PHPL) Certification System. e) LEI Guide 99-05, General Requirements for Field Assessors of Sustainable Plant Forest Management Certification. LEI Guide 99-04
General Requirements of Sustainable Plant Forest Management Certification Institution
f)
LEI Guide 99-06, General Requirements for Expert Panel of Sustainable Plant Forest Management Certification.
g) LEI Guide 99 Series 30, Implementation Guide of PHTL Certification. h) The International Organization for Standardization (ISO), ISO Guide 61: General Requirements for Assessment and Accreditation of Certification/Registration Bodies. i)
Forest Stewardship Council (FSC): Accreditation Manual.
4. Definitions 4.1
Certification Advisory Board is an entity set up and given special mandate by stakeholders of the certification system to settle disputes that rises in relation to certification decision and affirmation.
4.2
Regional Consultation Forum is a verification, authorization and/or objection settlement of the forest certification decision used by the Certification Advisory Board through stakeholders discussion forum.
4.3
Accreditation Institution is an entity with authority to accreditate bodies/legal entities involved with a certification.
4.4
Sustainable Plant Forest Management Certification Institution as from here named PHTL Certification Institution is a legal entity with competence to provide PHTL certification services and accredited by Indonesian Ecolabeling Institute.
4.5
Expert Panel is a temporary team (ad hoc) instituted by certification institution which consist of individuals with certain expertise and/or having profound knowledge of subjects related to certification processes and authorized to make decisions associated to the process.
4.6
Sustainable Plant Forest Management is a set of strategy and activities to produce plant forest products that guarantees the sustainability of production, ecology and social functions.
4.7
Field Assessors are individuals who have the right to conduct field assessment in accordance to management unit performance assessment for a forest certification process based on LEI 5000-2 Standard. Field Assessors has no financial and/or ownership and/or other relation with certain management or business unit which might motivate conflict of interest.
LEI Guide 99-04
General Requirements of Sustainable Plant Forest Management Certification Institution
4.8
Surveillance is an observation activity conducted by a certification institute toward a forest management/business unit obtaining forest certificate to decide whether or not the certificate is still applicable.
4.9
Sustainable Plant Forest Management Certificate is an activity conducted by PHTL Certification Institution to declare that a plant forest management conforms LEI 5000-2 Standard.
4.10 Sustainable Plant Forest Management Certification System is a procedural interaction between a certification applicant, Expert Panel, Field Assessor, Certification Institution, and stakeholders of PHTL certification. 4.11 Management Unit is a product sustainability control component run by a legal entity/individual/group of society with a right to manage a plant forest.
5. PHTL Certification Institution Requirements 5.1 General Requirements 5.1.1
Having strong commitment in PHTL achievements.
5.1.2
PTHL Certification Institution may not have any relationship that could motivate conflict of interest, such as (but not restricted to the following): a) Institutions that conducts business activities in the certified field. b) PHTL consulting institution or one that conducts PHTL consultation program c) Training institute or organizing committees conducting training for PHTL certification Field Assessors and/or Expert Panel.
5.1.3
PHTL Certification Institute operates the certification process in a transparent manner and not allowing any barrier or conditions to prevent access of stakeholders except those that are in exemption in this guide.
5.1.4
PHTL Certification Institute operates the certification system according to LEI Guide 99-30 and LEI Guide 55.
5.1.5
PHTL Certification Institute determines certification decision made by Expert Panel II and held responsible to it.
LEI Guide 99-04
General Requirements of Sustainable Plant Forest Management Certification Institution
5.2 PHTL Certification Institute Structure 5.2.1
PHTL Certification Institute structure must be arranged to provide trust towards its certification activities.
5.2.2
PHTL Certification Institute must: a) Obtain documents stating its legal existence and detailed organization structure and stock ownership of individuals and/or organization. b) Responsible for statement of awarding, suspending, abrogating, and extending a certification. c) Determines the management that generally responsible towards the following: •
Policy formulation in relation with certification implementation.
•
Certification implementation based on LEI Guide Series 99-30.
•
Objection settlement of certification decision according to LEI Guide 55.
•
Policy implementation monitoring.
•
PHTL Certification Institution financial monitoring.
•
Authority delegation to a committee or individual if task turnover is needed.
d) Obtain financial and other resources needed to operate PHTL certification system. e) Obtain sufficient number of personnel to run PHTL certification duties, whom must qualify to the requirements. f)
Obtain a quality system that provides determination of capability in implementing PHTL certification system.
g) Obtain regulations and procedures to involve individuals and/or group in the certification process. h) Obtain policies and procedures that differs PTHL certification activities to others.
LEI Guide 99-04
General Requirements of Sustainable Plant Forest Management Certification Institution
5.3 Quality System of PHTL Certification Institute 5.3.1
The executive management of PHTL Certification Institute responsible for quality system must determine and record policies on quality including its objectives and commitment.
5.3.2
PHTL Certification Institute implements the quality system according to the related elements in this guide.
5.3.3
PHTL Certification Institute must guarantee the effective implementation of procedures and instructions of quality system performance.
5.3.4
The management must guarantee that the system is comprehended, implemented and maintained by all levels of the institute.
5.3.5
Obtain clear authority, responsibility and function structure according to the current organization structure.
5.3.6
The quality system must be documented in the interrelated quality and standard operation procedure manual. The quality manual must obtain in minimum of the following: a) Statement of quality policy. b) Brief detail on the legal status of the institute including name of owners, individual or organization, and the name of personnel in charge. c) Organization structure chart that shows the clear line of authority, responsibility and function, and the relationship of each division responsible to the implementation of the certification. d) Operational and functional duties, and services in relation with quality so that the responsibility of each personnel is recognized by all stakeholders. e) Job title, quality, authority and responsibility of personnel involved and affecting the quality of the certification. f)
Policy and procedure of recruitment and training of permanent and contract personnel.
g) Administration procedure including document control. h) Policy and procedure to conduct management review. i)
Conditions and standard operational procedure of certification implementation process.
LEI Guide 99-04
General Requirements of Sustainable Plant Forest Management Certification Institution
5.4 Awarding, suspending, abrogating and extending the PHTL certificate is conducted by the PHTL Certification Institute in reference to LEI Guide 99. 5.5 Internal Audit, Improvement and Preventive Actions, and Management Review: 5.5.1
PHTL Certification Institute must operate periodical internal audit towards every procedure in a systematic and planned manner, to prove that the quality system is being effectively implemented.
5.5.2
The executive management of PHTL Certification Institute conducts management review of the quality system in a certain time interval to assure the fitness and effectivity in fulfilling the requirement of this guide and the quality policy. The review will be documented.
5.6 Documentation 5.6.1
PHTL Certification Institute must produce and maintain up to date documents that can be accessed by public on request. The documents are: a) Information on the authority to operate the PHTL Certification Institute. b) Explanation on certification system and its implemented process. c) Explanation on the method PHTL Certification Institute obtained financial support and general information on costs charged to the applicant (management unit) and to those certificated. d) Explanation on the rights and obligations of the management units applying for certification and those certificated. e) Information on certification objection settlement procedure f)
Information on the management unit obtaining a certificate and type of certificate implemented.
5.6.2
PHTL Certification Institute determines and conducts procedures to control all data and documents related to the certification activities.
5.6.3
The list of documents with each of the published copy and amendments or other alterations, and adequacies must be maintained to assure that the related
LEI Guide 99-04
General Requirements of Sustainable Plant Forest Management Certification Institution
documents can be obtained by the personnel of the PHTL Certification Institute or management unit to run the function related to the certification. 5.7 Record 5.7.1
PHTL Certification Institute must own a record system that assures the sustainability of information.
5.7.2
The records must present an effective certification procedure as follows: a) Documents and certification application process including the contract with the management unit applying for a certification. b) Qualification, selection process and contract with Field Assessors or Expert Panel. c) Documents, process and assessment result document by Expert Panel I. d) Announcement document and process to gather input from the community related to the assessed management unit. e) Field assessment document and process, result and community input delivered to the PHTL Certification Institute. f)
Documents, process and document assessment result by Expert Panel II.
g) Decisions on awarding, suspending, abrogating or extending the certificate, and its decision announcement. h) Documents on certificate objection and the process of settlement. i)
Certification budget administration and tax payments according to the current regulation.
j)
Documents and process, and results of surveillance of the certified management unit.
5.7.3
PHTL Certification Institute must obtain policies and procedures to keep records for a certain range of time according to contract, law or other obligations.
5.7.4
PHTL Certification Institute must obtain policies and procedures related with the access of the record.
5.7.5
PHTL Certification Institute must requires that every certified management unit provides records on objections of the certification result delivered by parties related to the unit and actions taken according to the PHTL certification system, if required by the PHTL Certification Institute.
LEI Guide 99-04
General Requirements of Sustainable Plant Forest Management Certification Institution
5.8 Confidentiality 5.8.1
PHTL Certification Institute must obtain a sufficient requirement according to the regulations in information confidentiality from the certification activities at all level within the organization.
5.8.2
Except being required in the PHTL certification system, information on a management unit may not be given to any third party without a written consent from the management unit. If a certain regulation allows it to be given, the unit must be informed according to the existing regulation.
5.8.3
Especially for information from the management unit that states open for public by PHTL certification system, the PHTL certification institute can provide the information to the inquirer without any agreement from the management unit.
5.9 Publication 5.9.1
PHTL certification institute must obtain policies and procedures to publicize information related to the PHTL certification.
5.9.2
Publicized information must be clear and uncontradictory with the guarantee of confidentiality of the agreement between PHTL certification institute and inquiries.
5.9.3
Publication must be done immediately through media that can be accessed by stakeholders, which includes the following: a) All changes related to the standard, requirements, and procedures of the certification. b) Assessed management unit or one with a certification and the certification status.
5.9.4
PHTL Certification Institute provides publication that can be obtained on request, which includes: a) Certification summary of a management unit including information on the unit, Field Assessors, Expert Panel, and evaluation results of the Expert Panel. b) Development of certification implementation conducted on a management unit.
LEI Guide 99-04
General Requirements of Sustainable Plant Forest Management Certification Institution
6. Communication with Accreditation Institution, Certification Advisory Board, and Regional Communication Forum A Certification Institution must create a sound communication regarding Sustainable Plant Forest Management (PHTL) certification with: a) Accreditation Institution b) Certification Advisory Board c) Regional Communication Forum d) Other relevant elements.
7. Personnel of PHTL Certification Institute 7.1 General 7.1.1
PHTL Certification Personnel involved in a certification must have the capability in implementing their function.
7.1.2
Information on qualification, training and experience relevant to each personnel must be maintained and kept up to date by PHTL Certification Institute.
7.1.3
The latest documented technical procedure that explains duties and responsibilities must be presented.
7.1.4
PHTL Certification Institute determines the team of Field Assessors.
7.1.5
Certification Institute needs to determine the facilitators of the certification implementation process. The facilitator must have an equal qualification with Head Field Assessor.
7.2 Facilitators are functioned to facilitate all certification implementation, from field preassessment to decision making and surveillance. Facilitators do not have a voting rights in the decision making process, but they can deliver opinions of PHTL Certification Institution they represent for Field Assessors and Expert Panel’s consideration. 7.3 Field Assessor and Expert Panel qualifications refer to the requirements stated within LEI Guide 99-05 regarding General Requirements of Field Assessors of PHTL Certification and LEI Guide 99-06 regarding General Requirements of Expert Panel PHTL Certification. LEI Guide 99-04
General Requirements of Sustainable Plant Forest Management Certification Institution
7.4 PHTL Certification Institute must obtain procedures to: 7.4.1
Selection of Field Assessors and Expert Panel that refers to regulations on Field Assessors and Expert Panel.
7.4.2
Performance assessment of Field Assessor and Expert Panel during assessment and further monitoring process.
7.5 Personnel Contract 7.5.1
PHTL Certification Institute must oblige Field Assessors and Expert Panel involved in the certification process to sign a contract and other documents stating their commitment to meet the regulations determined by the institute, including matters related with confidentialities and untaintedness of commercial importance, including all past and present relationship with the assessed management unit.
7.5.2
PHTL Certification Institute must guarantee and record the appropriateness of personnel involved in certification activities with requirements within this guide.
7.5.3
Certification Institute must obtain policies and procedures to compensate the tie between Field Assessors and Expert Panel.
7.6 Personnel Records 7.6.1
PHTL Certification Institute must obtain and maintain the latest record on personnel involved in a certification.
7.6.2
PHTL Certification Institute must obtain procedures that guarantees and verifies personnel involved in a certification activities to keep record according to the requirements of this guide.
8. Procedures on Objection Settlement of the Certification Result Objection settlement of the certification result to PHTL Certification Institute refers to LEI Guide 55 regarding Certification Decision Objection Settlement.
LEI Guide 99-04
General Requirements of Sustainable Plant Forest Management Certification Institution
9. Procedures on Using PHTL Ceritifation Certificate, Logo and Pass Label 9.1 If PHTL Certification Institute must provide the right to use PHTL certification certificate, logo or pass label, the management unit which passed the assessment can use them according to the written authorization provided by PHTL Certification Institute. 9.2 PHTL Certification Institute must obtain procedures in taking appropriate actions in overcoming misreference towards a certification system or abuse of PHTL Certification certificate, logo or pass label which can be seen in advertisements, catalogs or other media. 9.3 Procedures on using PHTL Certification certificate, logo and pass label refers to Logo Manual and Policy established by Accreditation Institute.
10.
Surveillance
PHTL Certification Institute must conduct surveillance to the certified management unit based on LEI Guide 99-36.
11.
PHTL Certification System Change
If changes/improvement occurs on LEI Guide, Standard and Document base on stakeholders agreement or LEI resolution, Certification Institute must conduct an assessment using the new certification system to a management unit. The assessment must be done at a maximum of 12 months after the resolution of the new certification system. Clauses on the assessment process needs to be arranged in PHTL Certification Institute quality system and presented in the working contract with the assessed management unit.
LEI Guide 99-04
General Requirements of Sustainable Plant Forest Management Certification Institution