Forest Management (FM) and Chain of Custody (CoC) Certification 7.2 Forest certification is a system of inspection and tracking timber, pulp and other forest products to ensure they have been harvested according to a strict set of guidelines. It is more than just which trees to cut – forest certification also accounts for the social and economic well-being of workers and local communities. The certification process begins in the forest and continues through the entire chain of custody, so the end consumer can be certain he or she is buying an environmentally sound product.
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CONTENTS Background concepts ........................................................................................................................................ 4 1.
Introduction to forest certification ........................................................................................................... 5 1.1
Certification...................................................................................................................................... 5
1.2
Forest certification ........................................................................................................................... 9
1.3
Forest certification schemes: the origins ....................................................................................... 13
2 Forest Management certification: FSC and PEFC schemes and standards .................................................. 19
3.
2.1
Some preliminary concepts on standards...................................................................................... 19
2.2
International reference standards and national/local standard setting process .......................... 22
2.3
Different conception of forest certification ................................................................................... 28
Chain of custody certification and labelling of certified forest products ............................................... 29 3.1
What’s chain of custody ................................................................................................................. 29
3.2
Certification scope: product groups............................................................................................... 31
3.3
Suppliers and material sourcing ..................................................................................................... 33
3.4
Receipt and storage ....................................................................................................................... 37
3.5
CoC systems ................................................................................................................................... 38
3.6
Sales of certified products.............................................................................................................. 45
REFERENCES ........................................................................................................................................................ 50
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Background concepts Certification and responsible supply chain is a growing business in the forestry sector: top down regulations are gradually been replaced or integrated by bottom up – voluntary, market based instruments, such as the certification of forest management activities and chain of custody. By May 2013, the global area of certified forest, as endorsed by the Forest Stewardship Council (FSC) and the Programme for the Endorsement of Forest Certification (PEFC), amounted to 417 million hectares, up 8.5% (32.8 million hectares) since May 2012. The world’s total certified forest area has, for the first time, topped the 10% mark in terms of the proportion of total forest area. In the 12 months to May 2013, some 3,766 more certificates of conformity were issued, representing an annual relative growth rate of 11.8%.
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1. 1 Introduction to forest certification 1.1
Certification
What is certification? Literally: attestation (i.e. issue of a statement) that specifies requirements related to products, processes, systems or persons have been fulfilled (adapted from ISO/IEC 17000, 2005, Definitions 5.2 and 5.5). Certification is one of a number of market-based instruments that may contribute to improved management of forests and improved forestry sector development. The goal is to link trade in forest products to the sustainable management of the forest resource, by providing buyers with information on the management standards of the forests from which the timber came. As an instrument it has both strengths and weaknesses which vary with the specific circumstances of the country, the ownership of the forests, the social environment and last, but certainly not least, the markets being served. Check the FAO certification definition!
!!! For the purposes of this module we will refer to 3rd party accredited certification systems.
Standard 1. A document, established by consensus and approved by a recognized body, that provides, for common and repeated use, rules, guidelines or characteristics for activities or their results, aimed at the achievement of the optimum degree of order in a given context. (ISO/IEC Guide 2:1996, Definition 3.2). 2. Something used as a measure, norm, or model in comparative evaluations (Oxford Dictionaries).
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Different approaches:
Fig. 1 graphics describing the different certification approaches
different types of requirements: o System-based: how to organize the management system for continuous improvement? How to assess progresses? → mainly DESCRIPTIVE requirements (e.g. ISO 14001) o Performance-based: how to organize the management system for fully complying with pre-defined minimum performance level? → mainly PRESCRIPTIVE requirements (e.g. FSC)
Fig. 2 certification scheme (performance based).
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Certification standards for the forestry sector Many “unspecific” standards can be implemented also in the forestry sector (e.g. ISO 9001, 14001, OHSAS, EMAS Regulation…): Focus on different process aspects: environmental management systems, quality management systems, social accountability; And product aspects: e.g. origin, environmental performances, social equity. Some examples:
http://www.dmi.ca/about_ dmi/dmi_in_alberta/prpd/
http://www.strathconapaper.c om/quality/iso_9000.htm
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http://www.bmlfuw.gv.at/en/ ministry/Statement/EMAS.html
Product environmental performances (e.g. EU Ecolabel for paper, wooden floor, furniture).
Social equity (e.g. Fairtrade standard for Timber for Forest Enterprises sourcing from smallscale / community-based producers).
Origin, typical products (e.g. EU PGI)
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1.2
Forest certification
Certification process specific for the forestry sector; to provide evidence forests are managed in a sustainable way and to give guarantee forest products derive from these sources. A key point: what is sustainable forest management (SFM)? Sustainable forest management in the broad sense, is aimed at ensuring the continued availability of wood and non-wood products and environmental, social and cultural services which forests and forest ecosystems provide, is the basis for sustainable development of the forestry sector (FAO, 2001). Which standards? The World Trade Organization places forest certification standards in the category of process and production methods standards, which in this case specify how natural resources are managed and how harvesting is carried out. The forest products and timber industry has adopted different certification standards for sustainable management as a regulatory measure. These standards attempt to address the operation of the entire industry, rather than building niche markets for specialty products (Fischer, Aguilar, Jawahar, & Sedjo, 2005). Forest certification standards o Many “unspecificâ€? standards can be implemented also in the forestry sector (e.g. ISO 9001, 14001, OHSAS‌); o Some standards have been specifically developed for the forestry sector. Globally there are 90 national certification schemes! Some examples are: -
SFI (Sustainable Forestry Initiative) => U.S. and Canada - http://www.sfiprogram.org/ MTCC (Malaysian Timber Certification Council) => Malaysia - http://www.mtcc.com.my/ LEI (Indonesian Ecolabel Institute) => Indonesia - http://www.lei.or.id/
But only 1 single international scheme: FSC And 1 network of coordinated forest certification schemes: PEFC
Fig. 3 trend in certified forest area worldwide from 1993 in advance (FAO, 2009).
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Certified forest area is about 10% of the global forest cover! From forests to final products:
Including non-wood forest products:
…and in the future ecosystem services? FSC Ecosystem Services Projects ForCES - Expanding FSC certification to Ecosystem Services; Carbon Working Group… http://ic.fsc.org/ecosystem-services.124.htm PEFC and Ecosystem Services Carbon, Biodiversity, Water… http://www.pefc.org/forest-issues/sustainability 10
Forest certification worldwide
Fig. 4 FSC/PEFC certified forest area worldwide (1997-Dec 2012), hectares (ETIFOR, 2013). FSC/PEFC certified forest area worldwide (1997-Dec 2012), hectares (ETIFOR, 2013).
Fig. 5 Certified forest area per continent (%)
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CoC certificates
Fig.4: FSC/PEFC chain of custody certificates 1997-Dec 2012 (ETIFOR, 2013).
COC certificates per continent (%):
Some preliminary considerations: Forest certification schemes may differ (among other things) in terms of: o governance mechanisms (who is involved and how? how are decisions taken?) o standards (how are standards developed/approved? what are their scope and consistency? what are their contents (requirements, issues, approaches)?...) o certification (what type of certification mechanisms are in place? what’s the level of control?) 12
o accreditation (who is in charge for accreditation?).
1.3 Forest certification schemes: the origins
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Fig. 6 intergovernmental processes for SFM criteria and indicators
PEFC: rationale and origins (http://www.pefc.org/) The Programme for the Endorsement of Forest Certification (PEFC) is an international non-profit, non-governmental organization dedicated to promoting Sustainable Forest Management (SFM) through independent third-party certification. PEFC is an umbrella organization. It works by endorsing national forest certification systems developed through multi-stakeholder processes and tailored to local priorities and conditions. Background considerations by PEFC beginners: o FSC is a scheme (mainly) developed for tropical forests; o In Europe forest are well managed under quite strict rules and on the basis of a long tradition: no needs to demonstrate what is already evident. FSC certification is an unsustainable cost for the small forest owners and an “unfairâ€? competitive advantage for the large ones ďƒ In 1998 a new umbrella scheme was created: the Pan-European Forest Certification (PEFC) scheme based on C&I of the Pan-European Process.
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PEFC: an umbrella system => endorsement
Fig. 7 PEFC framework and functioning system
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PEFC: governance and stakeholders o PEFC mainly originated from forest owner organizations in 6 countries (AUT, FRA, GER, NOR, FIN, SWE); o 11 countries signed the statutes of PEFC in Paris (1999); o Today National members from 37 countries.
Fig. 8 13rd PEFC General Assembly (Nov. 2009, Paris, FR)
Fig. 9 Inaugural PEFC General Assembly (Paris, 1999)
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PEFC national members (National Governing Bodies, NGBs) National members (or "National Governing Bodies") are independent, national organizations established to develop and implement a PEFC system within their country.
Fig. 10 map of PEFC national members (ETIFOR, 2012).
PEFC International Stakeholder Members International Stakeholder membership is open to entities operating in two or more countries, or legally registered as international organizations. Companies, organizations and associations whose principles and objectives are supportive of PEFC are welcome to apply. International Stakeholder members have the same rights and obligations as all other PEFC members. o APP Timber o Association Technique Internationale des Bois Tropicaux (ATIBT) o Building and Wood workers' International (BWI) o Confederation of European Forest Owners (CEPF) o Confederation of European Paper Industries (CEPI) o Earth Focus Foundation o European Network of Forest Entrepreneurs (ENFE) o European Tissue Symposium (ETS) o Fibria o International Family Forestry Alliance (IFFA) o Meadwestvaco o Mets채 Group 17
o SmurfitKappa o StoraEnso o Union of Silviculturists of Southern Europe (USSE) PEFC Extraordinary Members o European Confederation of Woodworking Industries (CEI-Bois) o European Landowners' Organization (ELO) o European Timber Trade Association (FEBO) o Fédéeration Européene des Communes Forestières (FECOF) o Manufacturers of Educational & Commercial Stationery European Association (MECSEA) o Union of European Foresters (UEF)
Extraordinary members can become International S.M. New members cannot enter this category any more.
Fig. 11 structure of PEFC General Assembly (ETIFOR, 2012).
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2 Forest Management certification: FSC and PEFC schemes and standards Forest Management certification is the process by which a third party, independent body confirms that a specific area of forest is being managed in line with given FM standards.
2.1 Some preliminary concepts on standards A standard is a set of principles, criteria and indicators, (P, C & I) or at least a combination of these hierarchical levels that serve as a tool to promote sustainable forest management (SFM) as a basis for monitoring and reporting, or as a reference for assessment of actual forest management (Lammerts van Bueren & Blom, 1997). Hierarchical framework: o Logical connection o Comprehensiveness (no overlaps) o Coherence
Verifiers, are‌ Documents, management system elements, etc. where evidences of compliance with the standard can be found; not binding elements of the Standard, but useful tools for: Auditing → ideas/suggestions to the auditor: o where to look for evidences o reference values (e.g. ranges) Managing → ideas/suggestions to the manager: o where to include/register evidences that can prove Standard is respected o reference values
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Example 1: principles, criteria and indicators
Example 2: principles, criteria and indicators
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Exercise 1: indicate which of these are Principles, Criteria and Indicators
2.2
International reference standards and national/local standard setting process FSC (Forest Stewardship Council) FSC is a global, multi-stakeholder, not-for-profit organisation dedicated to the promotion of responsible forest management worldwide in order to meet the social, ecological, and economic rights and needs of the local and global communities and stakeholders. To achieve this FSC facilitates the development of standards, ensures monitoring of certified operations and protects the FSC trademark so consumers can choose products that come from well managed forests. The FSC Principles and Criteria (P&C) set out the global requirements for achieving FSC forest management certification. However, any international standard for forest management needs to be adapted at the regional or national level in order to reflect the diverse legal, social and geographical conditions of forests in different parts of the world.
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https://www.youtube.com/wat ch?v=wnDkXWNDsDE&list=TLpj -
The key-document is: FSC Principles and Criteria for Forest Stewardship (FSC-STD-01-01) 10 Principles, 56 Criteria defined at international level (recently revised).
https://ic.fsc.org/standard-setting.212.htm FSC principles cover SOCIAL, ECONOMIC and ENVIRONMENTAL aspects:
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FSC national standard setting process All FSC standards and policies are developed by the Policy and Standards Unit based at the FSC International Center in Bonn. Proposals for development of new normative documents may come from any stakeholder. They often originate from membership motions passed at the General Assembly, or the Board of Directors. Stakeholders are invited to comment on proposals before they are presented to the Board of Directors for decision taking.
FSC national standards The FSC Forest Management Program advises National Standards Development Groups (SDGs) as they work through the process of developing a National Forest Stewardship Standard. This process requires the addition of indicators, verifiers, norms, guidance and in some cases interpretations to the FSC P&C. The FSC P&C together with a set of such indicators approved by the FSC International Board’s Policy and Standards Committee (PSC), constitute an FSC National or Regional Forest Stewardship Standard. 24
Fig. 12 map of the approved FSC standards worldwide and of that under review or development
FSC generic standards Where endorsed FSC National/Local standards are not in place, accredited CBs can develop their own generic standards (FSC-STD-20-003): o o o o
based on FSC P&C and other relevant FSC international documents considering any existing FSC standard developed by local FSC offices stakeholder consultation checked by ASI
PEFC (Programme for the Endorsement of Forest Certification) In line with the idea of "Think Global, Act Local," PEFC requires all standards to be fully developed at national level and in compliance with PEFC International's Sustainability Benchmark. The key-document is: Sustainable Forest Management Requirements (PEFC ST 1003:2010) PEFC National standards existing before 12th May 2010 still based on “old� Annex 3 to PEFC Technical Document.
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http://www.pefc.org/standards/overview To ensure consistency across all PEFC-endorsed standards, all national systems wishing to be PEFC recognized undergo rigorous independent assessment to ensure their compliance with PEFC’s Sustainability Benchmarks.
https://www.youtube.com/ watch?v=ZGHuse425rE
PEFC reference standards Sustainable Forest Management Requirements (PEFC ST 1003:2010) a) General requirements for SFM standards b) Specific requirements for SFM standards = Pan-European Criteria and Indicators for SFM + law compliance Appendix 1: guidelines for interpretation of requirements for plantation forestry Appendix 2: guidelines for interpretation of requirements for tropical forests = Under development, ITTO Criteria and Indicators 26 for SFM (2005)
Specific requirements for SFM standards (PEFC ST 1003:2010): 7 Criteria + 66 Indicators 1. Maintenance and appropriate enhancement of forest resources and their contribution to global carbon cycles; 2. Maintenance of forest ecosystem health and vitality; 3. Maintenance and encouragement of productive functions of forests (wood and non-wood); 4. Maintenance, conservation and appropriate enhancement of biological diversity in forest ecosystems; 5. Maintenance and appropriate enhancement of protective functions in forest management (notably soil and water); 6. Maintenance of other socio-economic functions and conditions; 7. Compliance with legal requirements. Standard setting and endorsement
PEFC endorsed systems
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2.3 Different conception of forest certification
Some general considerations PEFC’s greatest strength – the commonality of the meta-standard that retains the flexibility of local schemes – is also arguably its greatest weakness as well. National and international standards are merely empty frameworks, and rely upon a wide variety of other factors to make them ‘live’ (Z/YenGroup, 2008)). PEFC Governance Review).
PEFC is relying almost entirely on ISO standards which are well-known to have a strong focus on systems rather than focus on actual field enforcement of the certification requirements. (NEPCon, 2012). Comparative analysis of the PEFC system with FSC Controlled Wood requirements, p. 36).
o Two main aspects: (a) PEFC meta-standard mainly has a system-based approach (b) potential differences among national standards
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o National standards still may present relevant differences: e.g. GMOs allowed or not, forest conversion allowed or not, ILO Convention 169 included or not… o PEFC ST 1003:2010 to become fully enforced from 12th May 2013.
3.
Chain of custody certification and labelling of certified forest products
Chain of Custody certification applies to manufacturers, processors and traders of FSC certified forest products. It verifies FSC certified material and products along the production chain. Chain of Custody certification verifies that certified material is identified or kept segregated from noncertified or non-controlled material through this chain.
3.1What’s chain of custody “The path taken by raw materials, processed materials, finished products, and co-products from the forest to the consumer or (in the case of reclaimed/recycled materials or products containing them) from the reclamation site to the consumer, including each stage of processing, transformation, manufacturing, storage and transport where progress to the next stage of the supply chain involves a change of ownership (independent custodianship) of the materials or the products” (FSC, 2007). “Process of handling of information on the origin of forest based products which allows the organisation to make accurate and verifiable claims on the content of certified material” (PEFC, 2010).
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The rationale If just one of the “chain rings“ is not validly certified, than downstream materials/products cannot be considered as certified.
Reference standards Forest Stewardship Council (FSC) o FSC-STD-40-004 Chain of custody FSC-STD-40-004a Product classification FSC-PRO-20-001 Evaluation of FSC Values Health and Safety in COC o FSC-STD-40-005 Controlled wood o FSC-POL-40-002 COC Group Certification o FSC-STD-40-003 Multisite COC certification o FSC-STD-40-006 Project certification o FSC-STD-40-007 Reclaimed material o FSC-STD-50-001 Logo usage o FSC-DIR-40-004 Directives on COC
Programme for the Endorsement of Forest Certification schemes (PEFC) o PEFC ST 2002:2010 Chain of custody o PEFC ST 2001:2008 Logo usage rules o PEFC GD 1005:2010 PEFC logo use licenses o PEFC Logo Usage Toolkit o Guidance for the Implementation of PEFC Chain of Custody for Specified Projects
General considerations on COC standards … and some others Requirements for COC include:
general system requirements specific requirements (= COC systems) extra requirements (e.g. outsourcing, reclaimed material, controlled wood/controversial sources, minor components …) depending on the specific situation
Complementary rules regard the (facultative) use of the trademarks by certified organizations. General system requirements Responsibilities: “who does what” + management representative (COC responsible person); 30
Procedures: implementation and maintenance of procedures and/or work instructions (define the personnel responsible for each procedure); Training: training plan and activities for all relevant personnel; Records: for at least 5 years (orders, production documents, training documentation, sales documentation‌). Some key points in the COC are: Identification of product groups, Suppliers and sourcing, Receipt and storage, Production + labeling, Sales.
3.2Certification scope: product groups The organization shall identify the product groups covered by COC certification = products then can be produced/sold/labeled as certified. o PEFC: The product group shall be associated with (i) a single product type or (ii) a group of products, which consist of the same or similar input material according to, for example species, sort, etc. o FSC: A product or group of products specified by the organization, which share basic input and output characteristics and thus can be combined for the purpose of FSC certification A product group list shall be made public available and kept up-to-date (see http://info.fsc.org) o http://www.nepcon.net/files/resource_2/2011/3%20March/FSC-STD-40-004a_V2-0_D10_EN_FSCProductClassificationDRAFT.pdf o http://www.dmi.ca/about_dmi/dmi_in_alberta/prpd/ems/documents/PEFCCoCManualRev 3.2.pdf
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FSC category of the product group (FSC 100%, FSC Mix, FSC Recycled or FSC Controlled Wood)
Product type(s) => FSC-STD-40-004a
Level 1
Level 2
Level 3
Example
FSC Product group list, contents: o FSC category of the product group (FSC 100%, FSC Mix, FSC Recycled or FSC Controlled Wood) o product type(s) => FSC-STD-40-004a o species => Germplasm Resources Information Network (GRIN) Database o the material categories used as input o the control system used for making FSC claims (transfer system; percentage system; or, credit system) o the sites involved in management, production, storage, sale, etc. 32
o conversion factor An example:
At least “a”, “b” and “d” public available (http://info.fsc.org).
3.3 Suppliers and material sourcing Materials entering a PEFC certified organisation shall be classified as: o o o o
Certified material (from PEFC certified suppliers) Recycled material Neutral material (= other than forest material) Other material (forest material) from non-controversial sources from controversial sources => to be excluded
PEFC recycled material Material diverted from the waste stream during a manufacturing process. Excluded is reutilization of materials such as rework, regrind or scrap generated in a process and capable of being reclaimed within the same process that generated it. Excluded are by- products such as sawmilling by-products (sawdust, chips, bark, etc.) or forestry residues (bark, chips from branches, roots, etc.) as they do not represent “waste stream”; and generated by households or by commercial, industrial and institutional facilities in their role as end-users of the product which can no longer be used for its intended purpose. This includes returns of material from the distribution chain. Materials entering a FSC certified organisation shall be classified as: o o o o
Certified material (from FSC certified suppliers) Post-consumer recycled material Pre-consumer recycled material Other virgin forest material 33
Controlled wood Uncontrolled wood => to be excluded FSC recycled material Material that demonstrably would have otherwise been disposed of as waste or used for energy recovery, but has instead been collected and reclaimed as input material, in lieu of virgin material, for re-use, recycling, re-milling in a manufacturing process or other commercial application. Identified on the basis of FSC-STD-40-007 => ›
Distinction between pre-consumer and post-consumer reclaimed material;
›
Verification by means of documents and on-field suppliers audit (sample: y = √x)
›
Assessment by an accredited CB
What shall be checked?
Where/how to check?
o Supplier’s certification code/number
o Purchase documentation (invoice)
o Certificate expiry date
o Copy of the certificate
o Certificate scope
o Online databases
o Certificate validity status PEFC certification number
Numerical or alpha-numerical combination (it can change depending on the certification body and country), examples: o ICILA-GFSPEFC-001 o SGS-MTCS/FM-0102 o SGS-PEFC/COC-1075 o BR008928-1 o …
Note: the PEFC logo licence number is NOT the same as the Sustainable Forest Management or Chain of Custody certificate number. 34
FSC certification code FSC Certificate Codes are found on invoices from FSC certified companies and the codes follow the format: AAAA-XXXX-nnnnnn. The first set of letters is an abbreviation of the Certification Body who provided the certification services. The second set of letters refers to the type of certification - FM (Forest Management), COC (Chain of Custody), CW (Controlled Wood) or FM/COC (combined Forest Management and Chain of Custody). The six digits are a unique number for that company.
Purchase documentation It shall allow the identification of the certified material and its correct classification: o clear identification of certified material o certification claim (including relevant %) o certification code/number Certified material is basically identified on the basis of documents (labelling is not compulsory). An invoice (FSC)
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FSC database (http://info.fsc.org/)
Online PEFC databases (http://www.pefc.org/certification-services/find-certified)
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PEFC certificate holders database (http://register.pefc.cz/search1.asp)
3.4 Receipt and storage Inputs used for certified product groups shall remain clearly identifiable and separable, e.g.: o in terms of space; o in terms of time; o means of identification (labels, barcodes, product characteristics…)
Social health and safety requirements PEFC Appendix 4 to PEFC ST 2002:2010 (http://www.scsglobalservices.com/files/standards/pefc_st_20022010_v10_en_cocstandard_20101126.pdf) Organization’s commitment to implement and comply with the social, health and safety requirements based on ILO Declaration on Fundamental Principles and Rights at Work (1998): o workers’ freedom of associations and rights for collective bargaining; o prohibition of forced labour; 37
o minimum age for the employment; o equal employment; o occupational health and safety. Occupational health and safety FSC The organization shall declare not be directly or indirectly involved in the following activities: o illegal logging or the trade in illegal wood or forest products; o violation of traditional and human rights in forestry operations; o destruction of high conservation values in forestry operations; o significant conversion of forests to plantations or non-forest use; o introduction of genetically modified organisms in forestry operations; o violation of any of the ILO Core Conventions, as defined in the ILO Declaration on Fundamental Principles and Rights at Work (1998). Additionally, evidence of commitment to labor health and safety: o Responsible figure/person for health and safety issues o Internal procedures o Training Some other general requirements PEFC internal audit - The organization shall conduct internal audits at least annually covering all requirements of this standard and establish corrective and preventive measures if required. A report on the internal audit shall be reviewed at least annually. FSC material balances - For each product group the organization shall establish a material accounting record to ensure that at all times the quantities produced and/or sold with FSC claims are compatible with the quantities of inputs. For each product group the organization shall prepare annual volume summaries providing quantitative information for each material category received/used and product type produced/sold
3.5 CoC systems o They allow to define the kind of claim and labelling o Central role in the COC o Some differences between different schemes and standards
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COC systems: FSC o When only FSC certified inputs are used o Input category is transferred to the outputs o If FSC inputs with different FSC% claim are mixed, the lower one shall be used to claim the outputs o Physical separation is required + records o Compulsory for: FSC 100%, for trading in finished products and NTFPs used for food and pharmaceutical purposes o Tipicaly: traders, brokers, solid wood product producers or sellers‌
The FSC category is transferred from the input to the output
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If inputs from different categories are mixed: lower claim for the output
Percentage system FSC and non FSC mixed inputs; Labelling: FSC and/or post consumer reclaimed material) inputs shall be higher than 70% (in weight or volume) of the total inputs (>85% for FSC Recycled Label). Main requirements: o conversion factors from inputs to outputs o percentage verification system in place o records Output categories: FSC MIX or FSC RECYLCED The FSC % is calculated according to the following: (when mixing certified and uncertified inputs)
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An example:
Credit system o In-Out system: the organization gets FSC credits when purchasing certified/reclaimed material and withdraws credits when selling products; o The quantity of FSC products sold as such within a certain period cannot overcome the overall FSC credit amount in the same period; o Typically for continuous industrial processes (e.g. paper production)
Output categories: FSC MIX or FSC RECYLCED
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Example (let’s consider the first 2 months)
COC system: PEFC o It can be adopted when just PEFC certified inputs are in use o The organization shall ensure that the certified material is separated or clearly identifiable at all stages of the production or trading process o The physical separation method may apply to: ďƒ˜ certified products with the same content of certified material; or ďƒ˜ certified products with various content of certified material => new % to be calculated as mean value.
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Percentage based method In the case of organizations mixing certified material/products with other material categories. The percentage is calculated according to the following:
The percentage can be calculated as: o Single percentage = certification % is based on material physically included in the specific products of the product group for which the percentage is calculated. o Rolling percentage = certification % calculated for the specific product group and claim period based on material procured in the specified material input period preceding the claim period. The claim period shall not exceed 3 months and the material input period shall not exceed 12 months. Transfer of the calculated percentage to the outputs can be done according to either: o Average percentage method = the calculated certification % shall be used for all the products covered by the product group for which the calculation has been made. No minimum threshold for the certified % is set to use the average percentage method. However, the certified percentage is always a part of the claim delivered to the customer. PEFC National Schemes may however determine a minimum threshold for the usage of its label.
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o Volume credit method It includes 2 different methods: ďƒ˜ certification percentage and volume of output products; ďƒ˜ input material and input/output ratio Certification percentage and volume of output products = multiplying the volume of output products of the claim period by the certified percentage for the relevant claim period.
Input material and input/output ratio = multiplying the volume of input certified material by the input/output ratio.
Different inputs, different labels
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In general
3.6 Sales of certified products Sales documents (e.g. invoices) shall report: o clear identification of certified material o certification claim (incl. relevant %) o certification code/number There must be a link between ship/transport documents and invoices. Use of FSC and PEFC trademarks 45
The trademarks may be used in a variety of ways, to communicate with different groups of people for different reasons. Most of the times, the trademark is used as a label on products, to demonstrate that a specific product was derived from a responsibly managed forest. Other uses include off-product use, to make claims about the management of a particular area of forest, or on stationary and promotional materials. o Registered marks (authorizations needed, graphic requirements to be respected, legal protection); o Specific graphic requirements defined by standards and guidelines; o 2 different ways of using the trademarks: ďƒ˜ On-product = to indicate a certain product is certified (labeling) ďƒ˜ Off-product = for promotional uses as brochures, catalogues, web-sites, banners‌ On-product labeling
Off-product (promotional)
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Extra requirements on specific issues: o Outsourcing & subcontractors (both FSC and PEFC, but different rules) o Minor components (just for FSC) => to be phased-out Outsourcing and subcontractors PEFC The organization shall take full responsibility for all the subcontracted activities in relation with the organization’s COC. There’s a written agreement with all subcontractors ensuring that the organization’s material/products are physically separated from other material or products. The internal audit programme shall cover the subcontractor’s activities. FSC Three different situations:
1.
o agreement or contract covering the outsourced process with each contractor; o right of the FSC-accredited CB to audit the outsourcing contractor; o control system with explicit procedures for the outsourced process which are shared with the relevant contractor; o records; o contractors do not themselves outsource processing. 2.
o agreement or contract covering the outsourced process with each contractor; o records; 47
o the contracting organization’s license code shall be used, if the product shall be FSC labelled; o the contractor is subject to evaluation and monitoring by its own certification body (= exemption from a potential inspection by the contracting organization’s certification body) 3.
o the input material for the contract work is shipped directly to the contractor, i.e. the contracting organization does not obtain physical possession of the input material; o the contractor is provided with a copy of the invoice(s); o the output product provided by the contractor is: (a) a finished product; (b) FSC labelled; and (c) branded with the name, label or other identifying information of the contracting organization. o the contractor uses its license code in the FSC label and submits the proof to its CB for approval.
Minor components (FSC – FSC-PRO-40-004) => (http://www.rusregister.ru/FSC-PRO-40-004_V22_EN.pdf) Definition: parts of a certified product not available as certified, controlled or recycled; may reach up to 5% the weight or volume of the virgin and reclaimed materials in the product. Not allowed for: solid wood veneer used as visible face veneer on top of other materials; components made from species listed in CITES Appendixes I, II and III. 2 different situations: < 1% or between 1 and 5% o < 1% Written application explaining why it’s impossible to get the components as certified, controlled or recycled; o between 1 and 5% Written application including: › technical specifications & descritpion › material demand and current supply › market supply analysis › action plan (annual targets) › monitoring & reporting 48
Non timber forest products
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REFERENCES Fischer, C., Aguilar, F., Jawahar, P., & Sedjo, R. (2005). Forest Certification : Toward Common Foreign Investment Advisory Service of the Forest Certification : Toward Common Standards ? FSC. (2007). Accreditation Standard for Chain of Custody Evaluations, 49(228). Lammerts van Bueren, E. M., & Blom, E. M. (1997). Hierarchical framework for the formulation of sustainable forest management standards. NEPCon. (2012). Comparative analysis of the PEFC system with FSC TM Controlled Wood requirements, (May), 1–76. PEFC. (2010). Requirements for PEFC scheme users Chain of Custody of Forest Based Products Requirements, 41(0), 1–33. Z/YenGroup. (2008). PEFC GOVERNANCE R EVIEW.
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