ANNEX 5
Certification Standard of PEFC Lithuania
1. Certification bodies
Certification bodies carrying out forest management and/or chain of custody of forest based products certification shall be accredited by the National Accreditation Bureau (NAB) under the Ministry of Environment of Republic of Lithuania. NAB realizes the policy of the Government of the Republic of Lithuania in the field of accreditation and it is the member of European Accreditation (EA). EA now covers all European conformity assessment activities including Environmental verification under the European Eco-Management and Audit Scheme (EMAS; EC regulation 761/2001). The national EMAS institutional structure in Lithuania was completed in 2002. The Competent Body is the Lithuanian Environmental Protection Agency and the Accreditation Body is the NAB.
To be accredited in NAB certification bodies shall meet common requirements which are described in Regulations of Accreditation of certification bodies (Appendix 2) and shall undertake forest management and/or chain of custody of forest based products certification as a part of the EMAS. Information on accreditation including accreditation number and name of accreditation body shall accompany any issued certificate. Each certification body shall have established internal procedures for forest management certification against PEFC Lithuania Certification Standard and for chain of custody certification against International C-o-C Standard of Forest Based Products.
The accredited certification bodies will receive applications from forest owners or managers to carry out independent audit against PEFC Lithuania Certification Standard on individual, group or regional level as well as from forest products processors, manufactures, retailers and wholesalers to carry out chain of custody certification against International C-o-C Standard of Forest Based Products.Forest owners, governors and users may select the certification body they prefer from the list of organizations, which carry out such kind of certification and are accredited by the NAB. Certification body contracts qualified Audit Team (basic qualification requirements for auditors are described in Annex 5, Chapter 5), which carries out an audit.
2. The certification process
The key steps of the certification process are set out in Table 1. The main step is the audit which is carried out by the certification team. The qualification of team members must be sufficient to ensure that they are able to assess compliance with requirements of the standard. Verification is carried out collecting objective evidence of forest management and usage compliance against each requirement of the standard. The following main means of verification of compliance against the standard are to be used:
1. Inspection of various documents.
2. Field observation.
3. Discussions with forest owners, governors, users and employees as well as all other interested parties (local communities, non governmental organizations (NGO’s) or other groups).
Table 1. Key steps of certification.
No. / Step / Short description of the step1. / Application / Certification body gets written application to carry out certification. Agreement concerning the costs of certification is made.Certification contract is signed.
2. / Audit / Certification body carries out an audit of forest management and usage against certification standard of PEFC Lithuania.
3. / Issuance of certificate / If the evaluation is positive a certificate is to be issued.
4. / Monitoring / Certification body carries out the monitoring of forest management and usage observing that management and usage of certified forest would be in compliance with an established standard. Certification body checks out that any shortcomings noticed during the audit would be eliminated within the prescribed period of time.
Annual monitoring is carried out in certified forests and after 5 years each forest mustundergo repeated certification.
3. Structure of the certification standard
PEFC Lithuania requirement – forest management must comply with relevant requirements and auditors will check that each requirement is being met.
Means of verification – the type of objective evidence- documents, actions or discussions- the auditor should consider in order to verify that the requirement is being met. The verifiers suggested are not exclusive or exhaustive – auditors will not always need use all the verifiers suggested, and may seek verification in other ways.
Type of indicator – compulsory or recommended indicator.
Results of the assessment – it is the guidance to auditor which enables him to use quantitative and objective evaluation system.
Certification level – it is the level on which particular indicator is applicable. There are three levels: individual, group and regional certification.
4. Explanations concerning application of the standard
The forest management must be carried out according to requirements set by certification standard. Certification standard consists of 8 chapters. Auditors rate fulfilment of each requirement in marks. To get the certificate for the first time, the forest under certification must collect at least 50% of possible sum of marks in each from 8 chapters of the certification standard (only compulsory requirements should be counted). Compulsory requirements, which were not implemented (mark 0) or partly implemented (mark 1), have to be implemented within the certified forest during the time frame set by certification team (in their report auditors raise conditions which specific requirements have to beimplemented). During the annual monitoring certification team will check are the conditions raised in their report are implemented. Validity period of the issued certificate is not longer than 5 years. Forest owners, governors or users who would like to renew the validity of the certificate will have to ensure that until that time their forests comply with all compulsory requirements of the certification standard.
In the case of group and regional certification of forest holdings which are larger than 1000 ha,audit have to be carried out surveying only the representative sample, i.e. some part of the forest under certification. During the field work a certain number of places are visited. This number depends on the area of forest under certification, extent of forestry operations, number of protected objects and territories. All places which have to be visited can be grouped into 6 main categories: fellings done before the certification, forestry operations ongoing during the auditing process, reforestation works done before the certification, damaged forest areas (fires, pests, ungulates etc.) protected objects and other important objects. The number of visited objects has to be summarized in Table 2. If, within the forest under certification, there are no objects of a certain type in the table cell “number of visits” the word “ABSENT” have to be written. In all other cases the number of objects of the given type has to be recorded.
When carrying out group certification in forest holdings which are smaller than 100 ha an audit have to be performed using the method of pre-selection. Only a part of forest holdings belonging to each forest owner or user participating in the group certification have to be pre-selected for initial (primary) audit (from 2 up to 10 forest holdings, details in Table 3). Pre-selection of forest holdings have to be done in random way but, before the sampling, forest holdings have to be grouped dependingon of types of dominating forest stands. From these groups forest holdings which will be subjected to audit are selected randomly respecting following rules:
- Primarily forest holdings with dominating oak or other broadleaved trees stands are selected for auditing. In case if there are several forest holdings of such type initial audit have to be done in the largest one.
- For initial audit forest holdings which size is larger than 1 ha have to selected (if it is possible). This requirement has not to be applied in cases when forest holding which size is lesser than 1 ha is within the territory of protected area.
- If after grouping forest holdings the number of groups is bigger that the number forest holding which have to be audited during that year the following procedure has to be undertaken. Firstly required number of groups is randomly pre-selected and then required number of forest holdings is randomly selected within each pre-selected group.
When carrying out annual audits (during the second – fifth years of certificate validity period) forest holdings which where not inspected during the previous years have to be selected for auditing as well as it have to be checked how corrections appointed by auditors are implemented in forest holdings visited during the earlier inspections.
When carrying out group certification in forest holdings which are smaller that 1000 ha but larger than 100 ha, basing on auditors’decision, the whole forest holding can be surveyed or only representative sample within the territory of the given forest holding inspected. In latter case specific objects are visited as described above in the methodology of auditing forest holdings which are larger than 1000 ha.
In the case of group and regional certification, auditors have to inspect the set of documents, which have to be examined according to the requirements of the certification standard, and which have to be presented by not less than 50% of forest owners, governors or uses who participate in the certification process. In the case of regional certification these forest owners, governors or uses have to govern or use not less than 50% of the area of the forest under certification. When carrying out field work, in the case of group certification, only forest holdings belonging to members of the given group have to be visited. When carrying out field work, in the case of regional certification, the forest holdings governed or used by forest owners, governors or uses who participate in the certification as well as the forest holdings governed or used by forest owners, governors or uses who do not participate in the certification have to be visited.
Table 2. Objects to be visited during certificationand the number of visits.
No. / Object type / Number of visits1. / Fellings done before the certification: / -
1.1. / Clear cuttings
1.2.. / Selective final cuttings
1.3. / Other selective cuttings
1.4. / Commercial thinning (1)
1.5. / Commercial thinning (2)
1.6. / Sanitary cuttings
1.7. / Pre-commercial thinning
2. / Forestry operations ongoing during the auditing process (fellings, timber extraction, soil preparation for afforestation)
3. / Reforestation works done before the certification: / -
3.1. / Afforestedclear cut areas
3.2. / Clear cut areas left for natural regeneration
4. / Damaged forest areas (burnt forest, pests, cervids)
5. / Protected objects: / -
5.1. / Protected territories
5.2. / NATURA 2000 territories
5.3. / Protectednature monuments, cultural, historicaland other important objects
5.4. / Riparian zones of water bodies
5.5. / Localities of Lithuanian Red Data Book species
5.6. / Localities of NATURA 2000 species
5.7. / Nests of rare birds
5.8. / Woodland key habitats
6. / Other important objects: / -
6.1. / Wood-yards
6.2. / Fire break lines, block lines
6.3. / Storage places of chemicals
6.4. / Roads
Total:
Forest stands with dominating tree species visited during field work (visited stands should be underlined): Oak Pine Spruce Birch Ash Lime Hornbeam Other deciduous Other coniferous
Table 3. Dependence between the number of forest holdings belonging to one owner and the number of forest holdings to be audited.
Number of forest holdings belonging to one owner / Number of forest holdings to be audited during the 1st year / Number of forest holdings to be audited during the 2nd-5th years2-5 / 2 / 1
6-10 / 3 / 2
11-15 / 4 / 2
16-20 / 5 / 3
21-30 / 6 / 3
31-40 / 7 / 4
41-60 / 8 / 4
61-80 / 9 / 5
81-100 / 10 / 5
5. Basic qualification requirements for auditors
Forest management certification Audit Team consists of Audit Team Leader, one or more Auditors and, if necessary, one or more Technical Experts in specific subjects.
Minimum qualifications of audit team leader have to be following:
1. Master Degree in forestry, biology or ecology (qualification: forester, biologist, master of ecology and environmental studies) got at the university.
2. Five years working experience in forestry sector.
3. Document about completion of PEFC Lietuva training course on PEFC Lithuania certification standard and its practical application.
Minimum qualifications of auditor have to be following:
1. High education university degree or high education non-university studies certificate (qualification: forester, biologist, bachelor/master of ecology and environmental studies, forestry technologist, forestry engineer, environmentalist).
2. Three years working experience in relevant job.
3. Document about completion of PEFC Lietuva training course on PEFC Lithuania certification standard and its practical application.
Minimum qualifications of technical expert have to be following:
1. High education university or high education non-university studies certificate in relevant field.
2. Document about completion of PEFC Lietuva training course on PEFC Lithuania certification standard and its practical application.
Chain of Custody certification Audit Teamconsists of Audit Team Leader, one or more Auditorsand, if necessary one or more Technical Experts in specific subjects.
Minimum qualifications of audit team leader have to be following:
1. Master Degree in forestry (qualifications: forester, forestry engineer) got at the university.
2. Five years working experience in forest products industry or trade.
3Document about completion of PEFC Lietuva training course on PEFC Lithuania certification standard and its practical application.
Minimum qualifications of auditor have to be following:
1. High education university degree or high education non-university studies certificate.
2. Three years working experience in relevant job.
3. Document about completion of PEFC Lietuva training course on PEFC Lithuania certification standard and its practical application.
Minimum qualifications of technical expert have to be following:
1. High education university or high education non-university studies certificate in relevant field.
2. Document about completion of PEFC Lietuva training course on PEFC Lithuania certification standard and its practical application.
The maximum validity of PEFC Lietuva training course certificate is 5 years. The certificate has to be renewed when revised PEFC Lithuania certification standard comes into force. So in some cases auditors may receive certificate which is valid only for 1 year when in other cases it may be valid up to 5 years.
LITHUANIAN OPERATIONAL LEVEL GUIDELINES (LOLG)
PEFC Lithuania REQUIREMENTS / MEANS OF VERIFICATION / TYPE OF INDICATOR / RESULTSOF ASSESSMENT / CERTIFICATION LEVEL
1. COMPLIANCE BETWEEN LAWS AND PEFC LITHUANIA PRINCIPLES. Sustainable forest management shall respect all laws of Lithuania and international agreements to which the Lithuania is a signatory, and comply with all PEFC Principles and Criteria.
1.1. Observance of national and local laws and administrative requirements in forest management
1.1.1. Have forest owners, governors or users knowledge about relevant to forest management national laws and regulations? / 1. Presence of documental evidence (certificate of special courses for forest owners; diploma of education in the field of forestry; documents of employment within the forestry management system, contract with company which works in the field of forest management). / Compulsory / 1.Yes - 2 POINTS,
No - 0 POINTS / Individual certification (I)
Group certification (G)
Regional certification (R)
1.1.2. Do national laws and regulations on forest usage are implemented? / 1. All documentation including: forest management plans, wood cutting permits, working instructions and contracts meet legal requirements.
2. Field observation. / Compulsory / Yes - 2 POINTS,
No - 0 POINTS / I, G, R
1.1.3. Do national laws and regulations on reforestation of forest are implemented? / 1. Interior management plan.
2. Cross-correlation between the management planning documentation, annual work programmes and operations seen on the ground. / Compulsory / 3 POINTS scale
0 POINTS. Cross-correlation is BAD
1 POINT. Cross-correlation is AVERAGE
2 POINTS. Cross-correlation is GOOD / I, G, R
1.1.4. Do national laws and regulations onforest protection and surveillance are implemented? / 1. Field observation. / Compulsory / Yes - 2 POINTS,
No - 0 POINTS / I, G, R
1.1.5. Do, before PEFC Lithuania certification process is started, any non-compliances with legal requirements have been recorded during forest inspections carried out by employees of Regional Nature Protection Departments? If the answer is YES. Are all required corrections implemented? / 1. Documentation of inspections.
2. Field observation. / Compulsory / 2 POINTS: there were no non-compliances with legal requirements or all required corrections are implemented before the beginning of certification process.
0 POINTS: there are non-compliances with legal requirements. / I, G, R
1.2. All legally prescribed fees and taxes shall be paid
1.2.1. Is there evidence that all required payments have been made / 1. Financial documentation, which proves payments. / Compulsory / Yes - 2 POINTS,
No - 0 POINTS / I, G, R
1.3. Forest management areas should be protected from illegal harvesting and other unauthorized activities
1.3.1. Do owner or manager has taken all reasonable measures to stop illegal cuttings or other unauthorized uses of the forest if such events have been taking place within certified forest holding? / 1. Documental evidence of response to actual current problems (Report to Regional Nature Protection Department, forest enterprise or police - extract from phone call registration daybook, copy of written notice, request or other similar document). / Compulsory / Yes - 2 POINTS,
No - 0 POINTS / I, G, R
1.4.Forestowners, governors or users shall demonstrate minimum five year commitment to the PEFC Lithuania Principles and Criteria
1.4.1. Have forest owners, governors or users signed declaration of commitment to comply with the principles and criteria of PEFC Lithuania for the minimum period of five years? / 1. Signed declaration of commitment. / Compulsory / Yes - 2 POINTS,
No - 0 POINTS / I, G, R
2. TENURE RIGHTS AND RESPONSIBILITIES. Tenure rights and rights to use the forest resources shall be clearly defined and documented.
2.1. Legal ownership or tenure should be proved
2.1.1. Can forest owners prove their ownership rights and forest governors or users prove their rights to use the forest resources? / 1. Document from real estate registry or other document which proves ownership rights.
2. Document proving the usage rights (governmental act, warrant, contract) / Compulsory / Yes - 2 POINTS,
No - 0 POINTS / I, G, R
2.2. Disputes and claims must be solved upon the procedures established by the Lithuanian laws.
2.2.1. Was there any dispute (s) concerning land or forest ownership? If the answer is YES. How this dispute (or these disputes) was (were) solved? / 1. Legal documents which prove that the dispute (s) is (are) solved. / Compulsory / 2 POINTS: There were no disputes or all disputes were solved.
0 POINTS: existing disputes were not solved. / I, G, R
REQUIREMENTS OF FOREST MANAGEMENT STANDARD IN ACCORDANCE WITH THE PAN-EUROPEAN OPERATIONAL LEVEL GUIDELINES (PEOLG)