Timber Legality Assurance System

Transcription

1 Timber Legality Assurance System Assessment Standard Ref # G Auditing Legality of Forest Management Sabah, Malaysia MTC Activity # 5.0 Page 1

2 Background Malaysia has taken steps to engage the European Union under the FLEGT to work towards developing a Timber Legal Assurance System (TLAS) in preparation of signing the Voluntary License Agreement (VPA). The Timber Legal Assurance System (TLAS) spells out the laws, verifiers and indicators that will be used to monitor whether those laws are enforced as well as the systems used to trace timber through the supply chain and to ensure that timber from unverified operations is separated from other timber. Sabah Forestry Department is looking to continue to support good forest management and governance in Sabah through independent verification of compliance to regulations for all forest concession holders based on approved Annual Work Plans and regulations defined in the Sustainable Forest Management License Agreements (SFMLA). The TLAS standard for Sabah has been developed as part of the German / Netherlands funded project to support the preparation of the VPA. Sabah took the initiative to develop an independent auditing system based on the Sustainable Forest Management Licensed Agreement (SFMLA) signed with each of the Forest Management Units in Sabah. The concept was to develop a process in line with the requirements for FLEGT Voluntary Partnership Agreement (VPA) to ensure compliance with the legal framework for forest management, harvesting, and ecological and social conditions within the Forest Management Units and licenses areas using an independent system to monitor all forestry operations compliance with the nationally defined legality standards. The TLAS system defines legality at the FMU level based on compliance with 6 principles: 1. Right to harvest 2. Forest operations 3. Statutory charges 4. Other users rights 5. Mill operation 6. Trade and customs Since 2009, GFS have been running TLAS audits for 23 Forest Management Units in Sabah to meet the requirement of the EU FLEG-T. The audit conducted were base on the requirements under the signed license agreement between the FMU license holder and the government. SFMLA are license agreement awarded by SFD to the FMU licensee to manage the FMU in for 50 to 99 years. The TLAS checklist for evaluating FMU in Sabah is based on 4 principles established through FLEGT discussions: (i) Right to harvest, (ii) Forest Operation, (iii) Statutory Charges and (iv) Other rights. GFS evaluated level of compliance to each criterion based on field observations and guidance for verification using a generic scale of: Compliance - > 80 % compliant Partial Compliance % compliant Non-Compliance - < 50 % compliant All assessment reports of each forest management area are submitted to the Sabah Forestry Department, MTC and GIZ. The project involved multiple workshops for stakeholder participation in the development and revision of the TLAS checklist, along with presenting summarized annual results of each of the 6 monthly assessments. GFS conducted 4 workshops to present the findings of the each round of audits to all stakeholders as well as held discussions on the current checklist and auditing and reporting system. GFS presented the overall findings based on overall score of compliance as well as highlighted the deficiencies in the current checklist and scoring system. SFD, GFS & stakeholders Page 2

3 discussed each Principle & Criteria to improve the checklist remove duplication and identify critical criteria that must have full compliance to be considered legal. The current version of TLAS standard for Sabah Malaysia (G TLAS Sabah Standard V03.doc) reflects the stakeholders opinions and agreement to identification of 11 critical criteria that must show full compliance, along with a simple weighted scoring system based on: Full compliance =1.0, Partial compliance = 0.5 and Non compliance =0. The meet legal compliance the company must comply with all critical criteria and reach an overall minimum compliance (legal threshold) of 70% based on all applicable criteria. The TLAS standard includes an overall evaluation of the basic elements of the licensee forestry concession, management planning, social and environmental issues related to their operations. 1.0 Forest Management Unit Information 1.1 The licensee shall provide forest license area information as below: I. Company name, subsidiaries and ownership, II. Total number of hectares under management, III. Nature of tenure and harvesting licences, IV. Start date and date of expiry of concession/harvesting licence(s), V. Use of subcontractors for harvesting, planting & silviculture and VI. Total area managed under the FMP and current active area Land classification FMP Area (ha) Current (ha) Total Concession Area Production Forest Area Plantation Forest (ITP) Protected Forest & Conservation Areas Social Community & Agriculture 1.2 The licensee shall provide environmental information as below: I. Forest type and history of management II. Principal commercial species III. Specific biological values (e.g. rare or endangered species) IV. Environmental services (e.g. critical watersheds, wildlife corridor, etc) provided by the forest V. Existing EIA report 1.3 The licensee shall provide information of the communities living inside or adjacent to the FMU license area as below: I. Identified communities dependent on the FMU II. Social baseline summary & demography III. Native Customary Rights IV. Community Forestry Projects Page 3

4 Sabah Standard Timber Legality Assurance System Principle 1 Right to Harvest Criteria 1: License to Harvest 1.1 Critical Criterion - The organisation shall provide documented verification of legal use rights to the forest in the form of a SFMLA agreement, current harvesting & occupation permits approved by SFD Signed License Agreement (SFMLA xx/97) Coupe Permit # (YS x/0x(0x)sdk xx/0xx) Expiry date Month / yr Occupation Permit # (TOL / OP where applicable) Payment of Fees 1.2 Critical Criterion - Boundaries of the licensed area shall be delineated on maps, marked on the ground and adequately maintained. (Part 1 ; 4) Map showing location & boundary of SFMLA area Map of areas occupied within the FMU for base camps, workshops, stumping yards, etc Map of Coupe Permit / Harvest Licensed area Coupe Boundaries identifiable on the ground 1.3 Land use map showing the location and boundary of the relevant to community forestry areas and land uses within the FMU is available. (part 1 ; 5 & 17) FMU / Land use map (agriculture, community settlement, production, conservation and nonforested areas) 1.4 The licensee has systems to protect forest from illegal exploitation (part 1 ; 19) Company shall have systems for: entry and access control to concession -(e.g. entry gate registry) Forest security and patrolling measures for encroachment, illegal logging, and poaching - (monitoring schedule, personnel, training records,) Identification of illegal activities & reporting to authorities -(security records) Criteria 2: Environmental Management 2.1 Critical Criterion - An Environmental Impact Assessment has been carried out where potential impact and mitigation measures are documented. (part 2 ; 46) Environmental Assessment on FMU and or coupe license areas Identification & mitigation of impacts Approved by EPD -(EIA # date(s), EPD approval #/ date) Page 4

5 2.2 Mitigation measures defined in the approved EIA shall be implemented (part 2 ; 46) EIA mitigation measures are adequately implemented Criteria 3: Plan Preparation 3.1 Critical Criterion - The organisation shall have a Long-term Forest Management Plan approved by the Forestry Department that defines the key elements of the SFMLA and activities over the 10-year FMP period based on sound inventory data. (part 2 ; 44) Forest Management Plan approved by SFD -(date approved) 3.2 The FMP clearly describes the policy, management systems, forest resources, environmental and social elements associated the SFMLA to be revised every 5 years as defined in the agreement (part 2 : 46-47) Policy Statement Inventory results defining forest conditions Zoning of forest area into Production, Conservation; Social; etc Delineations of compartments Net production area, Sustainable yield, & AAC Plans for restoration & ITP FMP mid-term review prepared and submitted to SFD 3.3 Critical Criterion - Annual Work Plan containing maps and description of areas and types of operation to be carried out during the year is available and approved by SFD. (part 2 : 51-58) Annual work plan approved by SFD - (approval date) 3.4 Critical Criterion - The organisation shall provide a Comprehensive Harvest Plan (CHP) that clearly defines total and net production areas; harvesting volumes, diameter, limits, species and protected areas that is formally approved by the SFD (part ) SFD approval for each harvest plan prior to harvesting (approval date) Harvest plan contains a detailed map, identifying harvest trees, main roads, secondary roads and skid trails, areas for protection such as buffer zones and steep slopes 3.5 The organisation shall provide for appropriate planning of silvicultural activities to maintain or enhance forest productivity in conjunction with the annual work plan (part 2 ; 76) Silvicultural activities are described in the FMP and AWP -(list of areas to be treated) Silvicultural guidelines are available on site -(list guidelines being used) 3.6 The organisation shall provide for appropriate planning of enrichment planting activities to restore degraded areas and enhance forest productivity in conjunction with annual work plan (part 2 ; 77). Page 5

6 3.6.1 Enrichment planting plan in the FMP and AWP -(list of areas to be treated) Enrichment guidelines are available on site -(list guidelines being used) 3.7 Critical Criterion - The organisation shall provide for appropriate planning for development of timber plantations within approved areas as defined in the FMP and under a 10-year development plan (part 2 ; 78-79) Approved Plantation Development Plan (PDP) - date Area to be planted, Map of ITP (Intensive Tree Plantation) area 3.8 The Plantation Development Plan (PDP) clearly describe the management system for establishing and maintaining ITP areas that minimize impacts of conversion to the environment and soils Maps of area for ITP establishment Forest condition prior to conversion Species to be planted and planned rotation periods Identification of steep slopes (maps, marking of slopes over 25 degrees, approval permits) Identification of buffer zones to protect streams and riparian areas Provision and implementation for the maintenance of natural areas within the ITP area Principle 2 - Forest Operation Criteria 4: Area Demarcation 4.1 The FMU is zoned into production, conservation, community use, plantation, recreation etc. Land use shall be clearly indentified on maps and marked on the ground as appropriate (part 2 ; 49-50) The FMU has been zoned into: Community Forest or agricultural areas - (ha) Conservation Areas (Riparian Areas (ha) & Steep Slopes (ha), etc) Production Areas (ha) -(Natural forest area (NFM) and Industrial Tree Plantation (ITP)) 4.2 Critical Criterion - Areas prohibited from harvesting such as steep slopes and buffer zones are clearly identified and protected. (part 2 : 61, 64) Areas prohibited from harvesting such as riparian zones, buffer zones steep slopes etc, are mapped in the Coupe Permit for NFM areas -(Harvest map / area protected (ha)) Conservation areas / riparian zones are marked on the ground and protected for ITP areas -( protected areas marked) 4.3 The organisation shall provide adequate detail & maps for ITP areas based on proper inventories and criteria for conversion within the Plantation Development Plan (part 2 ; 80-85). Page 6

7 4.3.1 The site chosen & tree species planted for ITP development is described in the FMP, PDP and EIA report Detailed mapping and demarcation of areas for clearing & protection within ITP area (ITP map ha protected (ITP map ha protected buffer zones & steep slopes) Records of timber removed from land clearing - (total volume (m3) extracted & volume (m3)/ha) 4.4 The organization shall provide for planning of road access and protection against fire (part 2 ; 82 & 94) Adequate identification of roads (main, secondary & feeder) network & access throughout the FMU -(road access maps) Fire protection system -(operational plans for fire prevention and suppression, records of fires & area) Criteria 5: Forest Inventory (Annual Allowable Cut AAC) 5.1 Records shall contain adequate information to verify the volume of trees harvested and resulting volume of logs within the area is in accordance to the CHP and license requirements (part 2 : 73) Maintains records of all trees felled and extracted that include species, diameters & volume traceable to the tree -(Compartment felling records) Maintains summary records of logs produced for each compartment & licensed area -(Monthly summary records,) Criteria 6: Forest Operation 6.1 The organisation shall demonstrate implementation of elements listed in the Annual Work Plan (part ) Harvesting areas, Silvicultural treatment, Enrichment Planting ITP development Boundary demarcation, infrastructure and maintenance Issuance of Compliance Certificate by SFD - (Date) Page 7

8 Criteria 7: Tree Marking 7.1 Critical Criterion - Organization can demonstrate compliance to tree marking regulations on diameter limits, species, slope limits etc. (part 2 : 61-64) Marking of trees cm DBH for felling within net production areas No protected trees marked, Harvest tree list in CHP, Species and diameters according to coupe & CHP permit Trees not marked within areas for protection Criteria 8: Control of Timber Production 8.1 Reduced Impact Logging methods are documented and implemented (part 2 : 66-69) RIL guidelines are available on-site -(guideline are found on-site) Sufficient evidence of implementation of RIL according to guidelines -(Implementation of RIL according to current approved verification standard) Equipment used should be appropriate to meet RIL requirements -(cable extraction, skyline, helicopter logging) Contractors are implementing the CHP -(logging according to harvest plan, tree marking, mapping, planned skid trails & stumping) Post harvest activities & Area Closing Report 8.2 Critical Criterion - The organisation shall provide physical identification of logs and registered hammer marks to prove traceability to the licensed harvesting area (part 2 : 74) Log # identification to reference Compartment / coupe number -(log #, coupe/ compartment, license property hammer mark) Criteria 9: Logs Transportation 9.1 Critical Criteria - The organisation shall provide detailed records and measurements of material harvested and transported from the licensed areas within the FMU. (part 3 ; ) Scaling records List of TDP & Removal Passes List of Logs harvested by compartment Transit Pass (if applicable) Criteria 10 : Worker Safety & Health 10.1 The organization shall demonstrate compliance to labour regulations and provide adequate facilities for staff in respect to health living conditions (part 1 ; 33-35) Contractor Registration -(Check registration certificate from SFD) Campsite Location Page 8

9 -(physical location outside of buffer zone, river proximity) Sanitation & waste disposal (Water, Food,Toilets, etc) -(river proximity, general cleanliness, landfill, collection & disposal of hazardous waste) Medical Facilities and Emergency First Aid -(medical treatment available, first aid kit, trained personnel) 10.2 The organization shall ensure all contractors comply to the companies procedures and government regulations in respect to safety conditions (part 1 ; 33-35) Logging Equipment, Workshop and Sawmill Safety -(safety equipment, chain saw breaks, personal protection equipment (PPE), etc) Training records Chemicals, Handling & storage / waste of fuel & oil - (handling & storage of hazardous waste) Worker insurance Records of accidents Principle 3 Statutory Charges Criterion 11 : Royalty & Fees 11.1 Critical Criteria: Royalties are paid prior to transport of material in compliance to regulations (part 3; 105) Logs carry SFD Royalty Hammer Mark Timber disposal permit Removal pass Payment receipt # Principle 4: Other User Rights Criteria 12: Use Rights by Natives 12.1 A social assessment shall be carried out to define potential impacts of forestry operations on local communities Social Baseline assessment Identification of communities Identification of potential impacts Mitigation measures Assessment report approved by SFD and or EPD Page 9

10 12.2 All 3 rd party claims are clearly defined and agreement on use rights exist between all parties (part 1 ; 23) Detailed Land Use Rights (3 rd party claim land area; records of claims with villages, discussion with villagers & social NGOs, maps of claimed areas) Occupation permit, Form II A License -(licence to extract forest produce for own use if applicable) 12.3 The organization shall demonstrate identification and respect for native rights and provide for community development and employment. Existence of a formal system of communication and dispute resolution with stakeholders Communication system -(records - formal documented or informal discussions) Dispute Resolution Process -(formal system, records of disputes) Existence of Social Development Program -(records, budget, documentation, discussions with villagers) Page 10