ASI FINAL ASSESSMENT REPORT FSC ACCREDITATION PROGRAM

Transcription

1 ASI FINAL ASSESSMENT REPORT FSC ACCREDITATION PROGRAM Rainforest Alliance FSC FM (Forest Management) Chile 11/3/2013 to 14/3/2013 Assessment No. A Drafted by: Frank Katto 14/3/2013 Reviewed by: Martin Walter 28/8/2013 Finalized by: Frank Katto 30/8/2013 Last updated: Frank Katto 30/8/2013 RECOMMENDATION Maintainance of Accreditation is recommended to the ASI Managing Director. Page 1 of 9

2 DESCRIPTION CAB Accreditation Status Accreditation certificate Technical Scope of Accreditation Geographical Scope of Accreditation Type of Assessment Scope of Assessment Methodology Site Visited Applicable Standards Rainforest Alliance Accredited FSCACC004 Accredited for FSC [FM (Forest Management)] Worldwide for Forest Management, FSC Controlled Wood and Chain of Custody certification Surveillance Assessment FSC FM (Forest Management) Witness Puerto Natales,. ISO/IEC Guide 65:1996 FSCSTD20006 V30: Stakeholder Consult FSCSTD20007 V30: Forest Management E All other applicable FSC normative accre FSCSTD20001V30: General Requirements FSCSTD20007a V10: Forest Management FSCSTD20007b V10: Forest Management Checklists used Objective The objectives of this assessment were: 1. Evaluation of the certification body's performance in implementing their accredited certification system in accordance with all relevant accreditation requirements 2. Witnessing of an audit team to determine whether or not: the team adequately applied the procedures and instructions of the certification body; team members exhibit the characteristics of an auditor as detailed in IS ; team members have the required expertise of the sector in which the audit is being undertaken; team members apply appropriate expertise in the correct sense; and the team undertakes the audit effectively and draws correct conclusions. 3. Evaluation of stakeholder comments or complaints received by ASI in relation to this operation. Assessment language Spanish ASI Assessment Team Lead Assessor Frank Katto Translator Alfredo Unda Other people involved CAB Facundo Rosel lead auditor CAB Company Arturo Burgos Auditor FSC FM manager Page 2 of 9

3 Company FSC FM manager Page 3 of 9

4 BACKGROUND ASI witnessed Rainforest Alliance's 2nd surveillance audit to Monte Alto Forestal S.A. RA evaluated the company against the FSC Natural Forest Management standard for Chile Estandar para la Certificacion FSC de Bosques Nativos de Operaciones a Gran y Pequeña Escala STD NB VF The certified forest area is a privately owned single FMU of natural and seminatural forest type, and manages only one type of species Nothofagus pumilio. The total certified area is ha, with 8 FMU divisions. Logging is the primary activity that is undertaken by the certificate holder, producing round wood and rough wood of Nothofagus pumilio species, with FSC 100% as the main output category. The logs are fed into the company sawmill (with a separate CoC certificate.) and about 70% of sawn wood is consumed locally in Chile. The company operates a sawmill and overall has about 41 employees including 22 employees for forest operations. Its main social relationship is through the provision jobs to local communities. It works with 3 subcontractors mainly for harvesting, transport and road construction. There were no comments/concerns from stakeholders with regard to the performance of both Rainforest Alliance and the certificate holder in Chile. The ASI findings are described in the findings section of this report. Further details about the certificate holder as well as it FSC certification history can be found on the FSC website on the following link: Overall the audit by Rainforest Alliance was conducted in a professional way, employing the adequate techniques to evaluate and confirm compliance with the FSC applicable requirements. ASI conclusion is based on a) document review before the audit, b) onsite witness c) discussion with the RA audit team. AGENDA Date Time Activity Location 10/3/ :30 11/3/ :00 AM: ASI opening meeting with the Rainforest Alliance audit team RA opening meeting with the CH Review of CARs and evaluation against the obligatory FSC FM criteria PM: document review including: Forest management plans, Monitoring results, Operational procedures, Harvesting plans as approved by the Forest State (CONAF), Records, Volumes, training, HCV monitoring results, site visit to the workers's camps, workshops, and interviews with workers. Puerto Natales,. 12/3/ :00 AM: stakeholder consultation with NGO, Government agencies and local communities 12/3/ :00 13/3/ :00 13/3/ :00 14/3/ :30 AM: visit past and active harvesting and silvicultural aspects Interviews with workers and key forest operational personnel AM: visit to active harvesting site/silvicutlural activities, HCV management, review of heath and safety/accidents, interviews with workers, key forest operational personnel. PM: visit to active harvesting site/silvicutlural activities, HCV management, review of heath and safety/accidents, interviews with workers, key forest operational personnel. AM: RA audit team internal review on the audit progress Interviews with the administration personnel 14/3/ :30 PM: RA closing meeting with the CH ASI closing meeting with the RA audit team. Page 4 of 9

5 OPENING MEETING An opening meeting was held to confirm arrangements of the assessment. In the opening meeting ASI and the CAB confirmed the objective; scope and the itinerary for this assessment. The CAB was also advised that: 1. All information is treated in confidence and assessment records are held securely 2. A Summary of Findings will be shared with the CAB at the next working day following the audit. The CAB will be given 5 working days to identify errors of fact. 3. Results of the assessment will be retained on checklist which may be shared with the CAB upon request. 4. The final audit report may be shared with the respective standard setter and/or may be made public as stipulated by the schemes respective requirements. 5. It was confirmed that there were no conflicts of interest between the ASI lead assessor and the CAB s assessment team. The CAB was also informed that the assessment is based on following principles: 6. Samples are taken; ASI will not be looking at all aspects of the operation; nonconformities may exist that are not identified during this assessment; 7. Reviewing actual operations / processes; 8. Interviewing staff to check that the requirements are sufficiently implemented and understood; 9. Reviewing validity and availability of documentation provided to all relevant staff; reviewing records to gather objective evidence; 10. Raising Observations Minor and Major Nonconformities (NCs); Major NC precludes accreditation until closed during a Verification Assessment; CLOSING MEETING At the conclusion of this assessment a closing meeting was held. The ASI assessor thanked the CABs management and staff for their assistance during the assessment. The ASI assessor summarized: 1. That the assessment results were obtained by taking a sample and that not all NCs may have been found; 2. That the assessment results are recorded on checklists and within the Summary of Findings report. The CAB may have a copy upon request. 3. Any Observations Major and Minor NCs issued and the procedure for their close out. The CAB was advised that it is required to correct the problem identified in any NCs and implement corrective action (including determining the root cause of the NC and identifying and addressing any other resultant NCs) within the specified timeline. The CAB is also required to verify the effectiveness of that corrective action prior to providing ASI with evidence to demonstrate conformity following ASI QMS documents. Page 5 of 9

6 FINDINGS Major Minor Observation Total No. Grade Subject Status Minor Complaints Open See findings reports below for details. Note 1: the failure to successfully address MAJOR nonconformities within the given timeline may result in disciplinary measures, including the suspension of accreditation. Note 2: Observations are related to an area of concern, a process, document, or activity that is currently conforming that may if not improved, result in a nonconforming system, product or service. Thus, observations which are not addressed by the CAB may lead to corrective nonconformities in the future. Page 6 of 9

7 ASI STAKEHOLDER CONSULTATION PROCESS (AS APPLICABLE) Summary of Issues raised by Stakeholders ASI response FCF No. There were no comments received from stakeholders about the performance of both Rainforest Alliance and the Certificate Holder. None. RECOMMENDATIONS As no non compliance was registered by ASI during the review, Rainforest Alliance is recommended to the ASI Managing Director for maintenance of accreditation of Forest Management, worldwide. FOLLOWUP None RECOMMENDED SURVEILLANCE ASSESSMENTS None APPENDICES The relevant documents include: the RA audit plan 2013 the RA audit report 2014 Page 7 of 9

8 FINDINGS Ref Date detected 14/3/2013 Grade Minor Deadline for implementation 13/3/2014 Subject Detected by Normative Reference and Requirement Description Evidence observed Complaints Frank Katto FSCSTD20007V30:6.2.1.c) FSCSTD20007 V30: c) The certification body shall review: c) Complaints received; The Rainforest audit team did not evaluate the complaints received by the certificate holder. During this audit, the complaints received by the certificate holder were not evaluated. For example, there were clear indications (e.g. from auditor s interviews with workers) that timely salary payment was an issue. Furthermore, a workers committee also represented the workers and presents workers concerns to the management. However the records of such concerns (if any) were not evaluated. Root cause analysis to be completed by CAB Corrective Action to be completed by CAB Preventative Action to be completed by CAB Evaluation to be completed by ASI Status: Open Name of ASI assessor: Frank Katto Date: Page 8 of 9

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