SmartStep Program Participant Fact Sheet

Transcription

1 SmartStep Program Participant Fact Sheet Organization Name and Contact Information Organization Name: Forest Industry Organization (FIO) Contact: Prasert Net Prachit and Orasa Taesumrith Address: 76 Raj-Damnernnok Avenue Pomparp District Bangkok Thailand Tel: ; Fax: om; Website Scope of SmartStep Participation SCOPE OF SMARTSTEP PARTICIPATION Tenure of FM operation: multiple FMU with single group of like FMU-s FMU Name FMU Location Size MAE MYE 3, Ha. THUNG KWIAN 2, Ha. WANG CHIN 2, Ha. KHUN MAE KAMMEE 2,998 Ha. TOTAL AREA 11, Ha. Forest Type Classification of Land use Area (ha) Production Forest Natural forest Plantation Conservation/protected Areas Special Management Areas Water Non-Forest areas Total Area: SmartStep Participant Fact Sheet Page 1 of 19

2 SUMMARY OF SMARTSTEP GAP ANALYSIS AND ACTION PLAN Date of Gap Analysis 15 to 19 February, 2010 Date of SmartStep Enrollment: October 7, 2008 October 6, 2010 SmartStep Auditing Schedule FIO will undergo a full assessment by the end of 2010 Major Gaps Identified FMO Action plan timetable SmartStep Audit Summary: Audit date: 15 to 19 February, 2010 Audit overview: SmartStep Action Plan Implementation: Action Step FMO should have texts of existing relevant national laws available in the forest management unit FMO shall be aware of and understand the legal and administrative obligations with respect to relevant international agreements to which Thailand is a signatory. These are listed in Annex 2 of the standard The forest management unit(s) shall be protected from unauthorized harvesting activities and other activities not controlled by forest manager or local people with use rights For large operations, a system shall exist for documenting and reporting to the appropriate authority instances of illegal harvesting, Finding All national laws were available in the document folders of the FMUs. The FMUs had all the necessary documents, e.g. CBD, CITES, and related training materials. However, the comprehension and practice were yet shown when being inquired. The FMUs staffs hence require more time for comprehension and extract some relevant chapters or articles for field practices. From documents and field visits, it was found that there were procedures for regulating the unauthorized harvesting activities and illegal activities. On the ground, the FMUs have been able to manage and control any unwanted or potentially harmful activities. The FMUs investigation showed the similar format of documenting and reporting of illegal activities. It seemed be more systematic than that before, however, the system is yet to verify its reliability and effective. SmartStep Participant Fact Sheet Page 2 of 19

3 settlement, occupation or other unauthorized activities For large operations, FMO shall have a publicly available policy or statement committing the organization to adhere to the FSC certification standards on the forest under assessment FMO shall disclose information on all forest areas over which the FMO has some degree of management responsibility to demonstrate compliance with current FSC policies on partial certification and on excision of areas from the scope of certification FMO shall have documented evidence of legal, long term (at least one rotation length or harvest cycle) rights to manage the lands and to utilize the forest resources for which certification are sought All legal or customary tenure or use rights to the forest resource of all local communities shall be clearly documented by the forest managers FMO planning processes shall include participation of local communities or parties with legal or customary tenure or use rights Wages and other benefits (health, retirement, worker's compensation, housing, food) for full-time The FMO carried out similar issuance of policy statements regarding FSC certification principles to the relevant FMUs. The involved officers claimed that there has been a FIO website available to the public. However, such effectiveness remained to be investigated. The intention of developing the public website for distributing information, including policy statements, was satisfactory. It is clear that the FIO wanted to incorporate only teak plantations into the FSC certification at this stage. Most teak plantations are in the Northern region and a few in the Western region. Exact names and areas were clear including 12 more plantations. Some FMUs could provide the evidence of legal and long-term rights which was authorized by the Royal Forest Department (RFD) to manage the lands and to utilize the forest resources. It was clear that the FIO could make further requests to utilize their plantation areas upon the end of each plantation authorization. There were documents showing that the forest villagers have hold usufruct rights over allocated forest land for cultivation. The usufruct rights were obtained since the beginning of the FMUs operation with the clear understanding between the forest villagers and FMU, but no systematic documents then. During the field visits, the FMUs provided documents and explanations how they incorporated the results of community participation into the planning process. The CROs of each FMU showed some understanding that the participatory results should be incorporated into the planning process. However, the CROs should be well equipped with several techniques of PARSIAM themselves, instead of relying on the PARSIAM technical team (FSC task-force group) formulated by action request which collected the FIO staff whom were trained in PARSIAM since Moreover, it was disappointed that the FMU staff and PARSIAM technical team used only one method, Stakeholder analysis (Roti diagram), which formed the basis of the stakeholder consultation and community participation. They must utilize more techniques and methods learnt to acquire further information and collaboration with the stakeholders. The workers wages varied similarly to those rates mentioned before in the previous audit. During the field visit, most workers of the logging team were paid 148 Baht per day, while the highest wage of 158 Baht per day were of the team leader, chainsaw SmartStep Participant Fact Sheet Page 3 of 19

4 staff and contractors are fair and consistent with (not lower than) prevailing local standards FMO shall implement a program of worker safety Health and safety measures shall comply with national minimum requirements Workers (staff and contractors) shall be provided with safety equipment in good working order, appropriate to the tasks of workers and the equipment used (e.g. local norms are important, ideally the following: hard hats, hearing protection, high visibility vests, steel toe boots and chainsaw proof chaps) FMOs, by their actions and policies, shall respect the rights of workers (staff and contractors) to organize or join trade unions and to engage in collective bargaining as outlined in ILO Conventions 87 and In conjunction with local stakeholders and other interested parties, the FMO shall evaluate socio-economic impacts associated with forest management activities. The evaluation shall be in accordance to the scale and intensity of operations. operator. The team fell 40 trees per day. The laborers seemed satisfied with their wages, although other benefits were limited. It remained unclear about the benefits to contractors and workers. Group insurance for accidents of 500 workers in all plantations in the entire country was available. The figure was estimated according to the insurance company. The FMUs supported any workers if they were injured on sites, but most minor injuries were covered by the government-support health care. It was found that there were some training regarding primary health care and worker safety. There were guidelines for worker safety. In the field operations, workers wore some safety equipments, i.e., hard hats, rubber boots/sneakers. The FMUs have complied with the national minimum requirements regarding health and safety measures. There were guidelines for implementation. It must be taken into account that the FIO operation is considered to be part of the agricultural sector which requires much less than the industrial sector. The FMUs provided necessary safety equipments to workers: permanent and temporary workers, and contractors. However, during our visit, there were none of the contractors, as there was no logging operation owing to the political decision of the Minister of Natural Resources and Environment to withhold all the FIO logging since November The audit team saw that the field workers (permanent and temporary) wore their safety equipments in the fields, i.e., hard hat, rubber boots/sneakers, gloves. All FIO full-time staff joined its labor union, based on their claims. The general workers (non-permanent staff) could not join any labor union, as the legislation did not provide such labor union for them. In the FMUs, the workers were encouraged to set up a group of delegates (10 workers/group) to negotiate with the FMU manager in terms of their rights, benefits, wages and etc. The results of the PARSIAM action for acquiring socio-economic impact analysis were shown, but there was limitation as each FMU has only undertaken Stakeholder analysis (Roti diagram) yielding the types and number of stakeholders. Each FMU relied very much upon the FSC task-force group in conducting stakeholder consultation. In addition, further analysis of socio-economic impacts and priorities of problems should be seriously taken into account so as to support the FMU staff in their forest management activities properly and to avoid any unforeseen misunderstanding between the FMU staff and the main stakeholders. SmartStep Participant Fact Sheet Page 4 of 19

5 FMO shall demonstrate that input from community participation was considered and/or responded to during management planning and operations Consultations shall be maintained with people and groups (both men and women) directly affected by management Procedures for consistently and effectively resolving grievances and determining compensation for loss or damage shall be implemented Procedures for consistently and effectively resolving grievances and determining compensation for loss or damage shall be implemented Large FMOs have and follow written procedures for resolving grievances and determining compensation for loss or damage of property, land or other productive resources Budgets shall include provision for environmental and social as well as operational costs necessary to maintain certifiable status (e.g. management planning, road maintenance, silvicultural treatments, longterm forest health, growth and yield monitoring, and conservation investments) Non-timber forest products (NTFPs) should be considered during forest use and processing FMO shall protect the full range of forest services associated with the defined forest area including: municipal watersheds, commercial and recreational fisheries (or the supply of water to downstream fisheries), visual quality, It was shown during the field visit that the input from community participation was incorporated into the forest management plan. It was actually presented in the documents and some related actions; however the FMUs should further work with the local communities and acquire genuine results of their local participation for future management planning and effective operations. The FMUs showed to the audit team that they understood the gender importance while undertaking stakeholder consultation. There was a guideline for stakeholder consultation. However, the same issue regarding limitation of PARSIAM methods was accentuated (see Action step 4.4.1). Apparent procedures and structure were apparent at the FMU level (similar to that of Criterion 2.3). There was a policy statement about compensation for loss or damage which was claimed by the villagers/stakeholders. No evidence or cases were demonstrated. Written procedure for resolving grievances and determining compensation was available. The FMUs staff seemed understand about its importance. The company has allocated funds to environmental and social activities. FIO has developed clear agreements with local communities as pertaining to the rights of collecting NTFPs The FMUs have demarcated streams and riparian buffer zones on the ground, on maps and in documents. The FMUs staff could identify riparian buffer zones both on the maps and the forest correctly. The FMUs staff understood about the importance of the streams, riparian zones, in contribution to biodiversity and forest management. The monitoring system is developed, awaiting the assessment. SmartStep Participant Fact Sheet Page 5 of 19

6 contributions to regional biodiversity, recreation and tourism FMO shall protect riparian zones along all watercourses streams, pools, springs and lakes/ponds, consistent with the requirement of national regulations or best management practices FMO should map riparian protection zones that enhance the value of forest services and resources such as watershed and fisheries Appropriate to the scale and intensity of operations, estimates of total periodic timber growth on the defined forest area - by species categories - shall be generated through a combination of empirical data and published literature Allowable harvest levels shall be based on conservative, welldocumented and most current estimates of growth and yield Harvesting shall be based on a calculated periodic allowable harvest (e.g. annual allowable cut) and actual harvests do not exceed calculated replenishment rates over the long term Environmental assessments shall be completed during management planning. The FMO, through FMUs, has shown that they have protected all riparian zones consistently. The FMU staff could identify the riparian zones reflecting in their demonstration on the ground. The FMO, through FMUs, produced good maps of riparian zones, being integrated as part of their forest operation maps. The scales of color maps ranged from 1:10,000 to 1:15,000, showing the block of each compartment delineated with riparian zones, other protection zones and productive area. The FIS and timber yield calculation were completed. The FIO still use the FIS, instead of the core sampling technique. The basic data and calculation seemed fine. The tree measurement method was tested in the plantation block, and the FMU staff knew how to undertake that quite well. It was stressed that allowable harvest level was 70% of the volume of the target compartment for logging of that particular year. The data from the FMUs long-term logging plan (30 years) and mediumterm logging plan (5 years) were coincided well with the expected harvesting volume. The harvesting of all FMUs was based on a calculated periodic allowable harvest which was completed in 2009 (see also Action step 5.6.1). It was assured that actual harvests of any year were under the annual allowable cut (70% of the calculated volume). The FMUs also presented that the remaining volume from the actual harvest was revised in the forest management plan. The IEE was conducted and the Draft Final Report was presented. The FMUs staff and the FIO Upper North Regional Office staff will hold a meeting with the IEE team on February 24, 2010 to finalize the IEE report. It was clear during the discussion and field visits that some information and results of IEE report were unavailable on the ground, e.g., non-existence of some wildlife and plant species in that particular FMUs. It is seriously recommended that the FIO staff must share our discussion with the IEE team and try to update the species list as accurate as possible Environmental Environmental assessments were carried out in terms of IEE by the SmartStep Participant Fact Sheet Page 6 of 19

7 assessments shall consistently occur prior to site disturbing activities Landscape level impacts of forest management (e.g. cumulative effects of forest operations within and nearby the FMU) shall be considered The likely presence of rare, threatened or endangered species and their habitats (e.g. nesting and feeding areas) shall be assessed on the basis of the best available information. A list of endangered and threatened species in Thailand is attached in Annex Appropriate to the scale and intensity of management, conservation zones, protection areas or other protection measures shall be established based on technically sound requirements for the protection or rare, threatened and endangered species and their habitats Conservation zones should be demarcated on maps, and where feasible, on the ground Effective procedures shall be implemented during forest operations to protect conservation zones, identified species and their habitats Hunting, fishing, trapping and NTFP collecting shall be controlled in the forest. team from Mahidol University. The results would be finalized on February 24, 2020 and must be utilized actively prior to any site disturbing activities. Most importantly, the EA scheme must be undertaken consistently as part of the site inspection. Landscape level impact assessment is rather a new concept to the FMUs staff, although they have been aware of the overall planning of their operations and plantation areas. The FMUs staffs have understood the importance of the landscape level impacts during our discussion, and they will include that into their updated environmental assessment and planning. RTE assessments were carried out in all FMUs, and resulted in lists of various plants and wildlife species which are not RTE. The species list produced in IEE report by Mahidol University must be verified on the ground so as to be able to utilize the IEE report effectively. RTE assessments were undertaken by the FMUs, in addition to the claimed list in IEE final draft report. The plant and wildlife species list was not RTE. The FMUs staff showed the full understanding of their lists that their inventories found only small wildlife species and common plant species. Conservation zones were demarcated on maps and on the ground. There were signs explaining about that particular conservation zones, e.g. riparian zone, natural vegetation for conservation zone, buffer zone. The criteria and guideline for identifying conservation areas were available and implemented. There were effective procedures and guideline for protecting conservation zones, identified plant and wildlife species and their habitats. The demarcated areas were clearly marked and understood on the maps and on the ground. A brochure presented to the audit team highlighted forest regulations that had been informed to local communities. No proof of prosecution of local communities nor any breach of regulations was shown. Patrol day sheets were shown conducted by forest protection teams. SmartStep Participant Fact Sheet Page 7 of 19

8 No observations of any illegal activities being undertaken were witnessed during the site visits The forest manager shall have sitespecific data or published analyses of local forest ecosystems that provides information on the FMU with regards to: regeneration and succession genetic, species and ecosystem diversity natural cycles that affect productivity Forest management systems shall maintain, enhance or restore ecological functions and values of the FMU based on the data in Management systems shall include: Silvicultural and other management practices which are appropriate for forest ecosystem function, structure, diversity and succession Where appropriate, a program for the restoration of degraded sites. Natural regeneration, unless data shows that enrichment planting or artificial reforestation will enhance or restore genetic, species or ecosystem diversity Representative samples of existing ecosystems shall be protected in their natural state, based on the identification of key biological areas and/or consultation with environmental stakeholders, local government and scientific authorities. RTE assessment by FMUs was undertaken. The IEE updated report would help the forest manager regarding the above three main issues: 1) regeneration and succession, 2) genetic, species and ecosystem diversity, and 3) natural cycles that affect productivity. The FMUs staff seemed understand about their local forest ecosystems. RTE assessments were carried out by FMUs staff, in addition to the assessment as part of the IEE conducted by the team of Mahidol University. Conservation areas and remnant vegetation were demarcated on the ground and on maps for protection. Management system in the forest management plan included silvicultural and other management practices, as well as, restoration of some disturbed sites by enrichment planting. The representative samples of existing ecosystems were protected. There were consultations with local stakeholders, local government and scientific experts which, in this case, might have been considered as environmental stakeholders the IEE team from Mahidol University. The FMUs staff stated that local stakeholders understood about the specific ecosystems set aside for protection In conjunction with Since there was IEE, consultation with experts, and the draft final SmartStep Participant Fact Sheet Page 8 of 19

9 experts, restoration and protection activities shall be defined, documented, and implemented in the forest All forest operations with the potential for negative environmental impact (as identified in 6.1) shall have written guidelines defining acceptable practices which are available to forest managers and supervisors. Such operational guidelines shall meet or exceed national or regional best management practices Maps and/or work plans shall be produced at a scale that allows effective supervision of soil and water resource management and protection activities Topographic maps have been prepared before logging or road construction occurs Topographic maps should specify areas suitable for all-weather harvesting or dry-weather only; and indicate locations for extraction (or haul) roads, loading ramps (or log yards), main skid (or snig) trails, drainage structures, buffer zones, and conservation areas Training shall be given to FMO staff and contractors to meet guidance requirements Road construction, maintenance and closure standards shall be followed in the forest. report, the FMUs should be able to implement the activities relating to restoration and protection in the forest plantation. In addition, the FMUs staff already identified and documented the protection areas. The written guidelines for acceptable practices were presented and implemented by the FMUs. The FMUs chiefs/staff understood about the potential for negative environmental impacts. Operational maps and/or work plans were produced at a scale between 1:10,000 to 1:15,000 by using the correct and digitized GIS data and program. The maps were produced by the FIO HQ staff and the FMU staff, and they were verified on the ground. Thus the delineation was correct and consistent. The procedures were also written which would allow effective supervision of activities regarding soil and water resource management and protection. Topographic maps were available. The scales, mostly 1:10,000, were acceptable and appropriate to oversee the logging operation or road construction. Topographic maps were available during the audits. Above details were presented. It must be noted that the harvest is undertaken in the dry season only for FIO operations, and this was confirmed by all the FIO staff. Guidelines of operational activities in mitigating negative environmental impacts were available. Some trainings on environmental impacts were conducted. More training on environmental guidelines to prevent negative impacts have been planned. Since there have not been any logging operation at present, the results of training are expected for the next assessment. Procedures and guidelines for forest road construction and maintenance were presented and explained to the audit team. The FMUs staff seemed understand the operational procedures well on the ground. SmartStep Participant Fact Sheet Page 9 of 19

10 7.1. The management plan and supporting documents shall provide: 1) management objectives, 2) description of the forest resources to be managed, environmental limitations, land use and ownership status, socio-economic conditions, and a profile of adjacent lands, 3) description of silvicultural and/or other management system, based on the ecology of the forest in question and information gathered through resource inventories, 4) rationale for rate of annual harvest and species selection, 5) provisions for monitoring of forest growth and dynamics, 6) environmental safeguards based on environmental assessments, 7) plans for the identification and protection of rare, threatened and endangered species, maps describing the forest resource base including protected areas, planned management activities and land ownership, and description and justification of harvesting techniques and equipment o be used Management plan, or appendices to plan, includes presentation of the following components: 1) Management objectives; 2) Description of the forest resources to be managed, environmental limitations, land use and ownership status, socioeconomic conditions, and a profile of adjacent lands; 3) Description of silvicultural and/or other management system, based on the ecology of the forest in The FIO has prepared the management plan with respect to each of the FMUs. These plans cover social, ecological, and economic dimensions as mentioned above including monitoring of activities. The FIO has prepared the management plan with respect to each of the FMUs. These plans cover social, ecological, and economic dimensions as mentioned above including monitoring of activities. SmartStep Participant Fact Sheet Page 10 of 19

11 question and information gathered through resource inventories; 4) Description and justification for use of different harvesting techniques and equipment; 5) Description and justification of forest management prescriptions and their silvicultural and ecological rationale i.e. based on site specific forest data or published analysis of local forest ecology or silviculture; 6) Rate of harvest of forest products (timber or nontimber, as applicable) and species selection including justification; 7) Measures for identifying and protecting rare, threatened and endangered species and/or their habitat; 8) Map(s) describing the forest resource including forest types, watercourses and drains, compartments/blocks, roads, log landings and processing sites, protected areas, unique biological or cultural resources, and other planned management activities; 9) Environmental safeguards based on environmental assessments (see criterion 6.1); and, 10) Plans for monitoring of forest growth, regeneration and dynamics NTFP resources and uses should be inventoried and their management explicitly considered during planning Maps that are presented shall be accurate and sufficient to guide forest activities (also see Criterion 6.5). August 2007: AS mentioned No commercial NTFP extraction is done y FIO. Only small scale extraction by forest villagers. It was found that this level of extraction and the risks involved does no warrant a full NTFP assessment. The FIO was found to have improved and updated on the quality of maps, and the plantation staff evidently reflected that they have been using it for planning and managing plantation activities. SmartStep Participant Fact Sheet Page 11 of 19

12 in it was found that the maps used by the FMUs were inadequate to be used as planning and management tools For large scale operations, planning includes short (operational/annual), medium (tactical/3-5 yearly) and long (strategic, rotation/harvesting cycle) term plans covering all operations and these shall be documented A technically sound and financially realistic timeframe exists for revision/adjustment of the management plan Management plan (and/or annual operating plan) revision or adjustments shall occur on timely and consistent basis Management plan revisions incorporate changing silvicultural, environmental, social and economic conditions Evidence of formal or informal training of forest workers to ensure proper implementation of the management plan shall exist in the forest. Applicable to all FMOs including SLIMFs For large FMOs, a formal training plan for staff and forest workers related to the management plan and its implementation should be documented FMO shall make publicly available a summary of the management plan including information on elements listed in criterion 7.1. The FIO have prepared plans for their plantation forests including annual as well as a longer term. As reflected by the FIO staff, the operational plan would be revised annually, and management plan periodically at 3 to 5 years interval. The FIO has prepared management plans for each of their FMUs that include annual operation as well as business plans. As assured by the FIO staff, they would keep on revising them annually for the operational activities, and periodically for the management plan with incorporating results and feedback from monitoring. The FIO has prepared management plans for each of their FMUs that include annual operation as well as business plans. As assured by the FIO staff, they would keep on revising them annually for the operational activities, and periodically for the management plan with incorporating results and feedback from monitoring. The FIO has prepared management plans for each of their FMUs that include annual operation as well as business plans. As assured by the FIO staff, they would keep on revising them annually for the operational activities, and periodically for the management plan with incorporating results and feedback from monitoring. As reflected in the FIO records, The FIO has organized various training to its staff and workers in relation to silvicultural operation, fire control, and plantation management in They also presented a training plan for year 2010, in which they have allocated resources already. As reflected in the FIO records, The FIO has organized various training to its staff and workers in relation to silvicultural operation, fire control, and plantation management in They also presented a training plan for year 2010, in which they have allocated resources already. Company has developed a flyer with information about their operation t be used for information to local communities and have made available a summary of the management plan on their website: SmartStep Participant Fact Sheet Page 12 of 19

13 8.1 The frequency and intensity of monitoring should be determined by the scale and intensity of forest management operations as well as the relative complexity and fragility of the affected environment. Monitoring procedures should be consistent and replicable over time to allow comparison of results and assessment of change A plan and design, based on consistent and replicable procedures, shall exist for periodic monitoring and reporting The frequency and intensity of monitoring shall be based on the size and complexity of the operation and the fragility of the resources under management The monitoring plan should be technically sound and identify/describe observed changes in conditions in terms of: Silviculture (growth rates, regeneration and forest condition, typically as part of a suitable continuous forest inventory system); Commercial harvest including NTFPs; Environment (environmental changes affecting flora, fauna, soil and water resources; outbreaks of pest, invasive species, nesting sites for endangered bird species) Socioeconomic aspects (forest management costs, yields of all products and changes in community and workers relations or conditions, accident rate); and, Identified high conservation value forest IEE was conducted, and the finalization would be taken place on February 24, The monitoring procedures and plans were included in the management plan, and some monitoring activities were undertaken. The monitoring system was considered along with the yield estimation. The frequency and intensity of monitoring is expected to be assessed accordingly. There were monitoring work plans and designs for the FMUs according to the management plans. Consistent and replicable procedures were presented for periodic monitoring and reporting. The monitoring system was presented and there were monitoring work plans in the current forest management plan. It was assured that the frequency and intensity of monitoring must be according to the size and complexity of the operation, as well as, the fragility of target resources. Since all FMUs have rather similar size and complexity, it is therefore expected that the monitoring system would be quite homogenous in practices. There were work plans for monitoring growths and yields, environmental impacts, socio-economic impacts. The monitoring plan included all technical aspects and potential changes of the variables. Some monitoring of biophysical aspects and environmental impacts of the FMUs were undertaken. HCVF attributes were identified. SmartStep Participant Fact Sheet Page 13 of 19

14 attributes Volume and source data on harvested forest products shall be available (i.e. scaled, inventoried, measured) in the forest, in transport, at intermediate storage yards (e.g. log yards), and processing centers controlled by FMO. (not applicable to SLIMFs) Certified forest products shall be clearly distinguished from noncertified products through marks or labels, separate documented storage, and accompanying invoices up to the point of sale (i.e. up to the forest gate ). Volume and source data on harvested forest products were available (i.e. scaled, inventoried, measured) in the forest, in transport, at log yards, and processing centers controlled by FMO. The FMUs had all documents needed for verification and they could calculate the volumes when being asked at the log yards. The FIO have dedicated staff that record the number of extracted trees by compartment present within the operational sites (this was observed by the audit team through interviews with operational teams in Mae Mai compartment 23 (visited on the 16 th December 2008)). At the compartment level a log list (completed by the FIO supervisor/foreman) records number of trees extracted and the registration details of the transport. Each compartment has a dedicated log yard, that is allocated to the harvested compartment for the duration of the harvesting activities. By day, the number of trees is recorded at point of delivery in yard. By load the dimensions of each log is updated to the field book, and each tree is stamped with a unique serial number, the Smartwood SmartStep Code. This serial number is updated to the log list in the office, and entered into the field book. The field book comprises of three separate dockets. The logs remain in the log yard, and parceled for auction, based on grade and quality of the logs. The logs remain in the log yard until point of sale. At point of sale the field book is updated, and records the buyers details, the transport details of the logs. One copy of the docket is given to the driver as proof of delivery and purchase. One docket is sent to the Royal Department of forests, and one copy is maintained by FIO for invoicing purposes. Each docket has a unique code for sales order purposes. At all times the log serial number is traceable through the paper trail to the point of sale, with a unique referencing system from the field book to the office log list, the serial number of each log, date and compartment the log originated from FMO shall demonstrate that monitoring results are incorporated into revisions of the management plan. A work plan and design of monitoring system of each FMU was presented. Procedures of monitoring system were available and included in the current management plan. The monitoring results are expected to be incorporated into revisions of the management plan according to the periodic revision, which was specified to be 5 years. The FMUs assured that the revision of annual operational plan was to incorporate all the monitoring results For large operations, It was assured that the results of monitoring would be incorporated SmartStep Participant Fact Sheet Page 14 of 19

15 results of monitoring shall be incorporated into summaries and other documents that are publicly available Assessment to determine the presence of the attributes consistent with High Conservation Value Forests will be completed, appropriate to scale and intensity of forest management FMOs shall have conducted an assessment to identify HCVs. Such an assessment should include: Consultation with conservation databases and maps; Consideration of primary or secondary data collected during forest inventories on the designated forest area by FMO staff, consultants or advisors; Interviews with environmental/biological specialists indigenous/local communities, and scientific experts, etc; Documentation of threats to HCVs; and, If threats to HCVs or HCVF exist, identification of actions to address the threats For large operations, FMO shall: Produce written HCVF assessment(s) that identify (ies) HCVs or HCVF and proposes strategies to ensure their protection; and, Conduct credible, independent, technically qualified review of the HCVF assessment and related recommendations into summaries and other documents for public viewing, during the discussion in the Audit. The FMUs chiefs and staff, and FIO administrators understood the context and its importance. It was shown that some information based on the monitoring were analyzed and incorporated into summaries of some issues, and the results were published on the website and pamphlet for public viewing. The FIO has carried out environmental assessment in 2009 (IEE with Mahidol University) which also included ecological dimension. They have further identified attributes of each HCVF, and developed norms for protecting them in consultation with local stakeholders and communities. The FIO has carried out IEE as well as HCVF assessment in consultation with local stakeholders, community members, and some experts from Mahidol University. However, the FIO has not made consultations with the national and international experts and other stakeholders in this process. Although FIO has carried out HCVF assessment and documented it, however, it has yet to involve national and international level stakeholders and experts opinions in mainstreaming HCVF identification and conservation while managing the plantations. SmartStep Participant Fact Sheet Page 15 of 19

16 to address HCV threats and protection; and, Demonstrate that credible actions are being taken to address HCV/HCVF protection and/or threat reduction FMO consultations with stakeholders shall clearly outline identified conservation attributes as well as proposed strategies for their maintenance or threat reduction For large operations, the stakeholder consultation for HCVF strategy development, and actions taken in response to such consultation, shall be documented Measures to protect HCVF values shall be available in public documents or in the FMO management plan summary If HCVF or HCVs are present, planning documents shall provide site-specific information which describes the measures taken to protect or restore such values A system for continuous monitoring of HCVF values protection shall be incorporated into the FMO s planning, monitoring and reporting procedures Management objectives for conservation of natural forest and restoration shall be described in the management plan Management objectives, specifically those related to natural forest conservation and restoration The FIO has conducted HCVF assessment, and identified HCVF attributes with respect to each FMU. The consultations at local level were made with communities and experts. The document prepared through this process identified activities for long-term maintenance and threats reduction for conservation attributes. The FIO has conducted HCVF assessment, and identified HCVF attributes with respect to each FMU. The consultations at local level were made with communities and experts. The document prepared through this process identified activities for long-term maintenance and threats reduction for conservation attributes. The FIO has prepared management plans for its plantations, and one of the chapters of the plan is about HCVF protection and management. As reflected in the discussion with the FIO staff, the FIO is going to make the report available to public (through web site). The audit team also found that the FIO has been already putting posters and boards with a message on HCVF in public places and on-site where HCVF is located. The FIO has prepared management plans for its plantations, and one of the chapters of the plan is about HCVF protection and management. As reflected in the discussion with the FIO staff, the FIO is going to make the report available to public (through website). The audit team also found that the FIO has been already putting posters and boards with a message on site-specific HCVF protection and conservation in public places and on-site where HCVF is located. The audit team found that the FIO has developed a monitoring system that monitors changes over time for identified values, with feedback and evaluation. The FIO stated a management objective for remnant native forest habitats within the plantations. The FIO developed its management objectives and respective activities for identified conservation areas, including riparian forests and buffer zone habitats within the plantations, national forest remnants, and identified HCVs. It was positive to see that the SmartStep Participant Fact Sheet Page 16 of 19

17 shall be demonstrated in forest management activities FMOs should demonstrate through action their commitment to protect, restore and conserve key areas of natural forest within the ownership Buffer zones along watercourses and around water bodies shall be established according to regional best management practices or local laws and regulations. Buffer zones should be indicated on maps FMO shall establish wildlife habitat and corridors, suitably located across plantation areas, in consultation with acknowledged experts Plantation management should maintain and/or enhance landscape diversity by varying block size and configuration, species, genetic diversity, age class and structure The selection of species for planting shall be based on their overall suitability for the site and their appropriateness to the management objectives. In order to enhance the conservation of biological diversity, native species are preferred over exotic species in the establishment of plantations and the restoration of degraded ecosystems. Exotic species, which shall be used only when their performance is management objectives would be obviously demonstrated in forest management activities. The FIO has developed a policy guideline to set aside at least 5% of their plantations as conservation zones. The audit team found that the buffer zones and riparian forests were well protected, and undergrowth was promoted supplemented with enrichment plantations. The plantation staffs were found to be aware of the guideline of retaining some trees for enhancing natural forest ecosystems and biodiversity conservation while carrying out harvesting operations. The FIO incorporated a number of restoration measures to enhance, restore and conserve identified conservation attributes and biodiversity into their management plans. The audit team found that the FIO has developed criteria for defining riparian buffer zones for watercourses and bodies of water, and demarcated in the field and reflected them on map in accordance with the criteria in a consistent manner. Although FIO has made a progress in terms of conservation activities, however, it has yet to establish wildlife habitat and corridors, suitably located across plantation areas, in consultation with acknowledged experts. As reflected in the discussion with FIO staff, and according to the management plan, the plantation management has been aimed to maintain and enhance landscape diversity by varying block size and configuration, promoting undergrowth, enhancing conservation zones for species diversity, and retaining some trees in the field at harvesting to create heterogeneous structure. The management practices have been integrated to vary age classes and reflected it within the management plan for the forest units. Teak is the only species planted and is an indigenous species in the region. SmartStep Participant Fact Sheet Page 17 of 19

18 greater than that of native species, shall be carefully monitored to detect unusual mortality, disease, or insect outbreaks and adverse ecological impacts Representative samples of existing natural ecosystems shall be protected or restored to their natural state, based on the identification of key biological areas, consultation with stakeholders, local government and scientific authorities. (Note: Also see Criterion 6.4.) Explicit measures shall be taken to maintain or enhance the soil in terms of structure, fertility and biological activity Plantation design and management shall not result in soil degradation Forest operations shall not degrade water quality or negatively impact local hydrology Where negative impacts on soil or water resources are identified, FMO shall take steps to reduce or eliminate such impacts Measures shall be taken in the forest to prevent outbreaks of pests, disease, fire and invasive plant introductions A plan should exist for forest fire prevention The FIO has developed a policy guideline to set aside at least 5% of their plantations as conservation zones. The audit team found that the buffer zones and riparian forests were well protected, and undergrowth was promoted supplementary with enrichment plantations. The plantation staffs were found to be aware of the guideline of retaining some trees for enhancing natural forest ecosystems and biodiversity conservation while carrying out harvesting operations. The FIO incorporated a number of restoration measures to enhance, restore and conserve identified conservation attributes and biodiversity into their management plans. The environmental assessment was recently completed involving experts team of social, economic, and ecological fields. The FIO was found to be implementing a zero burn policy effectively, and local bio-engineering practices such as (check dams from bamboo and stones) were adopted to maintain and enhance soil and water conservation. The audit team found that the Zero burn policy was implemented effectively, and the staff and workers involved were trained accordingly. The plantation staff were also found to be engaged in monitoring site disturbing activities (that otherwise might lead to soil degradation) before and after harvesting operations. The audit team found that the FIO has developed criteria for defining riparian buffer zones for watercourses and bodies of water, and demarcated them in the field and reflected them on map in accordance with the criteria in a consistent manner. The FIO has also developed operational procedures/guidelines that enable the protection of riparian buffer zones such as zero harvesting. The FIO has developed a system for monitoring downstream water quality and soil erosion from post harvest sites through assessment of sedimentation and purity of water. The audit team found that the FIO has developed a guideline on preventing outbreaks of pests, disease, fire and invasive plant introductions. They were found to be adopting biological control measures to destroy sources of pests, such as teak defoliator. The FMUs were also found to be divided by fire lines. The FIO staff and workers were trained on fire control and prevention, and plantations were found consisting of fire lines. The SmartStep Participant Fact Sheet Page 18 of 19

19 and control An integrated pest management plan shall exist that identifies pests, determines acceptable injury or action thresholds, and alternative methods of addressing threats Monitoring shall include evaluation of potential onsite and off-site ecological and social impacts of plantation activities. (Also see criterion 8.2) The purchase of lands or land leases for plantation establishment should not adversely impact the community and/or resource use by local people.. zero-burn policy was also found implemented effectively. According to FIO records, the incidence of fire has been reduced significantly as compared to the previous years. The FIO have issued a zero burn policy statement. Field observations highlighted inconsistencies in application of the FIO policy. The FIO stated no pest problems occurred. Teak is an indigenous tree to the location. The FIO has developed monitoring plans for assessing on-site and off-site ecological impacts, including socio-economic impacts of plantation operations. The monitoring framework was presented to the auditors at the time of audit. The FIO was established on January 1, 1947, according to the Cabinet Resolution. On July 25, 1956, the Royal Thai Government (RTG) re-organized the FIO as a semi-private enterprise as a legal entity under the Ministry of Agriculture and Cooperatives. The FIO have not purchased, nor leased new land since The FIO have developed agreements with local communities for the collection of NTFPs, and allow local communities to collect waste woody debris for the purposes of fuel wood. The FIO have conducted initial socio-economic assessments with local communities using the PARSIAM approaches, and these have resulted in additional agreements and concessions for the local communities. No grievance procedure was in place for local communities. A conflict resolution process has been put in place. The FIO now employ Community Relations Officers that are tasked specifically with dealing with, and supporting community activities and engagements. The FIO stated that no land conflicts were on going at the time of audit. Audit Conclusions: Next planned audit: date and focus The FIO has made a significant progress against most of the action steps, and a few remains to be closed. As reflected in the closing meeting, FIO will undergo a full assessment by the end of SmartStep Participant Fact Sheet Page 19 of 19