Principle 1.0 Compliance with Laws and FSC Principles Forest management shall respect all applicable laws of the country in which they occur, and international treaties and agreements to which the country is signatory, and comply with all FSC Principles and Criteria. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 1.1 Forest management shall respect all national and local laws and administrative requirements. All national and local laws and administrative requirements have been identified and current versions maintained on site. A comprehensive program exists to maintain compliance with national and local laws and administrative requirements. At a minimum, the program should include: (1) the assignment of responsibility for ensuring compliance to key employees, (2) adequate training for employees and contractors, (3) documented standard operation procedures for higher risk activities, and (4) a program of internal compliance inspections. Internal and, where available, external (e.g., regulatory agency) compliance inspection results must demonstrate a high degree of regulatory compliance. In addition, field sampling must confirm the accuracy of these inspection results. Where instances of non-compliance have been identified, either by third parties or through internal compliance monitoring by the forest manager, appropriate actions have been taken to prevent their recurrence. Criterion 1.2 All applicable and legally prescribed fees, royalties, taxes and other charges shall be paid. All legally prescribed fees, royalties, taxes and other charges (e.g., stumpage and royalty charges, forest land taxes and licensing fees, logging taxes, etc.) have been paid. NB: Prior to assessing compliance with this criterion, the auditor must determine the nature of any fees, royalties, taxes and other charges that apply to the forest area being evaluated. Field(required) Interviews(potential) Field Page 1 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 1.0 Compliance with Laws and FSC Principles Forest management shall respect all applicable laws of the country in which they occur, and international treaties and agreements to which the country is signatory, and comply with all FSC Principles and Criteria. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 1.3 In signatory countries, the provisions of all binding international agreements such as CITES, ILO conventions, ITTA and Convention on Biological Diversity, shall be respected. Current copies of all applicable international agreements and conventions are maintained on site or are readily available. Key staff representatives are aware of the relevant agreements and applicable legal responsibilities. There is evidence of compliance with all applicable international agreements and conventions. NB: Prior to assessing compliance with this criterion, the auditor must determine which international agreements apply to the forest area being evaluated. Criterion 1.4 Conflicts between laws, regulations and the FSC Principles and Criteria shall be evaluated for the purposes of certification, on a case by case basis, by the certifiers and the involved or affected parties. The forest manager has reviewed the FSC Principles and Criteria in relation to local laws and regulations to determine whether any significant conflicts exist and, where this is the case, taken reasonable steps to attempt to resolve the conflict. NB: where local laws are in direct conflict with a critical criteria of this standard, certification cannot be granted. Documentation(recommended) Field(recommended) Documentation (potential) Interviews (required) Field Page 2 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 1.0 Compliance with Laws and FSC Principles Forest management shall respect all applicable laws of the country in which they occur, and international treaties and agreements to which the country is signatory, and comply with all FSC Principles and Criteria. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 1.5 Forest management areas should be protected from illegal harvesting, settlement and other unauthorized activities. Responsibility for protecting the forest area from illegal harvesting, settlement and other unauthorized activities must be clearly assigned. Procedures for periodic surveillance monitoring, incident reporting and taking action to protect against illegal harvesting, settlement and other unauthorized activities have been developed and implemented. NB: Depending on the jurisdiction, responsibility for protecting the forest from unauthorized activities may rest with the forest manager, regulatory agencies or a third party. Criterion 1.6 Forest managers shall demonstrate a long-term commitment to adhere to the FSC Principles and Criteria. The forest manager has made a formal, written commitment to the FSC Principles and Criteria. The forest management plan must demonstrate a commitment to long term forest management, and include: (1) long term projections for forest growth and yield, and (2) a harvest schedule that is consistent with the plan s management objectives. Forest practices are being carried out in accordance with the long term forest management plan required under Principle #7. The extent of changes in land use (including forest conversion) and ownership does not preclude achievement of the long-term commitment to adhere to the FSC Principles and Criteria. Documentation(recommended) Field(required) Field(required) Page 3 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 1.0 Compliance with Laws and FSC Principles Forest management shall respect all applicable laws of the country in which they occur, and international treaties and agreements to which the country is signatory, and comply with all FSC Principles and Criteria. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Overall Score for Principle 1: Justification for the Score Given: Page 4 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 2.0 Tenure and Use Rights and Responsibilities Long-term tenure and use rights to the land and forest resources shall be clearly defined, documented and legally established. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 2.1 Clear evidence of long-term forest use right to the land (e.g., land title, customary rights, or lease agreements) shall be demonstrated. In jurisdictions where forest use rights are included under the land title or lease agreements, documentary evidence must exist that the forest manager has a long-term right to use the land. In jurisdictions where forest use rights are customary and may not be addressed in legal documents, adequate interview evidence (regulatory agencies, surrounding communities, etc.) must exist to demonstrate that the forest manager has a long-term right to use the land. NB: Although forest tenure arrangements vary by jurisdiction, it is preferable that the forest manager s land use rights cover a period of 20 years or greater. Interviews(recommended) Field Page 5 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 2.0 Tenure and Use Rights and Responsibilities Long-term tenure and use rights to the land and forest resources shall be clearly defined, documented and legally established. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 2.2 Local communities with legal or customary tenure or use rights shall maintain control, to the extent necessary to protect their rights or resources, over forest operations unless they delegate control with free and informed consent to other agencies. Local communities with established legal or customary tenure or resource use rights have been identified by the forest manager (e.g., water licences, guide outfitters, trappers, berry pickers, mushroom pickers, traditional hunting and gathering areas of indigenous peoples, etc.). Prior to carrying out forest operations, the forest manager has evaluated their potential impacts on the legal or customary use rights of local communities, and identified any instances where there is a significant risk of infringement of those rights. The forest manager has consulted with the local communities that are potentially affected, and (1) made a reasonable effort to accommodate the interests of those that are not subject to specific use rights or whose rights are explicitly secondary to forest management activities, and (2) obtained the free and informed consent of those parties with specific use rights that are required to be maintained. Field Page 6 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 2.0 Tenure and Use Rights and Responsibilities Long-term tenure and use rights to the land and forest resources shall be clearly defined, documented and legally established. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 2.3 Appropriate mechanisms shall be employed to resolve disputes over tenure claims and use rights. The circumstances and status of any outstanding disputes will be explicitly considered in the certification evaluation. Disputes of substantial magnitude involving a significant number of interests will normally disqualify an operation from being certified. The forest manager must maintain documentation of all previous and ongoing disputes over tenure claims and use rights, including the nature of any consultations between the forest manager and the affected party(ies). The forest manager must disclose all known disputes to the certification body. There is an appropriate process for resolving each significant dispute. Depending on the nature of the dispute and the jurisdiction in question, the process may involve consultation and negotiation with the affected party(ies), mediation and/or access to a court of law. The forest manager must have made substantive efforts to initiate and maintain the process for resolving each significant dispute (i.e., contacting the affected party(ies), arranging and attending meetings with them in an attempt to resolve the dispute, providing adequate resources to the dispute resolution process, etc.). Disputes of substantial magnitude involving a significant number of interests have either been resolved, or are being addressed through a larger land use planning process which has the support and ongoing participation of all parties to the dispute. Overall Score for Principle 2: Field N/A. Justification for the Score Given: Page 7 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 3.0 Indigenous Peoples' Rights The legal and customary rights of indigenous peoples to own, use and manage their lands, territories, and resources shall be recognized and respected. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 3.1 Indigenous peoples shall control forest management on their lands and territories unless they delegate control with free and informed consent to other agencies. The forest manager has clearly identified those portions of the forest management area which include: (1) lands and territories to which indigenous peoples hold clear title, and (2) areas of customary use by indigenous peoples (including those which may be subject to native land claims). Prior to carrying out forest operations, the forest manager has evaluated their potential impacts on the legal or customary use rights of indigenous peoples, and identified any instances where there is a significant risk of infringement of those rights. The forest manager has consulted with the indigenous peoples that are potentially affected, and (1) made a reasonable effort to accommodate their interests, and (2) obtained their free and informed consent to the forest operations in question. Criterion 3.2 Forest management shall not threaten or diminish, either directly or indirectly, the resources or tenure rights of indigenous peoples. The forest manager has clearly identified the resources and tenure rights of indigenous peoples within the forest management area (i.e., resources obtained from areas of customary use, formal tenure rights held by indigenous peoples). Forest management planning is done in consultation with the potentially affected indigenous peoples, and actions required to mitigate the potential impacts on the resources and tenure rights of indigenous peoples are implemented where required. Field(potential) Field(potential) Page 8 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 3.0 Indigenous Peoples' Rights The legal and customary rights of indigenous peoples to own, use and manage their lands, territories, and resources shall be recognized and respected. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 3.3 Sites of special cultural, ecological, economic or religious significance to indigenous peoples shall be clearly identified in cooperation with such peoples, and recognized and protected by forest managers. Prior to conducting forest operations and in cooperation with potentially affected indigenous peoples, the forest manager has clearly identified those sites which are of special cultural, ecological, economic or religious significance. These sites are accurately noted on applicable maps and in operational planning documents (the maps may have restricted access to maintain the confidentiality of the information where appropriate). In cooperation with potentially affected aboriginal peoples, the forest manager has developed and implemented procedures that are sufficient to protect the sites of special cultural, ecological, economic or religious significance identified through the above process. Field(recommended) Page 9 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 3.0 Indigenous Peoples' Rights The legal and customary rights of indigenous peoples to own, use and manage their lands, territories, and resources shall be recognized and respected. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 3.4 Indigenous peoples shall be compensated for the application of their traditional knowledge regarding the use of forest species or management systems in forest operations. This compensation shall be formally agreed upon with their free and informed consent before forest operations commence. The forest manager has consulted with indigenous peoples regarding opportunities for the application of their traditional knowledge regarding the use of forest species or management systems in forest operations. Where the forest manager is reasonably able to apply the traditional knowledge of aboriginal peoples in the use of forest species or management systems while meeting the management objectives laid out in the forest management plan, compensation shall be paid to the indigenous peoples for the knowledge provided. Compensation for the traditional knowledge provided to aboriginal peoples must be formally agreed upon with their free and informed consent before forest operations commence. NB: In determining whether the compensation provided (if any) is appropriate, the auditor must consider the extent to which the knowledge provided is generally available in the public domain, and the value that it may represent to the forest manager in implementing the forest management plan. Overall Score for Principle 3: Field Justification for the Score Given: Page 10 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 4.0 Community Relations and Worker's Rights Forest management operations shall maintain or enhance the long-term social and economic well-being of forest workers and local communities. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 4.1 The communities within, or adjacent to, the forest management area should be given opportunities for employment, training, and other services. The majority of forest workers should come from local communities. In remote or sparsely populated areas where the majority of workers must be brought in, there should be evidence that local communities have been afforded adequate opportunities for employment, training and other services. The compensation provided to forest workers (wages and benefits) is fair and reflective of local standards. The forest manager has provided an appropriate level of community support, commensurate with the size and profitability of the operation (e.g., investment in community infrastructure and social services, use of local industrial suppliers, etc.). The forest manager has contributed to the education of local communities regarding forest management issues (e.g., conducting woodlands tours, meeting with community groups, etc.). Documentation (required) Interviews (required) Field Page 11 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 4.0 Community Relations and Worker's Rights Forest management operations shall maintain or enhance the long-term social and economic well-being of forest workers and local communities. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 4.2 Forest management should meet or exceed all applicable laws and/or regulations covering health and safety of employees and their families. All forest workers are provided with the required safety equipment applicable to the jurisdiction within which the forest management area resides (e.g., hard hats, protective footwear, etc.). The forest manager has implemented a comprehensive safety program designed to limit the number and seriousness of industrial accidents. At a minimum, the program should include worker safety training, the development of safe job procedures (where required), worker safety meetings and periodic inspections of work sites to ensure safe working conditions. The safety program is effective in ensuring regulatory compliance in field operations. Where infractions have occurred, there is evidence that changes have been made to the program to prevent their recurrence. All employees are aware of the health and safety requirements that relate to their job function. Forest workers are provided with adequate health and safety coverage to ensure that they and their families are provided for in the event of a worksite accident. Field(required) Page 12 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 4.0 Community Relations and Worker's Rights Forest management operations shall maintain or enhance the long-term social and economic well-being of forest workers and local communities. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 4.3 The rights of workers to organize and voluntarily negotiate with their employers shall be guaranteed as outlined in Conventions 87 and 98 of the International Labour Organization (ILO). All employees are aware of: (1) their rights to organize and negotiate with their employers, and (2) the existence and nature of the dispute resolution process that is available to them. Attempts to organize and voluntarily negotiate with employers have not been stymied by employers. A process to resolve workplace disputes exists, including, at a minimum: (1) a formal grievance process, (2) the right to strike, and (3) access to mediation or other formal dispute resolution mechanism whether direct worker-employer negotiation proves unsuccessful. Where appropriate (i.e., for disputes of a non-trivial nature), workeremployer disputes are documented, and the dispute resolution process implemented in order to resolve the dispute between the parties. Field Page 13 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 4.0 Community Relations and Worker's Rights Forest management operations shall maintain or enhance the long-term social and economic well-being of forest workers and local communities. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 4.4 Management planning and operations shall incorporate the results of evaluations of social impact. Consultations shall be maintained with people and groups directly affected by management operations. The forest manager has completed an evaluation of the potential social impacts of management operations within the forest area (e.g., impact on local employment levels, indirect economic benefits to suppliers and others, impacts on community water supplies and viewscapes, etc.). The results of evaluations of social impact are incorporated within forest management plans, including the development of specific management objectives and targets, where appropriate. Employees, local communities and other groups directly affected by management operations are provided an opportunity for consultation in forest management planning and ongoing forest practices, including the opportunity to review and comment on forest management plans. Feedback from employees, local communities and other groups directly affected by management operations is considered in the development and implementation of forest management plans. Prior to carrying out the management operations, the forest manager will make a reasonable effort to address any concerns identified. Field Page 14 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 4.0 Community Relations and Worker's Rights Forest management operations shall maintain or enhance the long-term social and economic well-being of forest workers and local communities. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 4.5 Appropriate mechanisms shall be employed for resolving grievances and for providing fair compensation in the case of loss or damage affecting the legal or customary rights, property, resources, or livelihoods of local peoples. Measures shall be taken to avoid such loss or damage. The management plan (or similar documentation) will specify procedures to be employed for resolving grievances and for providing fair compensation in the case of loss or damage affecting the legal or customary rights, property, resources, or livelihoods of local peoples. Where management operations have resulted in such loss or damage, the forest manager will have employed these procedures. Where warranted by the level of risk posed to the legal or customary rights, property, resources, or livelihoods of local peoples, the forest manager will develop and implement specific procedures designed to avoid such loss or damage (e.g., standard operating procedures for road construction, harvesting, etc.).. Overall Score for Principle 4: Field(potential) Justification for the Score Given: Page 15 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 5.0 Benefits From the Forest Forest management operations shall encourage the efficient use of the forest's multiple products and services to ensure economic viability and a wide range of environmental and social benefits. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 5.1 Forest management should strive toward economic viability, while taking into account the full environmental, social, and operational costs of production, and ensuring the investments necessary to maintain the ecological productivity of the forest. The forest management operation is both economically and ecologically sustainable. In other words, forest practices result in an acceptable financial rate of return, while ensuring that environmental and social requirements are considered and adequately provided for. Any actions taken to address immediate financial concerns (e.g., quarterly financial results, poor markets for forest products, etc.) do not compromise the long term sustainability of the forest values present within the forest area or the achievement of management plan objectives. An adequate portion of the profits from the forest management operation is re-invested to ensure the maintenance of ecological productivity of the forest. Examples of such investments would include ecological research, stream rehabilitation works, projects designed to improve soil productivity and ecological function, etc. NB: The determination of what is an adequate portion of the profits to re-invest is expected to vary between forest management units, and is dependent on the nature of the resource management issues present. Field(potential) Page 16 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 5.0 Benefits From the Forest Forest management operations shall encourage the efficient use of the forest's multiple products and services to ensure economic viability and a wide range of environmental and social benefits. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 5.2 Forest management and marketing operations should encourage the optimal use and local processing of the forest's diversity of products. Where: (1) adequate local processing facilities exist, and (2) the products from the forest management area are not otherwise encumbered by pre-existing supply agreements to outside processing facilities, a portion of those products should be offered to local processing facilities at current market prices. Where economically feasible, the forest manager will encourage value-added processing of the products produced from the forest. NB: The determination of the portion of forest products that should be offered to local processors will depend on the nature of the local processing facilities, their ability to process the products in an efficient and cost effective manner (e.g., correct species, log grades, etc.), and the availability of other sources of supply. NB: Under most circumstances, a blend of value-added and commodity forest products will provide the optimal mix of uses for the products produced from a given forest. The exact split will depend on the structure and profitability of the industry, production costs, and the availability of markets for the range of finished products that may be produced. Documentation(potential) Field Page 17 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 5.0 Benefits From the Forest Forest management operations shall encourage the efficient use of the forest's multiple products and services to ensure economic viability and a wide range of environmental and social benefits. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 5.3 Forest management should minimize waste associated with harvesting and on-site processing operations and avoid damage to other forest resources. Defensible targets are set, monitored and achieved for the level of waste to be left on site. Harvesting and on-site processing operations are designed to minimize waste, including the selection of equipment and techniques designed to minimize waste and breakage. Other forest resources at operating sites are identified and practices employed to avoid damage to them (e.g., introduction of deleterious levels of logging debris to streams is avoided, wildlife patches and nesting trees are protected, etc.). NB: Targets for wood waste may vary between stands and forest types, and will be dependent on a number of factors, including stand age, extent of decay in standing and down trees, and objectives for coarse woody debris. In most cases, the volume of on-site waste and breakage (excluding decay) will not exceed 5% of net stand volume. Interviews(potential) Field(required) Page 18 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 5.0 Benefits From the Forest Forest management operations shall encourage the efficient use of the forest's multiple products and services to ensure economic viability and a wide range of environmental and social benefits. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 5.4 Forest management should strive to strengthen and diversify the local economy, avoiding dependence on a single forest product. Forest management promotes long term community stability by ensuring that current harvest levels are set in consideration of the need to maintain a sustainable wood supply. Where the current harvest level is temporarily above that considered sustainable, there is explicit socio-economic justification given (e.g., maintenance of community stability), with future projections showing a return to the long term sustainable harvest level in the short term. The forest manager has assessed the potential for the sustainable production of non-timber products from the forest area (e.g., fisheries values, botanical forest products, recreational opportunities, hunting, etc.), and incorporated this within the forest management planning process. The forest manager has made an effort to strengthen and diversify the local economy through: (1) encouragement of the production of non-timber products from the forest area, and (2) working with other interests in maintaining opportunities for non-consumptive forest use (e.g., tourism, recreation, etc.). Documentation(recommended) Field Page 19 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 5.0 Benefits From the Forest Forest management operations shall encourage the efficient use of the forest's multiple products and services to ensure economic viability and a wide range of environmental and social benefits. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 5.5 Forest management operations shall recognize, maintain, and, where appropriate, enhance the value of forest services and resources such as watersheds and fisheries. Detailed inventory data exists outlining the nature of forest services and resources present within the forest area (e.g., ecological site classification data, location of community water supply intakes, wildlife habitat inventories, stream classification data, recreation areas, etc.). Where such data do not yet exist, plans have been developed to gather this information prior to the conduct of forest management operations. Forest services and resources are explicitly considered in the forest management planning process. Plans identify management objectives and actions designed to maintain, and, where appropriate, enhance the value of forest services and resources present. The actions designed to maintain, and, where appropriate, enhance the value of forest services and resources present are implemented in the field as required. Field(required) Page 20 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 5.0 Benefits From the Forest Forest management operations shall encourage the efficient use of the forest's multiple products and services to ensure economic viability and a wide range of environmental and social benefits. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 5.6 The rate of harvest of forest products shall not exceed levels which can be permanently sustained. Actual harvest levels are monitored and recorded by the forest manager. The determination of an allowable harvest level is based on a long term ecosystem based planning process that: (1) employs current forest inventory data, (2) considers the views of local communities and other stakeholders, and (3) incorporates strategies designed to maintain ecological sustainability, community stability and the full range of resource values present. Current harvest levels are set in consideration of the need to maintain a sustainable wood supply. Where the current harvest level is temporarily above that considered sustainable, there is explicit socioeconomic justification given (e.g., a written justification for the harvest level that considers both the environmental and economic impacts, demonstrates the short-term socio-economic impacts of reduced harvest levels on local communities, etc. and provides projections showing a return to the long term sustainable harvest level in the short term). NB: It is recognized that various factors considered in the determination of allowable harvest levels may at times be in conflict (e.g., is some situations, a desire to maintain community stability may conflict with the need to reduce the harvest to the long term sustainable level). In such situations, short term variations from the level considered sustainable may be allowed where justification is given, provided that ecosystem health and the sustainability of long term harvest levels are not put at risk. Overall Score for Principle 5: Interviews(potential) Field Justification for the Score Given: Page 21 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 6.0 Environmental Impact Forest management shall conserve biological diversity and its associated values, water resources, soils, and unique and fragile ecosystems and landscapes, and, by so doing, maintain the ecological functions and the integrity of the forest. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 6.1 Assessment of environmental impacts shall be completed appropriate to the scale, intensity of forest management and the uniqueness of the affected resources and adequately integrated into management systems. Assessments shall include landscape level considerations as well as the impacts of on-site processing facilities. Environmental impacts shall be assessed prior to commencement of site-disturbing operations. The forest manager has completed an assessment of actual and potential landscape level environmental impacts (e.g., reduction in landscape level biodiversity, ecosystem fragmentation, impact on protected areas, etc.), and developed objectives and procedures designed to minimize any adverse impacts prior to carrying out forest operations. The forest manager has completed an assessment of actual and potential stand level environmental impacts (e.g., loss of soil productivity, reduction in water quality, loss of critical wildlife habitat, etc.), and developed objectives and procedures designed to minimize any adverse impacts prior to carrying out forest operations. The forest manager has completed an assessment of actual and potential impacts of on-site processing facilities (e.g, fuel and chemical spills, risk of operational fires, accumulation of industrial waste, etc.), and developed objectives and procedures designed to minimize any adverse impacts prior to carrying out processing operations. NB: The objectives and procedures developed by forest managers may be incorporated within forest management plans or outlined in detailed standard operating procedures. Interviews(recommended) Field(required) Page 22 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 6.0 Environmental Impact Forest management shall conserve biological diversity and its associated values, water resources, soils, and unique and fragile ecosystems and landscapes, and, by so doing, maintain the ecological functions and the integrity of the forest. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 6.2 Safeguards shall exist which protect rare, threatened and endangered species and their habitats (e.g., nesting and feeding areas). Conservation zones and protection areas shall be established, appropriate to the scale and intensity of forest management and the uniqueness of the affected resources. Inappropriate hunting, fishing, trapping and collecting shall be controlled. A process is in place to identify and protect rare, threatened and endangered species and their habitats prior to conducting forest operations. Where rare, threatened or endangered species and their habitats are found to exist on the forest management area, appropriate measures are taken to protect them including participation in larger scale species recovery plans where warranted and the collection of the species abundance data necessary to determine their effectiveness. Conservation zones and protection areas are established (where justified by the scale and intensity of forest management) to protect specific on-site features and habitat (e.g., nesting trees, rare plant communities, etc.) through exclusion from harvest or modification of the silvicultural system. A process is in place to control inappropriate hunting, fishing, trapping and collecting activities within the forest area (e.g. licensing, periodic enforcement inspections, etc.). NB: Depending on the jurisdiction, responsibility for controlling inappropriate activities within the forest may rest with either the forest manager or regulatory agencies. Criterion 6.3 Ecological functions and values shall be maintained intact, enhanced, or restored, including: Field(recommended) Page 23 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 6.0 Environmental Impact Forest management shall conserve biological diversity and its associated values, water resources, soils, and unique and fragile ecosystems and landscapes, and, by so doing, maintain the ecological functions and the integrity of the forest. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 6.3a Forest regeneration and succession. Site preparation methods should not adversely affect soil productivity. Natural regeneration should form a component of all regenerated stands. Where planting is the primary method of regeneration, a significant number of the trees in regenerated stands (calculated as an average of all stands deemed to be regenerated or free growing during the audit period) should be of natural origin (pre-existing advance regeneration or seeded in following disturbance). Forest management serves to ensure that natural forest succession patterns are maintained intact, enhanced or restored. For example, silviculture treatments such as brush control, juvenile spacing (thinning), etc. will be planned and implemented in such a way as to ensure that an appropriate range of successional stages are present. NB: A 25% natural regeneration minimum can be used as a general rule but must be considered in the context of local conditions are forest types. Interviews(recommended) Field(required) Page 24 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 6.0 Environmental Impact Forest management shall conserve biological diversity and its associated values, water resources, soils, and unique and fragile ecosystems and landscapes, and, by so doing, maintain the ecological functions and the integrity of the forest. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 6.3b Genetic, species, and ecosystem diversity. Forest management plans incorporate objectives and actions designed to ensure that genetic, species and ecosystem diversity are maintained intact, enhanced or restored. Forest practices encourage the maintenance, enhancement and/or restoration of genetic diversity (e.g., use of seed sources drawn from several genetically diverse parent trees from a local provenance, maintenance of forest reserve areas as gene pools, silviculture practices which retain a component of the original stand as a genetic legacy, etc.). Forest practices encourage the maintenance, enhancement and/or restoration of species diversity (e.g., reforestation with multiple tree species, retention of a hardwood component in some forest types, thinning programs which promote the growth of multiple tree species, etc.). Forest practices encourage the maintenance, enhancement and/or restoration of ecosystem diversity (e.g., retention of the historic range of forest types and seral stages across the landscape, provision for connectivity corridors to prevent or reduce forest fragmentation, retention of a component of standing dead and down trees in harvest areas, etc.). NB: Depending on the nature of the forest management unit and the ecological impacts of past practices, specific management emphasis may be required with respect to the maintenance, enhancement and/or restoration of the elements of biological diversity. Interviews(recommended) Field(required) Page 25 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 6.0 Environmental Impact Forest management shall conserve biological diversity and its associated values, water resources, soils, and unique and fragile ecosystems and landscapes, and, by so doing, maintain the ecological functions and the integrity of the forest. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 6.3c Natural cycles that affect the productivity of the forest ecosystem. Forest management planning will incorporate the consideration of natural cycles, and the implications that these may for ecosystem productivity. Where even-aged management is planned, the historic range and variability in natural disturbance patterns (e.g., wildfires, windthrow, pest damage, etc.) will be taken into account when determining appropriate rotation ages. Short rotation forestry which puts long term ecosystem productivity at risk should be avoided (i.e., short rotation single species management, aggressive brush control, heavy use of fertilizers, etc.). Interviews(recommended) Field(potential) Page 26 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 6.0 Environmental Impact Forest management shall conserve biological diversity and its associated values, water resources, soils, and unique and fragile ecosystems and landscapes, and, by so doing, maintain the ecological functions and the integrity of the forest. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 6.4 Representative samples of existing ecosystems within the landscape shall be protected in their natural state and recorded on maps, appropriate to the scale and intensity of operations and the uniqueness of the affected resources. Representative samples of existing ecosystems have been protected in their natural state and recorded on maps. Protected areas include rare ecosystems, critical wildlife habitat and adequate representation of the range of sites occurring within the forest management unit. Protected areas are managed to restore or maintain the full range of ecosystems present within the forest management unit. The proportion of the management unit contained in protected areas is appropriate to the scale and intensity of operations and the uniqueness and sensitivity of the affected resources. Where the scale of operations is small and/or the affected resources are not unique, a lower proportion of protected area is required. Conversely, where the scale of operations is large and/or areas of rare or unique ecosystems are present, a larger proportion of the management unit should be included in protected areas. NB: In some jurisdictions, representative examples of existing ecosystems may already be protected either within, adjacent to or in close proximity to the forest management unit. Where this is the case, the auditor should consider their existence and contribution when determining whether adequate representation of the range of sites has been achieved, or whether additional protected areas are required. Factors to be considered in determining representativeness include size, shape, location, contiguousness, etc. Field(required) Page 27 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 6.0 Environmental Impact Forest management shall conserve biological diversity and its associated values, water resources, soils, and unique and fragile ecosystems and landscapes, and, by so doing, maintain the ecological functions and the integrity of the forest. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 6.5 Written guidelines shall be prepared and implemented to: control erosion; minimize forest damage during harvesting, road construction, and all other mechanical disturbances; and protect water resources. Written guidelines have been prepared and implemented to control erosion, minimize forest damage and protect water resources during: (1) harvesting, (2) road construction and (3) all other mechanical disturbances (e.g., mechanical site preparation). The guidelines should outline: (1) responsibilities for ensuring that they are implemented as required, (2) detailed operating procedures and environmental constraints (e.g., road construction practices on steep terrain, road construction and harvesting practices near streams, harvesting equipment limitations on wet, sensitive sites, etc.), and (3) procedures to be followed in the event of environmental emergencies. Field(required) Page 28 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 6.0 Environmental Impact Forest management shall conserve biological diversity and its associated values, water resources, soils, and unique and fragile ecosystems and landscapes, and, by so doing, maintain the ecological functions and the integrity of the forest. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 6.6 Management systems shall promote the development and adoption of environmentally friendly non-chemical methods of pest management and strive to avoid the use of chemical pesticides. World Health Organization Type 1A and 1B and chlorinated hydrocarbon pesticides; pesticides that are persistent, toxic or whose derivatives remain biologically active and accumulate in the food chain beyond their intended use; as well as any pesticides banned by international agreement, shall be prohibited. If chemicals are used, proper equipment and training shall be provided to minimize health and environmental risks. Where justified by the intensity of forest management, forest health related activities should be guided by an overall pest management strategy. Management systems promote the development and adoption of environmentally friendly non-chemical methods of pest management. When non-chemical treatment options exist and are shown to be effective and reasonably cost-competitive with chemical methods (e.g., manual brushing of certain woody species where re-sprouting is unlikely and access is not a problem), preference should be given to their use. World Health Organization Type 1A and 1B and chlorinated hydrocarbon pesticides; pesticides that are persistent, toxic or whose derivatives remain biologically active and accumulate in the food chain beyond their intended use; as well as any pesticides banned by international agreement, are prohibited. Where approved chemicals are used, proper equipment (e.g., spray suits, gloves, eye protection, dust masks, etc.) and training is provided to workers to minimize health and environmental risks. Documentation(recommended) Field(potential) Page 29 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable
Principle 6.0 Environmental Impact Forest management shall conserve biological diversity and its associated values, water resources, soils, and unique and fragile ecosystems and landscapes, and, by so doing, maintain the ecological functions and the integrity of the forest. FSC Criteria and Associated of Compliance Audit Procedures S Mi Ma N/A Auditor Comments Criterion 6.7 Chemicals, containers, liquid and solid non-organic wastes including fuel and oil shall be disposed of in an environmentally appropriate manner at off-site locations. An effective waste management and recycling program (e.g., collection and recycling of waste oil, used batteries, fuel and chemical containers, etc.) appropriate to the materials in use in forest operations is in place. Criterion 6.8 Use of biological control agents shall be documented, minimized, monitored and strictly controlled in accordance with national laws and internationally accepted scientific protocols. Use of genetically modified organisms shall be prohibited. Pest control methods which utilize non-biological control agents are given preference where they are shown to be effective and reasonably cost-competitive. Where biological control methods are used, comprehensive records of use are maintained by the forest manager. All applications of biological control methods are conducted by workers who are competent on the basis of adequate training and experience. Application rates and weather conditions are monitoring during application to minimize environmental risks. Use of genetically modified organisms is prohibited in all aspects of forest operations. Documentation(potential) Field(required) Interviews(recommended) Field(potential) Page 30 S = Satisfactory Mi = Minor Non-Conformance Ma = Major Non-Conformance N/A = Not Applicable