The Malaysian Timber Certification Manual

SGS (Malaysia) Sdn Bhd
3rd Floor
Bangunan John Hancock
Jalan Semantan
Damansara Heights
50490 Kuala Lumpur
Malaysia
Tel 03 - 2559200
Fax 03 - 2559611

2.0 Requirements For Forest Management Certification

3.0 Best Practice Guidelines
3.1 Forest Management Policies Guidelines and Systems
3.2 Forest Management Planning for Natural Forests
3.3 Plantation Management
3.4 Social Impacts and Community Consultation
3.5 Monitoring
3.6 Training

4.0 Assessment Procedures
4.1 Pre-Assessment
4.2 Main Assessment
4.3 Peer Review, Certification And Registration

5.0 Monitoring Of Compliance

6.0 Cost Guidelines

7.0 References

1.0 Introduction

1.1 Background

A Pilot Study on Timber Certification in Malaysia developed through a Joint Working Group committee between the governments of Malaysia and Netherlands was implemented by SGS (Malaysia) Sdn Bhd under a contract with, the Malaysian Timber Council (MTC). The main aspects of the Pilot Study were assessments of forest management of Terengganu, Selangor and Pahang and several chain of custody audits. The Pilot Study forest management assessments were undertaken against the requirements of the Malaysian Criteria, Indicators, Activities and Management Specifications for Forest Management Certification (MC&I), dated 17 August 1996. In addition, the Terms of Reference for SGS Malaysia Sdn. Bhd. included the preparation of a Manual clearly describing both Forest Management Certification and Product Certification, in order to provide a model for others to follow.

Certification is a means to demonstrate a quality forest management system which is consistent with Malaysia’s commitment to achieve the ITTO’s year 2000 objective of Sustainable Forest Management. Forest management and chain of custody certification enable greater market access to Malaysian exporters of timber products derived from certified forests, in markets where certification is demanded.

1.2 Forest Management Certification

Basically, certification of forest management is a system whereby a respected independent party can verify in a written statement (or certificate) that the timber product to be purchased, originates from a producer which adheres to accepted practices of forest management as defined by the certifying body. International standards are already in place for general quality management systems such as ISO 9000 while ISO 14001 has recently been adopted for environmental systems. There are ongoing discussions on incorporating ISO 14000 standards for use in forestry although this has not yet been universally accepted. The lead to develop a global standard for forestry has been taken by the Forest Stewardship Council (FSC) which has issued international Principle and Criteria for forest management (FSC 1995). FSC functions as an international accreditation body to evaluate and monitor forest certification bodies and provides an FSC label for use by accredited organizations. The SGS QUALIFOR program holds FSC accreditation.

The International Tropical Timber Organization (ITTO) has established general criteria for the measurement of forest sustainability (ITTO 1992a). ITTO further developed guidelines for the sustainable management of natural and planted tropical forests as well as the conservation of bio-diversity (ITTO 1992b, 1993, 1993a). Although ITTO’s criteria and guidelines were developed for tropical forests they are quite similar to that of FSC. ITTO has been actively reporting on the development of forest certification, but the organization does not evaluate, accredit or monitor individual certifying bodies nor does it provide a system for labeling forest management or products .

Malaysia, which is a producing member nation of ITTO has agreed to ITTO’s objective to achieve sustainable production of its forest resources by the year 2000. The term sustainability is constantly being used in forestry to imply quality of forest management which goes beyond management to sustain timber yields. ITTO defines sustainable management of tropical forests as :

"...the process of managing permanent forest land to achieve one or more clearly specified objectives of management with regard to the production of a continuous flow of desired forest products and services without undue reduction of its inherent values and future productivity and without undue undesirable effects on the physical and social environment." (ITTO 1992a).

Key attributes common to criteria and indicators of sustainable forest management are the system should provide for :

1. sustained yield of all forest products
2. maintenance of environmental integrity
3. preservation of social benefits and cultural values

The process of assessment and certification essentially acts as a tool to measure compliance to a set of criteria or indicators of sustainable forest management. There are two fundamental objectives of timber certification : (1) to improve forest management to internationally accepted standards and (2) to aid in market access by assuring consumers that the timber products for sale comes from well managed sources.

Certification of forest management is meant for all types of forests from boreal to tropical, natural and plantation, as well as all sizes of forests. However, due to economies of scale larger forests will naturally be more economic in terms of the direct costs of assessment for certification.

1.3 Objectives

The objective of the Malaysian Timber Certification Manual is to clearly describe the requirements and assessment process for both forest management and chain-of-custody, in order to provide a model or reference guide for others to follow during the on-going implementation of certification in Malaysia.

This Manual which is divided into two parts will provide a reference guide for the on-going implementation of certification in Malaysia. Part I details the key elements necessary to implement sustainable forest management and also describes the general process of certification while providing an estimate of the direct costs (in man-days) of forest management certification. Part II details the key elements necessary to implement an acceptable chain of custody system for wood processing companies. Part II also describes the general process of chain of custody certification and provides an estimate of the direct costs (in man-days) for chain of custody assessments.

This Manual, "The Malaysian Timber Certification Manual - Part I" , outlines actions required to achieve a quality forest management system to meet international certification standards.

2.0 Requirements For Forest Management Certification

The Malaysian Criteria, Indicators, Activities and Management Specifications for Forest Management Certification (MC&I), dated 17 August 1996, currently applicable to Peninsular Malaysia, are presented in Appendix A.

The criteria and indicators developed by Malaysia are based on the criteria for the measurement of sustainable tropical forest management developed by ITTO. The items listed under Activities and Management Specifications are based mostly on current forestry practices but also on practices soon to be adopted. It is important that the MC&I be reviewed against the ITTO guidelines and other existing international principles of forest management to ensure consistency. The requirements for certification detailed in this manual incorporate the specification listed in the MC&I along with other international standards based on "Best Practice Guidelines".

3.0 Best Practice Guidelines

To assist forest managers in the implementation of certification requirements, guidelines on "Best Practice" which outline the key elements of forest management necessary to achieve a quality forest management system and allow for certification. The Best Practice Guidelines as presented also reference the current forest management practices and the MC&I for elements which are already being implemented or have been identified for implementation in the near future.

The following aspects are covered:

3.1 Forest Management Policies Guidelines and Systems
3.1.1 Forest Management Policies
3.1.2 Forest Management Guidelines
3.1.3 Management Systems

3.2 Forest Management Planning for Natural Forests
3.2.1 Strategic or long term planning :
3.2.2 Medium Term Planning
3.2.3 Operational (Annual) Planning

3.3 Forest Plantation Management
3.3.1 Establishment
3.3.2 Medium Term Planning
3.3.3 Operational (Annual) Planning

3.4 Social Impacts and Community Consultation
3.4.1 Social Impact Assessment
3.4.2 Rights and Consultation

3.5 Monitoring

3.6 Training

3.1 Forest Management Policies, Guidelines and Systems

3.1.1 Forest Management Policies :

The organization managing the forest resource should have documented policies regarding forest stewardship which must be effectively communicated within and outside the organization. The policies should include the main elements of Sustainable Forest Management : (a) sustained yield of all forest products (b) maintenance of environmental integrity and (c) preservation of social benefits and cultural values.

3.1.2 Forest Management Guidelines :

The organization managing the forest resource should have documented standard forest operational guidelines covering the major activities of forestry operations such as site classification, environmental impact assessment, forest road and skid trail engineering, harvesting, silvicultural treatments, forest mensuration, health and safety, etc., which are not specific to any given forest reserve. These guidelines should standardize forest operations and aid in developing a quality forest management system based on Sustainable Forest Management.

Malaysia has many such guidelines on the national level and many of these activities are also addressed in the MC&I.

• Site Classification - MC&I 1.1, 1.2 ; Land Capability Classification 1964; National Forestry Act 1984 (amended 1993), Sec 10(i) ; Currently, Malaysia recognizes 11 functional use classes.

• Environmental Impact Assessment (EIA) guidelines - MC&I 19.2 ; EIA Guidelines for Forest Harvesting of Natural Forests (presently not implemented). Locations over 600m elevation are classified for watershed management


Note : Guidelines should detail methods on conducting an EIA for forest areas such as Permanent Forest Estates (PFE) and be used to functionally zone areas classified as production to provide protection for endangered species and against site degradation of sensitive areas. The EIA guidelines must ensure that forestry operations minimises the negative impacts of its activities upon :

1. Bio-diversity of both flora and fauna
2. Landscape both within and external to the forest operations
3. Structure and nutrient holding capacity of soils
4. Quality and quantity of water resources

• Forest Road Engineering - MC&I 18.2 ; Spesifikasi Jalan-jalan Hutan Untuk Semenanjung Malaysia.

Note : engineering guidelines should protect against erosion and pertain to main roads, secondary forest roads and skid trails.


• Harvesting - MC&I 7.2 ; Panduan Pengusahasilan Hutan ; Panduan Pelaksanaan Penandaan Pokok Dengan Cara Timber Tagging ; Buku Penandaan Pokok ; Panduan Penentuan Had Tebangan dari Maklumat- maklumat Inventori Sebelum Tebangan ; Panduan Pengusahasilan Hutan Melalui Kawalan Isipadu ; Guidelines for Logging in Hill Forest, Peninsular Malaysia ; Garis Panduan Pembalakan Dalam Kawasan Tadahan Air.


Note : Harvesting is the main activity affecting the ecology of the forest and thus must always be conducted in a manner to minimize the impact to the environment. Current rules : only marked trees are felled, directional felling should be implemented, no harvesting on slopes over 40^o and now, all skidding activities are to be confined to predetermined skid trails.


• Silviculture - MC&I 17.4 ; Pek. KPP Bil. 1/96-Peraturan Menggelang Pokok Dan Memotong Akar Pepanjat (GCL) ; Manual Perhutanan Semenanjung Malaysia Akar/Pepanjat1953(Pindaan 1995), Sek. 5.2, Bab16 ; Forest Management Plan for the FMU; Handbook on Enrichment Planting.; Pek. KPP Bil. 2/96 Panduan Aktiviti Tanaman Mengaya.

• Mensuration - MC&I 9.2, 17.2 ; Panduan Kerja Luar Inventori Sebelum Tebangan (Pindaan 1985); Panduan Kerja Luar Inventori Selepas Tebangan.; Manual Perhutanan Semenanjung Malaysia 1953 (Pindaan 1995) Sek. 5.1 Bab 16; Panduan Intepretasi Keputusan Inventori Selepas Tebangan.


Note : forest mensuration currently focuses only on compartment (or logging block) level for pre and post felling inventories. Timber mensuration should also be done at the PFE level to estimate existing volumes and schedule harvesting of individual compartments. (or logging blocks).



• Health and Safety of Forest Workers - MC&I (not mentioned) ; Currently the jurisdiction of different government agencies such as Ministry of Human Resources Development, Ministry of Labor, Ministry of Health.


Note : Existing regulations can be utilized to monitor working and health conditions of forestry personnel working for private contractors

3.1.3 Management Systems :

Although not required by MC&I or ITTO Guidelines, experience has shown that in order to provide assurance that the required level of forest management performance is maintained, it is beneficial to implement a number of additional management system components. Management systems are an important component of QUALIFOR and are required by the recently published standard for environmental management systems, ISO 14001. The key elements of a quality management system are :

• Documentation - The organization being assessed must have adequate documentation and control of such documents regarding the policies, procedures, work instructions, maps, etc. necessary to implement the management system.

• Internal Monitoring - The organization being assessed must monitor its own compliance with relevant regulations, standards and/or codes of practice as appropriate to its scale of operations. Any non-compliance events identified during the monitoring process must be recorded and addressed. All corrective actions taken in response to non-compliance events must be reviewed on a regular basis to determine whether further actions are necessary.

• Management Review - The organization being assessed must periodically review its forest management performance, including social and environmental aspects. This review will take account changes in regulatory, social or economic circumstances, improved scientific or technical knowledge and the needs of the organization to meet these changes. The organization must modify its forest management practices as appropriate based on the results of such periodic reviews. The outcome of the periodic review must be reflected in the organizations policy statements.

• Continual Improvement - Management objectives and targets set by the organisation should demonstrate continual improvement in performance over defined time scales.

3.2 Management Planning For Natural Forests

There are several levels of planning for forest management :

• Strategic or long term planning - National and State level involving planning of existing / future forest resources to meet the demands of general public for industrial, conservation and recreational needs.
• Medium-term plans - defining general forest activities within forest areas such as individual Permanent Forest Estates for a period usually 5-10 years
• Operational planning - (usually annual) covering activities in detail planned for individual compartments or harvesting blocks within a PFE.

Long term planning tends to focus on maintaining forest resources to fulfill the anticipated future demand of the general population. the main activities are establishing Permanent Forest Estates (PFE), Forest Plantations, Wildlife Sanctuaries, National and State Parks, Virgin Jungle Reserves (VJR), etc. sufficient to meet the expected demand. Many of these elements are included in the MC&I under the criteria for Resource Security.

3.2.2 Medium Term Planning :

The organization managing the forest resource must have a documented plan to sustainably manage the forest resources and incorporate planning to minimize detrimental impacts of forestry activities on both the environment and local community (MC&I 2.2). Since certification generally focuses on the management and operations of forest areas (such as PFEs) classified as production, this manual addresses the key elements which should be included in both medium term plans at the PFE level and operational planning at the compartment or harvesting block level.

The function of the medium term plan is to schedule forest management activities (such as harvesting, silviculture, forest road construction, etc.) within a PFE based on existing knowledge of the area usually through inventory data. All forest management activities must incorporate measures to minimize the impact of forestry operations on the environment and maintain benefits to the local community.

Key Elements :

1. Description of the forest area (or PFE) : (a) general - location, legal status, total area, climate, etc. (MC&I 1.2) and (b) detailed - aspects based on an integrated forest inventory to determine : forest types, existing volumes, topography, soils, watercourses, endangered species of fauna and flora, existing roads, etc. Should include a series of maps depicting results of the analysis of inventory data.
   
   
2. Environmental impact assessment (EIA) on the forest area (or PFE) : The organization being assessed must have completed assessments of the environmental impacts of its activities, appropriate to the scale of its operations, and incorporated the results of these into its management planning (MC&I 19.2). The EIA process should include : (a) identification of potentially significant environmental impacts such as steep topography, and habitat requirements of endangered species based on the integrated inventory (b) description of options for mitigating environmental impacts and (c) identification of mitigation measures to be implemented such as functional zoning to identify protection and production areas, limitations on harvesting activities or subscribing of techniques to reduce impact of harvesting.
   
   
3. Assessment of social impacts from forestry operations : Surveys to solicit information from stakeholders of the forest area and adoption of strategies to minimize impacts to the affected communities. Results of the assessment must be acknowledged and incorporated into the management plan. See also 3.4
   
   
4. Functional zoning within production forests : functional zoning within the PFE illustrating production and protection areas based on mapping of topography, site degradation risk, protection of watercourses and reserved areas for preservation of endangered species within the forest estate (MC&I 5.2). Production areas can be further zoned to identify the appropriate harvesting techniques to be employed based on topography or site degradation risk. Zoning should also include aspects to enhance social benefits to the local communities and reduce adverse impacts.
   
   
5. Planning for wildlife and bio-diversity management : Management planning to protect endangered species by enhancing habitat; providing corridors, monitor bio-diversity and limit forest activities to localized areas within the PFE to allow a significant proportion to remain unaffected over the harvesting rotation period.

6. Volume Control - Volume control should be used to maintain a target growing stock that brings the mean annual increment (MAI) and annual allowable cut (AAC) into balance, subject to environmental and social constraints (MC&I 10.1). The AAC for the net production area of each PFE (or forest area) should be based on both existing stock and growth/yield data appropriate for the forest types and local environmental conditions. This information can be derived through analysis of permanent sample plot (PSP) data. PSPs should be set up within PFEs to obtain reliable growth data for each forest type within that PFE. PSP growth data is essential in determining cutting cycle lengths based on residual stand and environmental conditions. Annual projection of timber yields for a given PFE could then be estimated based on harvesting regulations, knowledge of stand growth and existing inventories (MC&I 11.1, 11.2).

7. Harvesting Schedule - Areas to be harvested should be scheduled for logging based on the existing harvestable volume within the net production area of each compartment (or logging block) to meet the calculated AAC for the PFE. The use of "equivalence" in setting cutting limits needs to be clarified as it directly affects the residual stand, thus the cutting cycle length and future AAC calculations. Cutting cycle length for the next rotation of each harvested area must reflect the time required to reach a minimal harvestable volume based on projections of growth of the residual stand within the compartment (or logging block) following harvesting (MC&I 4.1).

8. Silviculture - Use of silvicultural treatments within natural forest management is mainly to improve the growth and survival of commercial species as well as ensure an adequate stock of harvestable trees is attained within the desired rotation. Silvicultural treatments can also be used to promote habitat for endangered species. Silvicultural methods vary according to the management objectives and local environmental conditions. When possible, the management should refrain from the use of chemicals in silvicultural treatments. Malaysia has prescriptions for enrichment planting, cutting lianas, and girdling of undesirable species (MC&I 17.4). Enrichment planting can be used to promote commercial species in areas within the PFE identified as degraded or poorly stocked. Girdling of trees and cutting of lianas can be used to provide increased light availability to commercial species as well as control the dominance of weed species which may effect bio-diversity.
   
   
7. Monitoring of forest growth and dynamics - Monitoring of forest growth and stand dynamics could be accomplished through the system of PSPs (MC&I 11.1, 11.2). PSPs should be re-measured periodically (2-5 years) to record in-growth, growth and mortality of individual trees. PSPs could also serve in evaluating harvesting damage where PSPs are located in areas designated for logging. See also 3.5.

The function of the operational (annual) plan is to plan in detail forest activities (harvesting, silviculture, etc.) for each compartment scheduled within that year. The plan must take into consideration the environmental and social factors when implementing forest activities in order to minimize any negative impact. As from 1996, it is understood that it is now required that District Forest offices to produce an annual Action Plan, detailing all planned operations within the district for the current year.

1. Inventories (Pre-Felling and Tree Marking) - Information on stand volume and spatial distribution of the trees to be harvested is essential in order to plan harvesting activities to minimize impact and efficiently extract the timber (MC&I 9.2, 7.2). This must include a detailed compartment (or logging block) level map which includes all relevant information necessary for planning the operation (topography, protected areas, existing forest roads, location of tagged trees, etc.)
   
   
2. Forest Road Engineering - New forest roads must be engineered according to specifications which minimize impact to the environment, old forest roads should also be re-engineered as appropriate to protect against erosion and site degradation. Forest roads and skid trails must be pre-determined and aligned to ensure maximum efficiency of extraction and minimum damage to the environment (MC&I 18.2).
   
3. Harvesting - Logging must be planned to determine the appropriate harvesting limits and methods to be used within the compartment (or logging block) based on estimated volume, topography and site degradation risk (MC&I 7.1). Plans for harvesting and extraction should be appropriately documented on compartment (or logging block) level maps. Logging must also be implemented by personnel trained in methods to reduce the impact of harvesting using crawler tractors or other methods such as skyline cable systems to ensure protection of the environment against site degradation.

Present regulations dictate that only marked trees are felled, all skidding activities are to be confined within predetermined skid trails, directional felling should be implemented, and slopes which exceed 40 degrees are protected from logging (MC&I 18.2, Garis Panduan Pembalakan Dalam Kawasan Hutan Bukit Semenanjung Malaysia (1988)). Results of the pilot study audit of forest management indicate that these regulations are not always implemented.

The organization managing the forest area (or PFE) must adopt conservation strategies and use appropriate harvesting techniques to minimize impact to the ecology which may be more stringent than required by existing regulations. Use of crawler tractors on pre-defined skid trails on slopes over 20^o may still contribute to excessive soil erosion. To minimize harvesting impacts on steep terrain other reduced impact logging methods such as skyline cable systems may need to be implemented (Hendrison 1990, Pinard et al. 1995). Suitable zoning criteria, incorporating maximum slopes for production forest areas, with differing limits for tractor skidding and other reduced impact methods should be defined.

4. Post Felling Forest Inventory - Information on the residual stand volume following harvesting is essential for determining the cutting cycle length for subsequent harvesting (MC&I 17.2).
   
   
5. Silvicultural Treatments - Appropriate silvicultural treatments are an integral part of ensuring long-term sustainability of the PFE. Silviculture practices should be appropriate to ensure proper regeneration of the harvested area. These should include prescriptions for opening the canopy, control of weed species, enrichment planting and enhancement of habitat for endangered species (MC&I 17.4). Treatments should avoid the use of chemicals when possible and must not use internationally banned chemical pesticides or herbicides. Silviculture practices should include provisions for regular monitoring of the growing stock following harvesting.

3.3 Forest Plantation Management

Although the MC&I contains a range of management specifications specific to plantation forests, it does not address many of the principles of ITTO listed in the "ITTO guidelines for the establishment and sustainable management of planted tropical forests". Consideration may need to be given to the preparation of a specific set of Malaysian criteria and indicators relating to plantations as the sector develops.

ITTO principles on planted tropical forests highlight that plantations should aid to fulfill the needs of the population for improvement of the quality of life but must also incorporate provisions for environmental protection. In general, forest plantations often consist of a single species or utilize a limited number of species reducing bio-diversity to a point that the area can no longer support endangered species. Loss of habitat is the main factor in decreasing wildlife populations. Establishing a plantation under these conditions would further contribute toward extinction of an endangered species.

3.3.1 Establishment

Strategic / long term planning for the establishment of forest plantations should consider the suitability of area to support the plantation without land degradation as well as provide for needs for conservation and subsistence of local communities. Prior to establishment of a plantation, an assessment of environmental, social and economic impacts should be conducted to determine feasibility, identify sensitive areas and enable planning for mitigating potential adverse impacts. Plans for mitigating impacts prior to establishment of the plantation must consider the following aspects :

• Plantations must reduce demands placed on natural forests by providing alternative wood sources producing higher wood volume per unit area per unit time than the natural forest.
• Plantations must, despite the intensive nature of their management, accommodate the other elements of the natural landscape of which they are part, taking into account the conservation of indigenous species of flora and fauna.
• The design, layout and structure of plantations must be established in such a way as to be naturally robust whilst not devaluing significantly the aesthetics of the landscape through operational activities.
• If the organization being assessed has primary forests and/or well-developed secondary forests under its custody, these must not be replaced by plantations except where such replacement is part of a broad land use strategy being implemented by the state or country concerned.
• If present within the plantation area, samples of natural forests and other natural ecosystems must be conserved in sufficient amounts so as not to have a major negative impact on the bio-diversity
• Exotic tree species must not be planted on a wide scale until trials have shown that they are well adapted to the climatic and ecological conditions of the site and perform better than native species under a plantation system.
• Vigorous exotic plantation species must be managed in a way that precludes them from becoming weed species; escaping from within the boundaries of the plantation and displacing indigenous species from natural ecotypes.
• Plantations must not cause significant detrimental impacts on watersheds
• Tree planting may be used to regenerate plantations as a supplement to natural regeneration, fill gaps, and contribute to genetic resource conservation.

The organization managing the forest plantation must have documented standard operational guidelines covering the major operations such as, forest road and skid trail engineering, harvesting, silvicultural treatments, forest mensuration, pest, disease and fire control, environmental monitoring, health and safety, etc., which may or may not be specific to the plantation. These guidelines should standardize plantation operations and aid in developing a quality management system based on sustained yield timber production, protection of environment and maintenance of social benefits to the local communities.

3.3.2 Medium Term Planning

During the establishment phase of the plantation or following establishment, medium term planning tends to focus on scheduling for : 1) harvests, thinning, site preparation and replanting of compartments (or logging blocks); 2) monitoring tree growth; 3) monitoring environmental factors such as siltation, soil fertility, wildlife population trends, etc.; 4) establishing and monitoring research trials to determine growth of various species, effectiveness of bio-control, fertilization requirements, etc.

• The impacts of plantation establishment, management practices and harvest rates on : long term soil productivity water quality and populations of endangered species must be carefully monitored and practices reviewed regularly based on monitoring results.
• The plantation management must regulate the use of chemicals and fertilizers and strive to reduce their use in the plantation and the nursery. Where possible biological means of control must be used in preference to chemical means.

The organization managing the plantation must have an operational (annual) plan which details activities (thinning, harvesting, replanting, etc.) for each compartment (or logging block) scheduled within that year ; plans the maintenance of the nursery and provides for monitoring of tree growth, pests, disease, fire, siltation, activities of contractors, etc. Records on activities should be documented and maintained.

1. Inventories and Compartment Mapping - Information on current stand density, and volume is essential in order to plan thinning and harvesting activities. The compartment (or logging block) level map must include all relevant information necessary for planning thinning and harvesting operations (topography, permanent water courses, existing roads).
   
2. Forest Road Engineering - Since plantations should be located on relatively flat terrain, road systems should be on a grid system with the roads acting as compartment boundaries. Plantation roads must be engineered according to specifications which minimize impact to the environment. Plantation roads must be maintained to avoid erosion and can serve as fire breaks to prevent the spread of wildfires.
   
4. Planting - Use of species appropriate to economic needs and local site conditions should be selected for planting with priority given to native species. Planting should be conducted by trained personnel to aid in seedling survival and growth. Existing specifications for plantations require a minimum planting density of 300 trees/ha for long rotation high quality timber and 900 trees/ha for short rotation (MC&I 14.1).
   
5. Stand Maintenance - Weeding is often necessary to limit competition between the young seedlings and other vegetation. Use of fertilization and herbicides to assist seedling growth must be regulated and monitored.. Weeding treatments should avoid the use of chemicals when possible and must not use internationally banned chemical herbicides or pesticides. Pruning is done as necessary in order to improve timber quality and growth form. Planning tree densities and thinning regimes to promote self pruning and limit the need for mechanical pruning may be preferred. Regular monitoring of the growing stock following planting should be conducted to assess : volume growth, thinning schedules, proper nutritional status, pests or diseases, etc.
   
6. Thinning and Harvesting - Thinning is often conducted at specified time intervals following planting to decrease competition and aid the growth of the remaining trees. Tree marking is often undertaken prior to thinning to identify the specific trees (usually small and deformed trees) to be cut. Extraction must be planned and implemented by trained personnel to minimize damage to the residual stand.


Present regulations for harvesting on planted areas dictate that these areas are to be clear-felled (MC&I 7.1). Clear-felled areas should not significantly affect : water quality or quantity of adjacent streams, soil structure or fertility, populations of endangered species. Harvesting rotations are anticipated at less than 10 years for pulpwood, 10-20 years for general utility timber and over 20 years for high quality timber (MC&I 14.1).


7. Nursery Maintenance - Nursery should be of scale appropriate to supply a sufficient number of quality seedlings for annual replanting. Preference should be given to the production of native species. Personnel in charge of the nursery should be adequately trained in nursery techniques. Use of chemicals within the nursery should be avoided when possible and must not use internationally banned chemical pesticides or herbicides. Workers should be provided with adequate training and protection when using chemicals.
   
4. Monitoring and Risk Avoidance - A system of continual monitoring of tree growth, pests, disease, fire, siltation and activities of contractors must be in place to reduce economic loss and ensure protection against environmental degradation. Loss due to fire, pests and disease can be minimized if detected and treated early. A protection program which details methods to prevent, detect and control potential hazards such as fire, pests and disease is essential in the management of forest plantations (MC&I 14.1) Environmental monitoring must also be conducted to determine impacts of activities to the ecology of the surrounding area and allow for adjustment in activities to prevent continued adverse impacts. Operations of contractors must be monitored to ensure that activities within the management plan are conducted according to existing guidelines and regulations. See also 4.5

In order to take full account of the social importance of the PFE, (forest area) or plantation, sufficient consideration must be given to actual and potential social impacts of forest management during both planning and operational activities.

There is no current requirement within the MC&I, for a formal assessment of social impacts. Malaysia undertakes community consultation through established committees of elected representatives (MC&I 27.1) The effectiveness of this system has not been assessed. The need for effective community consultation is essential as high levels of land use pressure for development can affect significant numbers of communities utilizing the PFE for various activities. The mechanism for consultation needs to be transparent to ensure that the welfare of all affected parties is considered. Some of aspects pertaining to social impacts are covered in the FRIM "EIA Guidelines for Timber Harvesting in Natural Forests" (May 1995).

Consistent with the growing international focus on social importance of forest resources, current certification systems require the following aspects to be addressed:

3.4.1 Social Impact Assessment.

• The organisation being assessed must identify all groups whose livelihoods, customs and practices are likely to be affected by forest operations.
• The organization being assessed must carry out appraisals of the likely impact of its operations on all such groups appropriate to both the scale of its operations and the magnitude of its impacts.
• The findings of the social appraisals must be fully documented and incorporated into the management planning process.
• Areas of existing and potential social conflict must be identified, described and addressed.

Customary Use Rights.
A formal dispute resolving mechanism must be in place to address areas of conflict with holders of legal or customary rights.

Indigenous Peoples’ Rights.

• In its management planning process the organisation being assessed must take full account of culturally, historical or religious sites of importance. Such areas must be clearly defined on forest maps and demarcated on the ground and specific reference to their management shall be made in the relevant management plans.
• The degree of protection, or allowable utilization, must be the result of a consultative process. The right of access to such sites must in general be maintained, except where there are significant risks to the safety of the individuals concerned, for example during harvesting operations or at times of extreme fire hazard
• If the organization being assessed uses for profit any indigenous peoples' traditional knowledge regarding the use of any forest resources, the organization shall pay them for such knowledge on the basis its value

• Local communities must be given preference, wherever practical, in employment, training and contract opportunities. Shortfalls in available skills must in the long term be overcome through training within the local community.
• Standards for working conditions must satisfy all international, national and regional legal requirements.
• The organisation being assessed must have adequate health and safety standards for all operations and in particular hazardous operations, e.g., chemical usage, machine handling and harvesting operations. Compounds such as chemical pesticides identified by WHO as Type 1A and 1B and chlorinated hydrocarbon pesticides must not be used.
• The rights of workers to organise for the purpose of voluntary negotiations with employers must be guaranteed (as required in Conventions 87 and 98 of the International Labour Organisation).
• Grievance resolving mechanisms must be in place.

• A process of continuous consultation with local communities must take place in order to allow for mitigation of conflicts which may arise through planning and implementing various forestry operations. Inputs derived from the consultation process must be incorporated into the management planning.
• Consultations with local communities must include specific reference to the general location of major roads planned for construction.
• All formal contacts with representatives of local communities must be formally documented in order to demonstrate that the channels of communications with interested groups are both effective and acted upon.
• Support should be provided for local infrastructure, facilities and social programmes.

3.5 Monitoring

Regular monitoring of activities and performance must be undertaken at a level appropriate to the scale and impact of management operations, and relative to the complexity of the related environmental, social and economic circumstances. The results of regular monitoring should be fed back into the management planning process (MC&I 2.3, 3.2, 7.3, 9.3, 12.1, 17.3, 18.3, 19.4, 22.3 and EIA Guidelines for Timber Harvesting in Natural Forests" (May 1995)).

Monitoring and survey procedures may be simple and based on easily obtained information. They must, however, be consistently applied and readily replicated over time. Records of all monitoring activities should be kept.

Monitoring parameters should include, where appropriate:

• Yield of forest products harvested.
• The regeneration, growth rates and mortality of forest species.
• Composition and observed changes in the flora and fauna.
• Environmental and social impacts of management operations.
• Effects of operational activities on soil conditions.
• Effects of operational activities on quality and quantity of the water resource.
• Costs, revenue and productivity of forest operations.
• Fire, disease and pests.
• Activities of contractors and subcontractors

• Monthly field inspection reports of active compartments (or logging blocks) should include reference to compliance with the harvesting and engineering rules contained in the MC&I, and other environmental monitoring.
• A periodic summary of the results of monitoring indicators must be made publicly available.
• The activities of all contractors must be documented and monitored against criteria specified in their contracts.

The MC&I does not refer specifically to training. However, sufficiently high levels of technical expertise are essential to meeting the requirements of the MC&I and this will require specific attention to education and training.

There are a number of human resources issues which require urgent attention (see also Section 2.2.3):

• All field staff must be provided with the technical expertise and training to ensure that they understand, and have the skills to meet, the relevant requirements of the MC&I.
• The lack of trained and experienced Forest Engineers seriously undermines efforts to improve engineering practices, particularly road-building and planning skid trails.
• Logging contractors carry out almost all harvest operations. Therefore, it is essential that there is a formal mechanism to ensure that all contractor staff have a sufficient level of technical training to understand and meet the relevant requirements of the MC&I.

• A formal training programme must be in place.
• There is evidence of a systematic approach to identify training needs.
• In addition to operational training requirements, all staff must receive training in health and safety issues directly affecting them and in the environmental issues related to their activities
• Fully documented training and skills records are maintained for each staff member.
• All staff are fully aware of their individual responsibilities related to the management plan, and are conversant with any operational guidelines and procedures relevant to their own job function.
• Adequate levels of staff supervision, including formal control of contractors, to ensure full and proper implementation of the Management Plan and other related documents must be apparent.
• Forestry contractors' personnel must have had training in relevant health, safety and environmental issues related to their jobs.
• Demonstration of training of contractors' personnel in health, safety and environmental issues must be a contractual condition of engagement

This section provides a systematic description of the procedures involved in the assessment process, broken down into a series of simple steps. The description identifies the activities undertaken off-site (i.e. before and after the assessors visit the FMU), and on-site (both office and field procedures).

4.1 Pre-Assessment

The pre-assessment visit has three major functions: (i) to confirm that the organization being assessed understands the certification requirements; (ii) to confirm the scope of the proposed certification; (iii) to identify any major gaps between current performance and certification requirements. The role of a pre-assessment can be fulfilled by analogous audit programs, as in the case of the Pilot Study.

Opening Meeting.

At the commencement of the Pre-assessment, an Opening Meeting is held which is chaired by the Assessor. The itinerary of the opening meeting generally is as follows:

1. Introduction to the Assessor/Pre-assessment Team.
2. Record attendance.
3. Explain the purpose of the Pre-assessment.
4. Explain what it is hoped to achieve during the visit.
5. Explain the need for openness and co-operation.
6. Detail approach to certification.
7. Describe the certification process.
8. Confirm confidentiality.
9. Agree itinerary.

The second step to the Pre-Assessment is a field visit. The purpose of the field visit is to allow the Assessor to gain an understanding of the general operation of the client's organisation. The Assessor shall visit a selection of the client's operations both in the forest and in the production processes to gain a full understanding of:-

1. General standards of the operation.
2. The possible need for specialist inputs at the Main Assessment.
3. The amount of variation in the terrain and forest types.
4. The sampling system to be adopted at the Main Assessment.
5. The traveling times required.
6. The supply patterns.
7. The complexity of the chain-of-custody.
8. The key issues.
9. The documentation relevant to local standards.

The field visit must include time to allow the identification of stakeholders, and if time permits, these organisations should also be consulted. Stakeholders are likely to include: government officials, local community representatives, environmental groups and representatives of certification working groups. A list of such interested parties must be developed for contact during the Main Assessment.

Closing Meeting.

Following completion of the Pre-assessment, the Assessor shall convene a Closing Meeting with the client's representatives. The itinerary of the closing meeting generally is as follows :

1. Circulate Attendance Sheet to record attendance.
1. Explain the next steps, as appropriate.
1. Confirm the agreed scope, objectives, timing, and processes of future work.
1. Confirm list of stakeholders that will be consulted.
1. Confirm business confidentiality.
1. Appreciation to client for assistance
1. Any other issues that arose during the Pre-assessment visit or that remain outstanding.

On completion of the Pre-assessment, the Assessor shall prepare a Pre-assessment Report detailing the results of the assessment and recommendations for further action..

4.2 Main Assessment

The main assessment is the formal evaluation of the extent of compliance of the organization’s activities against the requirements of the agreed standard.

Planning.

The Main Assessment is allocated to a Lead Assessor taking into account the skills and expertise necessary. Teams shall be put together by the Lead Assessor and whenever possible, the Main Assessment Team shall include the Assessor who carried out the Pre-assessment. Members of the Team shall be selected based on relevant technical skills to ensure that has the expertise to cover the scope of the Main Assessment and the key issues identified in the Pre-assessment. Where specialist knowledge is required, sub-contractors may be used as team members.

All team members must be independent of the client's business interests. All team members shall be adequately briefed prior to the Main Assessment. The client is informed of the names of the Main Assessment Team members by the Lead Assessor. The client also has the right of appeal against the choice of team members. The Lead Assessor shall identify possible the Peer Reviewers who will be conducting the Peer Review following the Main Assessment. The choice of Peer Reviewers should be communicated to the client.

Document Review.

The Lead Assessor prepares a list of all documentation that is currently available, including:-

1. Legislation.
2. National guidelines.
3. Client's management documentation and policy statements.
4. Pre-assessment Report
5. Other relevant documents.

Main Assessment Checklists.

Where little or no corrective work is required to the clients documentation, then the Lead Assessor arranges a visit date and adapts a Main Assessment Checklist to fit with the circumstances. The Main Assessment Checklists are prepared based upon the applicant organisation's documentation and/or the Systems Specifications. The items to be checked are cross referenced to the organisation's documentation for easy reference.

Main Assessment Itinerary.

A Main Assessment Itinerary is prepared indicating the order in which the organisation's areas or departments will be visited. The approximate arrival times/dates into those areas are also indicated. The route indicated will be basically that in which an enquiry or contract would be processed by the clients organisation.

The Main Assessment Itinerary must also include time for consultation with interest parties and stakeholders, external to the client's organisation, including, as appropriate:-

1. Certification Working Groups.
2. Environmental and Social Organizations.
3. Indigenous Peoples' Groups.
4. Local and National Government Officials.
5. Forestry Departments.
6. Educational and Research Bodies.
7. Workers Unions and Trade Representatives.
8. Any other organizations felt to be appropriate by the Main Assessment Team.

Opening Meeting.

At the commencement of the Main Assessment, an Opening Meeting is held with the client which is chaired by the Lead Assessor. To assist in this meeting the following checklist is used by the Lead Assessor:-

1. Introduction to the Assessment Team.
2. Circulate Attendance Sheet to record attendance.
3. Confirm the Scope of Registration required.
4. Explain the Document Review.
5. Explain the Site/Field Assessment Process
6. Explain how the Main Assessment's audits are a sample and problems may exist which are not detected during the Main Assessment.
7. Confirm business confidentiality.
8. Explain Major and Minor CAR's and that the raising of these does not necessarily mean a reassessment.
9. Agree itinerary.
10. Arrange place of work.
11. Confirm domestic arrangements.
12. Invite the attendees to the closing meeting.

Site/Field Assessment.

Where appropriate, a familiarisation tour is made of the premises or sites to be assessed, prior to the commencement of the detailed Main Assessment. If it has not already been completed, the document review is carried out prior to the field work commencing.

The Site/Field Assessment commences following the agreed itinerary and the Assessors are accompanied by the client's representatives. Assessors shall consult the personnel working in the client's organisation who are responsible for following the procedures being audited. This is in order to ascertain the level of understanding of the procedures and management plans, and the level of adherence to the procedures.

Objective evidence shall be collected to substantiate the adequacy of compliance both with the client's procedures and the system specification. Compliance or non-compliance with the client's procedures shall be recorded on the Main Assessment Checklist along with any notes regarding observations or non-compliance with the System Specification. Where non-compliance are discovered, these shall be pointed out to the client's representative at the time to ensure that there are no surprises later should they result in CAR's being raised.

The Site/Field Assessment must include consultation with external interested parties and stakeholder groups.

During the Site/Field Assessment the Lead Assessor may recommend to the client that the Main Assessment should be aborted in light of the high level or type of non-compliance being witnessed.

Assessors’ Review in Private.

A final check is made of the checklist to ensure that all clauses of the system specification have been addressed. If adherence to each clause has not been verified, then the client's representative shall be contacted and the necessary checks completed. All non-compliance and observations shall be considered by the Lead Assessor, and the team members, as appropriate, and categorised as Major or Minor CAR's, or shall be left as observations.

Daily Summary Meetings.

In addition to the pointing out and discussion of observations on the spot with the client's representatives, a daily summary meeting should be held, if felt to be appropriate by the Lead Assessor.

Summary meetings should:-

1. Summarize and verify the day’s findings,
2. Raise any concerns.
3. Confirm the following day’s itinerary.

Following completion of the Main Assessment, the Lead Assessor shall convene a Closing Meeting with the client's representatives. To assist in this meeting the following checklist shall be used by the Lead Assessor:-

1. Inform the client of the certification decision.
2. Explain Major and Minor CAR's and observations.
3. Report on CAR's.
4. Reconfirm the Scope of Registration.
5. Circulate Attendance Sheet to record attendance.
6. Repeat that the Main Assessment only audits a sample of the organization and consequently problems may exist which have not been detected.
7. Obtain the client's representative’s signature on any CAR's.
8. Report on observations unless the client is satisfied to have them reported in the Main Assessment Report.
9. Thank the client for openness, assistance and hospitality.
10. Explanation of the Peer Review Process.
11. Congratulations where and if appropriate.

On completion of the Main Assessment, the Lead Assessor or delegated team member, prepares a Draft Main Assessment Report. The Draft Main Assessment Report must include a Surveillance Plan for the period of registration (which remains confidential to the certifying body), to ensure that all forest areas and/or activities are covered

Corrective Action Requests (CARs)

Correction Action Requests or CARs, are written requests by the certifying body to the client to address all non-compliances in the system with respect to the standard used in the assessment. CAR's raised during an assessment are categorized as either MAJOR or MINOR by the lead assessor.

Raising CARs.

A MAJOR CAR is raised where there is an absence, or a total breakdown, of a procedure required as part of the assessed organization’s management system. Where a non-compliance is likely to result in an immediate hazard to the quality or standard of the product or service being offered, then the CAR shall be categorized as MAJOR. MAJOR CARs raised during an assessment prevent the client from being certified. Note: The "Major Actions Required" specified by the Pilot Study assessment reports are analogous to major CARs, and would prevent the organization concerned from being certified against the MC&I.

MINOR CARs are raised when a single observed lapse has been identified in a procedure required as part of the assessed organization’s management system. MINOR CAR's raised during an assessment do not preclude the organisation from being registered.

The CAR's shall first be signed by the Assessor, who shall then obtain the organisation representative's signature on the CAR to indicate both acknowledgement and understanding of the non-compliance details by the organisation and proposed close-out date. On both Main Assessment and Surveillance, copies of the CAR's shall be left with the organisation representative. The originals shall be retained by the Assessor.

CAR Follow-Up.

Whether the MINOR CAR was raised during an assessment or on a surveillance, the organisation shall respond in writing within 3 months detailing the actions taken to prevent recurrence of the problem, the effectiveness of the resulting action taken by the organisation must be verified at the next surveillance visit. At that visit, the assessor shall decide whether, or not, appropriate corrective action has been taken. The action taken must have been implemented for a sufficient period of time for adequate evidence to be available to the Assessor when making this decision.

MAJOR CAR's, raised during an assessment: preclude the organisation from being registered. The assessor must be notified of the action taken within 1 month of the report issue date. Failure to respond will eventually lead to a complete reassessment being necessary prior to registration. The action, as notified by the organisation, shall be verified by the Assessor within 2 months of the CAR being issued. Any extension to this time limit must be authorised.

MAJOR CAR's, raised on surveillance or reassessment: are regarded very seriously considering that the organisation is already a Registered Organisation. The certifying body must be notified of the action taken by the organisation within 2 weeks of issuing the CAR. This action shall be verified by the Assessor within 1 month of issue, regardless of whether notification of action has been received or not. A follow-up date shall be agreed with the client during the original visit.

MAJOR CAR's, raised on an extension to scope: preclude the organisation from being registered for that extension to scope. The assessor must be notified of the action taken within 1 month of issue and failure to respond will eventually lead to that extension to scope being completely reassessed prior to registration. The action, as notified by the organisation, shall be verified by the Assessor within 2 months of the CAR being issued. Any extension to this time limit must be authorised.

The client organisation is required to notify the certifying body in writing of proposed corrective action or corrective action taken in the agreed time-frame. In the case of MAJOR CAR's, a follow-up visit to the organisation shall be arranged, in order to verify the effectiveness of the corrective action taken. In the case of MINOR CAR's the Assessor shall appraise the action taken at the next surveillance visit, as written, and if unsatisfactory the organisation shall be informed.

CAR's Closed-out.

CARs raised during an assessment must be addressed to the satisfaction of the certifying body within the specified time frame. When corrective actions have been satisfactorily implemented the assessor shall "close-out" the CAR . To close a CAR , the Assessor shall sign and date the CAR as acceptance of the corrective action taken and shall add any appropriate comments on the CAR for reference. A copy of the "closed out" CAR's shall be left with the client.

CARs Not Closed-Out

When no corrective actions have been implemented within the specified time period to address a CAR raised during an assessment or surveillance, the CAR is considered "not closed out". Under exceptional circumstances, an extension of the time period to address a CAR may be agreed. Failure to comply with the time-scale for closing out a MAJOR CAR will result in a reassessment being necessary. Where a MINOR CAR has not been closed out by the next surveillance visit, a MAJOR CAR shall be raised cross-referencing the original MINOR CAR. This will be followed up as described previously.

Where a MAJOR CAR raised on surveillance or reassessment has not been closed out, this is recorded in the "Acceptance of Corrective Action" panel of the CAR. The organisation are notified that the certificate is to be suspended by the issue of a Suspension/Withdrawal/Cancellation Notification.

4.3 Peer Review, Certification And Registration

The Peer Review process enables an even higher level of independent, expert scrutiny, and therefore gives the certification decision greater authority and credibility.

The Draft Main Assessment Report, along with relevant documents, shall be submitted to a minimum of 3 members of the Peer Review Panel who shall be selected by the Lead Assessor on the basis of their relevant experience and knowledge of the areas of operation in which the assessed organisation functions. The peer reviewer shall be requested to complete the evaluation within 10 working days of receipt of the documents. Where the Peer Review Process is favourable, the Main Assessment Report is finalised incorporating any peer reviewer’s comments, and is checked and approved. The following package is sent to the assessed organisation:-

1. The Certification Letter
2. Finalized Main Assessment Report

1. A covering letter.
2. Main Assessment Report.
3. Copies of the CAR's, if appropriate.

1. The Certification Letter - Forest Management.
2. Finalized Main Assessment Report.

Certification and Registration.

When the stage has been reached where a Certification Letter has been raised, the next certificate number from the Certificate Issue Log. The Certificate Issue Log is completed, and the Certificate is prepared, ensuring that the appropriate document is used i.e. Forest Management or Chain-of-Custody.

An Assessment Schedule, defining the scope of certification, is prepared to accompany the Certificate. The information detailed must conform to the information given in the Main Assessment Report, namely in terms of, the scope of the operations assessed and also the sites and/or offices examined. The Certification Trademark Pack is sent to the client, and details of new certifications shall be registered in a directory.

5.0 Monitoring of Compliance

A certificate is generally valid for a period of five years. Following certification, the continued compliance of the organization with certification requirements is verified by regular visits, known as surveillance visits.

Planning.

A Surveillance Register is maintained in order to determine when a surveillance visit is due. Surveillance can be conducted by the Lead Assessor who originally assessed the organisation or can be allocated to a Surveillance Officer, taking into account the general skills and expertise required. The surveillance visit after two and a half years, i.e. midway through the certification period, must be undertaken by a Lead Assessor.

Following allocation of the surveillance and prior to the visit, the Surveillance Officer shall obtain the following documentation:-

1. A copy of the previous Surveillance Report, or the Main Assessment Report if it is the first surveillance.
2. Any complaints or appeals which have gone on file since the last surveillance.

The Surveillance Officer shall contact the client to arrange a mutually convenient date for the surveillance visit. Surveillance visits are conducted once every 6 -12 months depending on the requirements of the certifying body. In order to achieve a mutually convenient date, the visits are permitted to be up to 2 months before or after the nominal date.

Site/Field Visit.

The surveillance shall cover that part of the organisation's Management System outlined in the Surveillance Plan. The number of working days allowed for the visit is indicated on the Surveillance Plan. To achieve this the Surveillance Officer shall arrange assistance as necessary.

Any amendments made to the System since the previous surveillance (assessment if first surveillance) shall be discussed and evaluated against the requirements of the System Standard. Should the certification requirements be amended at any time, the client will be granted a period of twelve months, from the date of notification of these amendments, to implement any required changes to their systems.

On the first surveillance, all the observations made during the original assessment shall be checked for action where action was considered to be appropriate. All Minor CAR's from the assessment or previous surveillance shall be dealt with as described in the Procedure for Corrective Action Requests.

The choice of other areas selected for auditing is influenced by:-

1. Any observations made on the previous visit.
2. CAR's raised on the previous visit.
3. Which areas were audited during the previous visit.
4. Any changes to the System since the previous visit.
5. Any complaints from stakeholders.

During the visit, the Surveillance Officer shall be accompanied by client representatives. Personnel shall be consulted who are responsible for following the procedures being audited. This is in order to determine the level of understanding of the procedures and level of adherence to the procedures.

Objective evidence shall be examined to determine the adequacy of compliance both with the client's procedures and the System Specification Standard. Documentation examined shall include current publicity and advertising material, and the use of Certification Trademarks. This is to check to ensure that there is no misrepresentation of the Certificate. In the event of any misuse of a certificate mark or misrepresentation made by a certificate holder, a CAR must be raised.

Surveillance Report.

Non-compliance with the client's procedures and any observations made shall be noted in the Surveillance Report. Where non-compliances are discovered, these shall be pointed out to the client's representative at the time to ensure that there are no surprises later should they result in CAR's being raised. On completion of the Surveillance visit, the client's representative's signature shall be obtained on the Surveillance Report which verifies that the surveillance has taken place. A copy of the Surveillance Report shall be left with the client.

6.0 Cost Guidelines.

The direct costs of forest management assessments comprise the professional fees for the assessors, charged on the basis of a daily fee rate, and expenses incurred for travel, meals and accommodation, which are often charged at cost. The professional input to assess a given management unit depends on both the size and complexity of that unit with regards to environmental and social issues. Larger more complex forest management units may require a significantly greater amount of time and manpower to fully determine the organization’s ability to comply against the assessment standard than smaller less complex units.

The following is a general guide to the range of the professional input in mandays required to assess smaller and larger forest management units in relation to the various stages of the assessment process. The smaller less complex units referred to here are considered as management units of under 500 ha without complex social and environmental issues. Larger units referred here are those over 10,000 ha which may have complex social and environmental issues to assess.

Pre-assessment	small unit	larger unit
No. of assessors : No. of days desk study : No. of days for site/field visit : No. of days for report preparation : Total professional input : (mandays)	1 0-1 1 1 2-3	1-2 1-2 2-5 2-4 5-16

Main Assessment	small unit	larger unit
No. of assessors: No. of days desk study: No. of days for site/field visit: No. of days for report preparation: Total professional input: (mandays)	2 1 2-3 3 8-10	3-6 2-5 5-10 4-8 21-73

Monitoring of Compliance	smaller unit	larger unit
No. of assessors : No. of days desk study : No. of days for site/field visit : No. of days for report preparation : Total professional input : (mandays)	1 0-1 1 1 2-3	1-2 0-1 2-5 1-2 3-13

Desk studies and report preparation tend to be conducted by one person for assessment of both large and small management units. The initial certification of a forest management unit comprises the Pre-assessment and Main Assessment. This would typically involve a total professional input of 11 days for smaller units and approximately 30-35 days for larger units.

Following certification, surveillance visits to monitor compliance are undertaken once or twice a year depending on the requirements of the certifying body. A certificate is generally valid for a period of five years, therefore a total of 11 surveillance visits may be undertaken during this time. The typical total professional input for each visit is 2-3 days for small units and 4-8 days for larger management units, therefore the total professional input over the certification period with six monthly surveillance visits would be approximately 33 days for smaller units and 88 days for larger management units.

An important aspect is that since the costs of certification are directly related to the size and complexity of the forest management unit there are often considerable economies of scale for the larger units, such that the costs of certification per ha or per cubic meter are often correspondingly lower than in smaller management units.

It is assumed that the daily professional fee rate of the certifying body is changed over time in line with inflation, and therefore the current fee rate would need to be confirmed by the applicant.

7.0 References

FRIM (1995). "EIA Guidelines for Timber Harvesting in Natural Forests", Forest Research Institute of Malaysia, May 1995.

FSC (1995) Forest stewardship principles and criteria for natural forest management. FSC Notes Vol. 1 Forest Stewardship Council, Oaxaca, Mexico

Hendrison J. (1990). "Damage-controlled Logging in Managed Rain Forest in Suriname". Agricultural University, Wageningen, The Netherlands.

ITTO (1992a) Criteria for the measurement of sustainable tropical forest management. ITTO Policy Development Series No. 3. Yokohama, Japan.

ITTO (1992b) ITTO guidelines for the sustainable management of natural tropical forests. ITTO Policy Development Series No. 1. Yokohama, Japan.

ITTO (1993) ITTO guidelines for the establishment and sustainable management of planted tropical forests. ITTO Policy Development Series No. 4. Yokohama, Japan.

ITTO (1993a) ITTO guidelines on the conservation of biological diversity in tropical production forests. ITTO Policy Development Series No. 5. Yokohama, Japan.

JPSM (1988). "Garis Panduan Pembalakan Dalam Kawasan Hutan Bukit Semenanjung Malaysia", Jabatan Perhutanan Semenanjung Malaysia, November 1988.

JPSM (1994). "Spesifikasi Jalan-Jalan Hutan Untuk Semenanjung Malaysia", Jabatan Perhutanan Semenanjung Malaysia, Proposed Revision, August 1994.

JPSM, (undated). "A Guide to the Interpretation of Post-F Inventory Results", Jabatan Perhutanan Semenanjung Malaysia.

Pinard M A, Putz F E, Tay J and Sullivan T E (1995). "Creating Timber Harvest Guidelines for a Reduced-Impact Logging Project in Malaysia". Journal of Forestry 93 (10): 41-45.

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