LEI Guideline 99
Sustainable Production Forest Management [SPFMJ Certification System
LEI Guideline 99 LEI Guideline 99-01 LEI Guideline 99-02 LEI Guideline 99-03 LEI Guideline 99-21 LEI Guideline 99-22 LEI Guideline 99-23 LEI Guideline 99-24 LEI Guideline 99-25 LEI Guideline 99-26
~ THE INDONESIAN
ECOlABElllNG
LEI INSTITUTE .
Sustainable Production Forest Management (SPFMJ Certification System
J1. Taman Malabar No. 18. Bogor 16151 Te1. (62)-(251) 340 744,745,759 Fax. (62)-(251) 321739 E-mail: [email protected]. Web site : http://www.lei.or.id
©2000 by The Indonesian Ecolabeling Institute
ISBN:
Prepared by:
The Indonesian Ecolabeling Institute
Expert Team:
LEI In-house Experts
Editor:
Asep S. Suntan a Dam Asycarya Yudi Iskandarsyah Paramita Iswari
English Version:
Gloria C. Kismadi Yudi Iskandarsyah
Administration:
Soleh Suaidi
Published by : The Indonesian Ecolabelling Institute (LEI)
This publication was prepared for a dissemination of Certification System for Sustainable Production Forest Management to concerned parties. Publications are available in two versions, in Indonesian and English.
" . ,
Contents LEI Guideline Series 99
Contents
Numbering System of Indonesian Ecolabeling Institute
Forest Certification System Documents
Gratitude
Preface
About the LEI Standards, LEI Guidelines,
v
Vll
Xl
XV
LEI Technical and Academic Documents XVll
ShOlt Notes In the Development Process of Certification System XXI
LEI Guideline 99 1 Sustainable Production Forest Management Certification System
LEI Guideline 99-01 General Requirements for Sustainable Production Forest Management Certification Body
LEI Guideline 99-02 General Requirements for Sustainable Production
Forest -Management Certification Field Assessor
LEI Guideline 99-03 General Requirements for Sustainable Production Forest Management Certification Expert Panel
LEI Guideline 99-21 Guideline for Field Assessment on Sustainable Natural Production Forest Management Certification
FRAMEWORK FOR SUSTAINABLE PRODUCTION FORESTS MANAGEMENT SYSTEM
17
33
43
53
Numbering System of The Indonesian Ecolabeling Institute Forest Certification System Documents Letter No. : 29/LEI/SPS/VII/99
Each LEl's document will follow the numbering/coding system as follows: I. Document Type and Status
Document types and status for every LEI standards and guidelines is written at the left-upper of its cover, as drawn below :
fr··,,","···,··,,m,,,,,,,,,,,,,,,,,,,,,!
I LEI Guid~ne 9~01 : :~ DOCUMENT TlTTlE [ ' .• ,.:.!-!.~.:.:.:.:.:.:.:.:.:~-:.:.:.:.:.:.:.:.:.:.:.:.:-:-:-:.»:.:.:.,."
~ rvpe of Document /' I Status of Document
Document No. Date
Amendment Draft LEI-II LEI-II/99-02/2 June 18, 1999
1.1. Type of Document a. Proposal Draft. is a new proposal document to the document of
certification system b. Amendment Draft is a revised document that has been determined as
LEI/BSN . Guideline
1.2. Status of Document a. LEI-I
h. LEI-U
c. LEI-III
d. LEI-IV
e. LEI-V
f. Final Document
Document of proposal/amendment draft proposed by LEI Secretariat
Document of propos~\l/ amendment draft resulted from the first workshop and/or from consultation process with stakeholders
Document of proposal/amendment draft resulted from Team Work established by LE!
Document of proposal/amendment draftresuited from the second workshop and/or from consultation process with stakeholders
Document of fmal proposal/amendment draft proposed by LEI to be approved by stakeholders.
Document that has been approved by YLEI Board of Trustees
1.3. Number of Document
Document number is related to the document types and status. Document No. LEI-II/99-02l2 - for example -indicate that: a. The document is published from the result of workshop b. It has a serial number of 99-02 c It is a second draft judging from the status of document
FRAMEWORK FOR SUSTAINABLE PRODUCTION FORESTS MANAGEMENT SYSTEM
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THE INDONESIAN ECOLABELING INSTITUTE
1.4. Date of Doculll.ent
Describing when the document is made
11. Document Title Document title follows LEI numbering system. Example:
• LEI Guideline 99-01: General Requirements ofSPFf.-[ Certification Body
Ill. Numbering System
:::::::::::::
1.
2 3. 4.
1.
2
3.
4.
... VIII
A. LE! Standard Document :::);:""'",:::::0:;::;:;::,::::,::.:::::,:::,:;::::: . "-.:,;;;~::: :::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::~:::::::: :::::::::::::::::::::::::::::::::::: ·:::0:::::::::::::::::::::0::::::::::::::::::::::::::::::::::::::::: ..
LEI Standard 5000 Framework for Sustainable Production Forest Management System LEI Standard 5000-1 Sustainable Natural Production Forest ~fanagement System
LE! Standard 5000-2 Sustainable Plantation Forest Management System LE! Standard 5000-3 Sustainable Community-based Forest Management System LE! Standard 5000-4 Sustainable Non-Timber Forest Product ~fanagement System LE! Standard 5001 Timber Tracking System LEI Standard 5002 Forest Product Labeling LE! Standard 5005 Terms and Definitions related to Forest Certification
B. LE! Guideline 55 ~:j::::~:::: ;:~, ::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::0:::::::::::::::::::::::0:::::::::::::::::::::0::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::
LEI Guideline 55 Resolution Guideline to Appeal against the Certification Decision
C. LE! Guideline Series 88
LEI Guideline 88
LEI Guideline series 88-00 LEI Guideline 88-01 LEI Guideline 88-02 LEI Guideline 88-03
LEI Guideline series 88-10 LEI Guideline 88-11 LEI Guideline 88-12 LEI Guideline 88-13
LEI Guideline series 88-20 LEI Guideline 88-21 LE! Guideline 88-22
LEI Guideline 88-23 LEI Guideline 88-24 LEI Guideline 88-25
LE! Guideline 88-26
Timber Tracking Certification System
Requirement Guideline and Work Procedure for Timber Tracking General Requirements for Timber Tracbng Certification Body General Requirements for Tunber Tracking Certification Field Assessor General Requirements for Tunber Tracking Certification Expert Panel
Requirement Guideline and Training Procedure of Timber Traillillg Guidelille for Timber Trackillg Certificatioll Field A.r.re.r.ror Traillillg Guidelille for Timbr.r Trackillg Certificatioll Expert Pallel Traillillg Guidelille for Timber Trackillg Certificatioll Trailler
Guideline for Timber Tracking Certification Program Guideline for Field Assessment on Timber Tracking Certification Guideline for Report-writing Field Assessment on Timber Tracking Certification Guideline for Screening Process on Timber Tracking Certification Guideline for Decision-making on Timber Tracking Certification Guideline for Drawing-Up Recommendations on Timber Tracking Certification Guideline for Surveillance Implementation and Certificate Extension on Timber Tracking CertifIcation
lEl STANDARD SERIES 5000
THE INDONESIAN ECOlABEllNG INSTITUTE
3.
4.
5.
6.
D. LEI Guideline Series 99
LEI Guideline 99
LEI Guideline series 99-00 LEI Guideline 99-01 LEI Guideline 99-02 LEI Guideline 99-03
LEI Guideline series 99-10
LE! Guideline 99-11 LEI Guideline 99-12 LEI Guideline 99-13 LEI Guideline 99-14 LEI Guideline 99-15
LEI Guideline series 99-20
LEI Guideline 99-21 LEI Guideline 99-22 LEI Guideline 99-23 LEI Guideline 99-24 LEI Guideline 99-25 LEI Guideline 99-26
LEI Guideline series 99-30
LEI Guideline series 99-40
Sustainable Production ForestM.anagement (SFPM) Certification System
Requirement Guideline and Work Procedure for SPFM General Requirements for SPFM Certification Body General Requirements for SPFM Certification Field Assessor General Requirements for SPFM Certification Expert Panel
Requirement Guideline and Training Procedure of SPFM Certification Program Training Guideline for SPFM Certification Field Assessor Training Guideline for SPFM Certification Expert Panel Training Guideline for SPFM Certification Trainer General Criteria for SPFM Certification Training Institution General Criteria for SPFM Certification Personnel Training Institution
Guideline for Sustainable Natural Production Forest Management (SNP FM) Certification Program Guideline for Field Assessment on SNPFM Certification Guideline for Report-writing Field Assessment on SNPFM Certification Guideline for the Screening Process in the SNPFM Certification Guideline for Decision-making on SNPFM Certification Guideline for Drawing-Up Recommendations on SNPFM Certification Guideline for Surveillance Implementation and Certificate Extension on SNPFM Certification
Guideline for Sustainable Plantation Forest Certification
Guideline for c, .: ... d,,, .... ,J Forest M"",, u.
E. LEI Technical Document :::::::::::::::
Technical Document LEI-01 Verifier and Verification Toolbox for Assessment Criteria and Indicators of Sustainable Natural Production Forest Management (SNPFM) System
Technical Document LEI-02 Indicators of Intensity Scale for Sustainable Natural Production Forest Management
E LEI Academic Document
Academic Document Academic Document for Certification System of LEI-01 Sustainable Natural Production Forest M~n~' II
Iv. Memorandum 1. All parties who have reasons. to quote all or some of this document, should acknowledge
the document status, type, and number dearly, and should inform LEI secretariat.
2. The use of every LEI Standard, Guideline, Technical and Academic Document in the implementation of SPFM Certification should be done thoroughly. LEI is not responsible for the inaccurately use of LE I Standards and Guidelines.
Note:· Documents in which the titles are in italic form shows that such documents are still in the developmen t process .•
FRAMEWORK FOR SUSTAINABLE PRODUCTION FORESTS MANAGEMENT SYSTEM
Gratitudes
With a kind help and supports from various concerned parties to the de
velopment of certification system for an upright and sustainable natu
ral resources management, this publication was completed. We would like
to take this opportunity to deliver our gratitude for the support and coopera
tion provided in the development of certification system for natural produc
tion forest management and its training system to :
Ecolabel Working Group (1994 -1998): Emil Salim, Agus Purnomo
(pelangi), Loekito Darj~di (Departemen Kehutanan), Zaim Saidi (YLKI) ,
Asep S. Suntana, Mia Siscawati (RMI), Tri Nugroho, Suporahardjo (LATIN),
Riga Adiwoso (UI), Mubariq Ahmad (NRM), Daniel Abimanju Carnadie,
Upik W. Djalins; Leaders and Members of Criteria and Indicator Working
Team: Ishemat Soerianegara (RIP) of Bogor Agricultural University for pro
duction aspect, Effendi Sumardja of Ministry of Environment (ecological
aspect), Riga Adiwoso Sup rap to of Magister Management University of In
donesia (social aspect), also to Koesnadi Hardjasoemantri and Wimar
Witoelar for giving their valuable inputs in developing the institutional as
pects of LEI foundation (YLEI); LEI In-house Experts: Hariadi
Kartodihardjo, M. Buce Saleh, Haryanto R. Putro, R. Yando Zakaria; and to
Iwan Jaya Azis, Raksaka Mahi, Kirti Peniwati, and Ngadiono for their ef
forts in developing decision making system using Analytic Hierarchy Pro
cess (AHP), and to Alan Purbawiyatna who designed standard procedures
for certification implementation.
We also would like to convey our gratitude to : Mr. Djamaluddin
Surjohadikusumo (Ex-Minister of Forestry) for his courage and support in
the development of forest certification system in Indonesia, and to forestry
officers (echelon I and II) in the Ministry, Untung Iskandar, M. Ratu Asyhari
(Foreign Affairs of rvfinistry of Forestry), Boedijono, Tri Joko Mulyono (Center
FRAMEWORK FOR SUSTAINABLE PRODUCTION FORESTS MANAGEMENT SYSTEM
THE INDONESIAN ECOlABEllNG INSTITUTE
for Standardization and Environment, Ministry of Forestry) and also to oth
ers in the Ministry that we can not mention individually. To our colleagues
from National Standardization Body (NSB) i.e. Herudi Kartowisastro dan
Lies \\libisono, our thanks also goes to them. People from NGO(s): Abdon
Nababan (Telapak), Indro Tjahjono (SKEPHI), Wibowo A. Djatmiko
(LATIN), JimJarvie (TNC), Niel Makinuddin (PLASMA), Noer Fauzi (KPA),
Ruwindrijanto (Telapak), HiraJhamtani (Konphalindo). Colleagues from \\lalhi
: Zukri Saad, Suraya Hafif, Emmy Hafild, Lili Hasanuddin, and rV(uayat Ali
Muhsy gave many inspiration to us, thank you. We would like to extend our
thanks to private sectors associated in APHI (Indonesian Concession Hold
ers Association), as well as individual from companies; Nana Suparna, Jeffri
Sirait, Agung Nugraha, APHI Expert Team Member : Achmad Soemitro,
Zachrial Coto, Syafii Manan, A.A. Malik, Soeyitno Soerdiman, Herujono
Hadisoeparto, Amri Marzali, Darni Soebari, Anwar Umar, dan Daniel Leuhery.
As well to the Certifiers: PT. Sucofindo (Haris Witjaksono,Triyan Aidilfitri);
PT. Mutu Agung Lestari (Hermawan, Arifin Lambaga, Victor Antonio Amir,
Taufik Margani); LATIN (Dwi Rakhmat Muhtaman, Aisyah Sileuw). And to
experts from Academics and Research Centers : Endang Suhendang, Didik
Suhardjito, Sanusi Wiradinata [RIP], Bahruni, Sudaryanto, Soemarjono
Soedargo [RIP], Nyoto Santoso, Elias, A. Mahmud Thohari, Teddy Rusolono,
Togu Manurung, \Xliratno, Yanto Santosa (IPB); Agus Setyarso, Sofyan P.
Warsito, Hasanu Simon, P.M. Laksono (UGM); M. Soerjani, Semiarto Aji
Purwanto, Yunita T. Winarno (UI); M.A. Sarjono, Soeyitno Sudirman
(UNMUL); Purnadjaja [RIP] (CIFOR). Assesors : Jamartin Sihite, Daru
Asycarya, Marolop Sianipar, Nawa Irianto, Sunardi, Ahmad, Jalal, Zaenal,
Ferdinandus Agung PMW, Lukman Mulyanto, etc.
Our special thanks also goes to Duncan Poore (IISD), Timothy Synnott
(Executive Director of Forest Stewardship Council/FSC), T. Mok (FSC Board
Member), Kishokumar Jeyaraj (FSC Consultant), and FSC-accredited certi
fiers: Richard Donovan, Steve Gretzinger, Abraham Guillen, and Jeff Hay
ward from Smartwood, Ruth Nussbaum and Bill Maynard from SGS Qualifor
who have been working with Ecolabell Working Group since 1994 in dis
cussions regarding certification system in Indonesia. Our thank you goes to
our colleagues from WWF International such as Chris Elliot, Pierre
.. XII
THE INDONESIAN ECOLABELING INSTITUTE
Hausselman. To Alexander Hienrich, Hans Beukeboom and Barbara von
Kruedener from GTZ. Datuk Freezailah, Amha bin Buang and Efransyah
fromlTTO.
\Xle appreciate all consulting firms and forest concessionaires who ex
pressed their willingness as well as participation in the implementation of
field tests for certification system of sustainable natural product forest man
agement:
a) Consulting Firms : PT. Access Centrakarya, PT. Adhimulia
Purnaservindo, PT. Forindo Bangunkonsultan, PT. Ekokon
Nusantara, PT. Mutuagung Lestari, PT. Pronatres Development, PT.
Reka Paramitra Konsultan, PT. Sarbi Moerhani Lestari, PT.
Setyamitra Bhaktipersada, PT. Sucofindo, PT. Tanindo, PT.
\X'anabhakti Persadajaya.
b) Forest Management Units : PT. Cipta Rimba Jaya, PT. Gruti, PT.
Kiani Lestari, PT. Kulim Company, PT. IV1elapi Timber, PT. Minas
Pagai, PT. Mujur Timber, PT. ITCI, PT. Inhutani I, PT. Inhutani I1,
c) Member of Expert Panel I for Second Field Test of Sustainable
Natural Production Forest Management (SNPFrv1) Certification Sys
tern: Sanusi Wiradinata, 1v1S (RIP), H. Nurman Tasman, R. Yando
Zakaria: Nyoto Santoso, Buce Saleh: Mangasa B. l\tfanik Radja (RIP):
Yosefa Sayekti, and Rosmie Saleh.
d) l\tfember of Expert Panel II and Team Member of Second SNFPM
Certification System Field Test: Eka Pria Anas, Gunarwan Soeratmo,
Lumisu Mangiwa, Kus Darmodjo, Aulia LP. Aruan, Komara Djaja;
Deddy Herdiansyah; Arimbi Heroepoetri; Anna Indria \XTitasari;
Suranto; Ayub Pairunan; Endang Suhendang; Yanto Santosa,
Raksaka l\tfahi; Ngadiono.
e) Evaluation Team for Second SNPFM Certification System Field Test:
Budhi Sugarda; Hiras Sidabutar; Toga Silitonga; Loekito Darjadi;
Rudy C. Tarumingkeng; Herman Prayudi; Teddy Pawitra; Chris A.
Bennett; Effendi A. Sumardja; Iwan Tjitradjaja; Indroyono Susilo;
Soemarso SR; Agus Purnomo; Ahmad D. Habir
FRAMEWORK FOR SUSTAINABLE PRODUCTION FORESTS MANAGEMENT SYSTEM
THE INDONESIAN ECOLABELING INSTITUTE
f) Forest Management Unit PT. Hutan Mulya (Dwima Group) where
the revised certification system field test was conducted.
g) Expert Panel I and II for Field Test of Revised Certification System
for SNP FM: Didiek Suharjito, Soedarjanto, M. Ratu Asyhari.
h) Assesors for field assesment on the Field Test for Revised Certifica
tion System on SNP FM: Nawa Irianto, \X1uri, Ahmad, Jamartin Sihite,
Sunardi, Jalal.
Finally, we also would like to extend our gratitude to our colleagues at
the Executive Board of LEI who have been very active to directly or indi
rectly involve in the development of certification system and therefore, make
this publication possible, as well to all parties we could not name of and also
to field officers of forest management units who involved in the field tests
as the counterparts to system developers, government agencies, NGO(s)
and private sectors who gave significant contributions in designing and de
veloping certification system in Indonesia.
Bogor, December 2000
Dradjad H. Wibowo Executive Directore
. . XIV LEI STANDARD SERIES 5000
Preface
Sustainable Forest Management
Indonesia belongs to a few and limited countries of rich biological diversity.
Forests provide economics, socio-culture and environmental benefits to
the current as well as the future generations. We may achieve those by a
comprehensive implementation of Sustainable Forest Management.
One road toward Sustainable Forest Management is through forest cer
tification. This certification reveals the managerial performance on the as
pects of production, social and ecology. The managerial units that have met
the performance criteria are given certification for sustainably have man
aged the forest.
Forest certification system is developed by an independent working group
supported by multi-stakeholders comprising of non-governmental organiza
tions, academicians, professionals and government bureaucrats as well. This
system covers
(1) criteria and indicators of Sustainable Forest Management
(2) procedures for implementing the system
(3) requirements for certification actors and
(4) guidelines for decision-making in certifi<.:ation.
The implementation would be transparent, open and follow internation
ally accepted standards.
The system on certification for a Sustainable Forest Management is, there
fore, concluded and presented in the following chapter.
FRAMEWORK FOR SUSTAINABLE PRODUCTION FORESTS MANAGEMENT SYSTEM
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if I,
THE INDONESIAN ECOLABELING INSTITUTE
It is hoped that the readers not only comprehend the content of the
certification system but also using this information to watch the proper imple
mentation of Sustainable Forest Management .•
Jakarta, 28 March 2001
--------. EmilSalim
Board on Trustees
. XVI LEI STANDARD SERIES 5000
The LEI Standards, LEI Guidelines, LEI Technical and Academic DOGuments
1 . LEI standards describe .system framework for sustainable production
forest management, which are the basis for certification implementa
tion. The standards al~o become assesment frameworks for Sustainable
Prodcution Forest Management System (SPFM).
2. The LEI Guidelines is the reference during an implementation of SPFM
Certification activity, these guidelines define procedures for Sustainable
Natural Production Forest Manageme~t (SNPFM) including procedure
for the process of appealing against certification decision.
LEI Guidelines in SNPFM comprises.of three main parts :
2. 1 LEI Guidelines series 99-00 explains Minimum Requirements for
certification implementers i.e.: certification bodies, Assesors and Ex
perts Panel.
2.2 LEI Guidelines series 99-10 explains Training Systems, Requirements
for Training Institution, and Personnel Registra~on Body.
2.3 LEI Guidelines series 99-20 explains Procedures for Certification
Implementation, Decision i\1aking, Formulating Recommendations,
Reporting and Surveillance.
3. LEI Technical Documents are available for references in the assesments
or in developing quality system for certification bodies. Available docu
ments to date are Verifier and Verification Toolbox for Assessment Cri-
FRAMEWORK FOR SUSTAINABLE PRODUCTION FORESTS MANAGEMENT SYSTEM
THE INDONESIAN ECOlABEllNG INSTITUTE
teria and Indicators of Sustainable Natural Production Forest Manage
ment (SNPFM) System and Indicators of Intensity Scale for Sustainable
Production Forest Management.
4. The Academic Document provides background, logical framework and
the urgent to develop SPFM certification system.
5. This publication is prepared for the interest of SNPFM certification
implementation in Indonesia. These guidelines are developed particu
larly to lead Executive Board of LEI, Secretariat and Certification Bod
ies as well as concerned parties.
... XVIII
5.1 For LEI Executive Board :
5.1.1 To provide a basis to evaluate certification bodies for ac
creditation process.
5.1.2 To provide a basis for developing other procedures
5.1.3 To provide for a transparency as LEI is required to be cred
ible with the stakeholders including government, private sec
tor in forestry, certification bodies, Personnel Registration
Body, NGO(s) and general public.
5.2 For Certification Bodies:
5.2.1 To provide a concise framework to facilitate the develop
ment of effective certification systems
5.2.2 As reference in developing quality system for the certifica
tion bodies
5.2.3 To specify the performance that should be achieved by certi
fi~ation bodies in order of maintaining their accreditation
fromLEI
5.3 For management unit:
5.3.1 As a framework in achieving sustainable forest management.
5.3.2 As a reference for internal assesment in management unit to
prepare for certification .
LEt STANDARD SERIES 5000
THE INDONESIAN ECOlABEllNG INSTITUTE
5.4 For concerned parties
5.4.1 As a reference to understand certification system that has
been applied,
5.4.2 As a reference in the monitoring process of certification
implementation,
5.4.3 As a reference for inputs providing as well as critics to the
certification implementation,
5.4.4 As a reference for providing inputs and critics to the certifi
cation system. -
FRAMEWORK FOR SUSTAINABLE PRODUCTION FORESTS MANAGEMENT SYSTEM
Short Notes
In Iha Development Procoss of Cortification System
1. LEI Standards, LEI Guidelines and Technical Documents have been
developed through various consultations with multi-stakeholders in the
form of seminars, workshop, meetings with selected participants, small
group meetings and others.
2. LEI Standards, LEI Guidelines, and LEI Technical Documents has been
developed through a long process, started in September 1999 to No
vember 11, 1999.
3. In February 1998, the Ministry of Forestry initiated a workshop to dis
cuss criteria and indicators for a system of management on natural pro
duction forest. The participants of the workshops were from govern
ment agencies (Ministry of Forestry), Indonesian Ecolabelling Working
Group, and APHI Expert Team Members. The result was an agreement
to a set of criteria and indicator for sustainable natural production for
est management.
4. With reference to the above workshop results, Indonesian Standardiza
tion Body (ISB) endorsed the standards for sustainable production for
est management as a guidelines for an implementation to be applied as
the ISB Standard and Guidelines in 1998;
• SNI 19-5000-1998 : The Framework for Sustainable Production
Forest Management
• SNI 19-5000-1-1998: The System for Sustainable Production For
est Management
FRAMEWORK FOR SUSTAINABLE
PRODUCTION FORESTS MANAGEMENT SYSTEM .
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THE INDONESIAN ECOLABELING INSTITUTE
• SNI 19-5005-1998: Terms and Definitions relating to Production
Forest Certification
• BSN Guideline 99 : Certification System for Sustainable Produc
tion Forest Management
5. \XTith respect to various inputs and critics via letters, fax, e-mail mes
sages delivered to LEI Secretariat from the stakeholders on criteria and
indicators for sustainable production forest management and its certifi
cation system, as well as recommendations from various discussion/
workshops and other public meetings on LEI Standards and Guidelines
to concerned parties in Indonesia together with memorandum of under
standing between LEI and Forest Stewardship Council (FSC), LEI Board
of Trustees decided to revise (amend) LEI certification system.
6. During the joint activities between LEI and FSC in international work
shops, and joint field test for both systems, a revision needs to be con
ducted to the certification system (in subjects of Procedure for Certifi
cation Implementation as well as Criteria & Indicators) of Sustainable
Natural Production Forest Management.
7. On November 11, 1999 -after system development and revision pro
cess was completed- LEI Board of Trustees approved LEI Standards,
LEI Guidelines and LEI Technical Documents as the Final Documents
as stated in a letter of approval No. 02/LEI/SK/BP /XI/99 signed by
Prof. Dr. Emil Salim. The revision process followed the stages as de
scribed in LEI numbering system.
8. This publication is based on a review of all comments and suggestions
received until 2000. It has also been reviewed by the LEI editorial team
to ensure the clarity, accuracy and adaptability of the sentences struc
ture .•
All partiu are invited to give COJJlJJletttJ' and JuggestioltJ, to thiJ publicatiol/. All inputs should be delivered to LEI Secretariat
.. XXII
Manageme
Contents LEI Guideline 88
1.
2.
3.
4.
5.
Introduction
Scope
Definitions
Certification System
4.1. Pre-Field Assessment
4.2 Field Assessment & Community Input
4.3 Performance Evaluation & Certification Decision-Making
4.4 Certification Decision
4.5 Surveillance 4.6. Certificate Granting, Cancellation, Delay and Extension
Changes in SPFM Certification System
SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION SYSTEM
7
8
8
10
10
11
11
12
12
12
14
List of Picture LEI Guideline 99
Chart 1. Certification Process fot Sustainable Management
of Production Forest (SMPF)
Chart 2. Appeal Resolution Procedure on Decision of Certification
SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION SYSTEM
15
16
· LEIGuideline99" . ,
,s'lfit~ififlfiiiProduction Forest ..... ·'Mal1agement Certification System
,Y-,c-{: i .~".;:-::_ """' .. ~-.-;- ".
-, ,,:'-, .- >,"'-:r~f:0;';'-'~(l r ~~,~ :';
'">(:,:
1. Introduction
T,he Sustainable Production Forest Management (SPFM) is the actualiza
tion of a sustainable development concept in the field of forestry. To
meet the objectives set ~y SPFM, there needs to be a system to manage
Production Forests, which will ensure and guarantee the sustainability of its
various functions - production, ecological and social. The SPFM certificate
is a bridge to convey the information of a well-performed forest manage
ment to the buyers of wood products. A SPFM certification system has been
developed that abides by standardized criteria and common indicators to
ensure an effective and efficient certification process. The implementation
of the SPFM Certification System is outlined in the LEI Guideline 99 that
includes various guides inter-linked within the system.
The standard reference manual of SPFtv1 is the LEI Standard 5000 se
ries that sets the framework for the SPFM. The entire manual remains an
integral and inseparable part of the SPFM Certification System.
In the context of the SPFM system, LEI Guideline 55 specifically out
lines the resolution guideline against the SPFM certification decision issued
by the Certification Body. In addition, other documents like the Manual
Accreditation, which has become the basis for the Indonesian Ecolabelling
Institute (LEI) to recognize the Certification Body; LEI Technical Docu
ments describe verifiers, the method of their verification and the level of
indicator maturity as well as other relevant documents issued by LE!.
SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION SYSTEM
THE INDONESIAN ECOLABELLING INSTITUTE
2. Scope
The objective of LEI Guideline 99 is to provide a general road map of
the entire SPFM certification process.
The SPFI\1 Certification System dictates the certification procedure. The
LEI Guideline 99 is the parent for all subsequent guides derived from it.
3. Definitions
The definition of terminology related to the system for the management
of a sustainable production forest is based on general and technical forestry
terms. The definition of the following terms is used as a reference to this
standard:
3.1. Certification Review Council (CRC) is a council formed and
mandated by stakeholders of the Certification System to re
solve any disputes that may arise in connection with the deci
sion and affirmation of certification.
3.2 Provincial/Local Consultation Forum is a procedure of veri
tlcation, validation and/or dispute settlement on the final certi
fication decision used by the Certification Review Council
through group discussion forums with the relevant parties.
3.3 Personal Consultation is a procedure of verification, valida
tion and/or dispute settlement on the decision of certification,
used by the Certification Review Council through personal dis
cussions with the relevant parties.
3.4 Forest Certification Body here after referred to as forest
certifica tion body is a legal body, which has the competence
to provide forest certification services and has been accredited
by LE!.
3.5 Expert Panel is an ad hoc team, which consists of a group of
individuals who are themselves specialists in their fields and/or
have an in-depth knowledge on issues associated with the certi
fication process and has the right to make certification deci
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THE INDONESIAN ECOlABElllNG INSTITUTE
3.6 Appeal Resolution Committee is an ad hoc committee cre
ated by Certification Review Council to resolve a dispute of
decision and affirmation certification
3.7 Field Scoping is a field visit carried out by the Expert Panel I
and is part of the screening process.
3.8 Sustainable Production Forest Management is a series of
strategy and implementation activities to harvest forest prod
ucts that ensure sustainable production, ecological and social
functions.
3.9 Field Assessor is an individual who has the right to do field
assessment in the forest certification process based on the LEI
5000 Series Guidelines. The Field Assessor is not allowed to
have financial ties and/or ownership or any relationship with
any management unit or other enterprise that would pose a con
flict of interest.
3.10 Surveillance is a) a monitoring activity conducted by the Certi
fication Body of a certified management unit to determine
whether certificates obtained remain appropriate; b) a monitor
ing activity conducted by the Certification Body to certification
body, personnel registration body and training institution to de
termine whether certificates of accreditation obtained remain
appropriate
3.11 Sustainable Production Forest Management Certification
is carried out by independent third parties to issue a statement,
which stipulates that the managing of the forest production by
the management unit is in accordance with the- LEI Standard
5000.
3.12 Sustainable Production Forest Management Certification
System is a procedure ofinter-dependence and relations among
the certification applicants, panel of experts, field assessors,
certification bodies, Certification Review Councils, and stake
holders in the SPFM certification.
SUSTAINABLE PRODUCTION FOREST MANAGEMENT
CERTIFICATION SYSTEM
THE INDONESIAN ECOLABELLING INSTITUTE
3.13 Management Unit is the unit of production sustainability man
aged by the legal institution/individuals/ community groups that
have the right to manage the production forest.
4. Certification System
The PFM Certification System is founded upon the voluntary-based,
transparent, independent, participation, non-discriminative and accountable
principles. In its implementation, the SPFM certification system separates
the process of data collection and the decisionmaking, and also involving
many elements in both process.
The procedure of inter-dependence and relations among all components
involved in the SPFM certification process is outlined in Chart 1 attached.
To increase credibility and provide opportunities to all stakeholders to
review the certification process, tl1e system gives an equal chance to rel
evant parties to submit their complaints and obligations. The procedure for
lodging a formal complaint and its subsequent conflict resolution process is
outlined in Chart 2.
The procedures for bringing forward objections against the certification
decision will be regulated in a separate guideline.
In general, the certification process is divided into 4 stages of activities,
as follows:
4.1. Pre-Field Assessment
The Pre-Field Assessment is a series of activities designed to increase
the efficiency of the evaluation process, paving the way for a more expedi
tious certification process due to an increased understanding of the underly
ing information that serves as its basis. Therefore, those management units
which do not meet with the necessary qualifications should no longer con
tinue the certification process.
The activities witl1in a Pre-Field Assessment consist of:
a. Screening by Expert Panel 1
• Document Evaluation
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THE INDONESIAN ECOlABElllNG INSTITUTE
., Field Scoping
• Decision Making & Submission of Recommendation
b. Affirmation of decision by the Certification Body
4.2 Field Assessment & Community Input
Both activities are carried out simultaneously.
4.2.1. Field Assessment
At this stage data/information collecting and analytical pro
cessing are carried out by Field Assessors based on the SPFM
criteria and indicators. The procedure of these field assessments
is regulated in a separate guideline.
4.2.2. Community Input
The Community Input is complemented by the field assessment
process in order to provide the communitywith the opportunity
to actively participate and submit data/information, covering
both the positive as well as negative effects of the presence of
the management units being evaluated. The Certification Body
will openly announce this opportunity to the public.
This Community Input is submitted to the Certification Body
as inputs for Expert Panel II in making a final decision on certi
fication.
4.3 Performance Evaluation & Certification Decision-Making
The performance evaluation is a process of evaluating the manage
ment unit based on SPFM criteria and indicators through comparing
the actual and the standard conditions in order to make a decision
and rank of certification as well as recommendations to the man
agement unit.
The Field Assessment Report, the Community Input and the results
of Screening process by the Expert Panel are sources of informa
tion.
SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION SYSTEM
THE INDONESIAN ECOLABELLING INSTITUTE
The SPFM Certification decision is made by the Expert Panel II
appointed by the SPFM Certification Body. Expert Panel II mem
bership, work procedures and recommendation proposal for the man
agement unit will be regulated in a separate guideline.
4.4 Certification Decision
The Certification Decision is the process of endorsing the Expert
Panel II decision into a Certification Body Decree.
In the event a management unit is granted certification, the Certifi
cation Body shall openly announce the event through the mass me
dia, and disclose the decision in a sealed notification to all relevant
parties in the government, NGO(s) and various groups/associations
concerned.
4.5 Surveillance
To maintain the credibility of the Certification Decision, the Certi
fication Body will periodically monitor and assess the already certi
fied management units. The surveillance activity will be carried out
by a team of qualified individuals which is equal to the Expert Panel
or Lead Field Assessor.
Team memberships and surveillance implementation standard will
be regulated by the Certification Body, referring to the existing Sur
veillance Guidelines.
The Surveillance Results will be announced to the public in accor
dance with the Certification Body'S quality standards.
4.6. Certificate Granting, Cancellation, Delay and Extension
4.6.1 SPFM Certification Assessment Result
Assessment results are classified into two categories - "Pass"
and "Fail"
4.6.2. Certificate Ratings
THE INDONESIAN ECOLABELLING INSTITUTE
In the interest of improving the performance by the manage
ment unit under assessment, the certification results are rated
into 5 (five) ranks:
a) Gold (Highest)
b) Silver
c) Bronze
d) Copper
e) Zinc (Lowest)
In line with the SPFM evaluation, the SPFM certificate is
awarded only to management units who receive a rating of
Bronze, Silver and Gold.
4.6.3 Certificate Cancellation
A SPFM certificate that has been granted by the Certifica
tion Body to a management unit may be revoked due to the
following reasons: a) Passed expiry date and not extended b) Surveillance or re-certification report indicates that cer-
tification is revoked c) The management unit has lost its license to work
d) Dissolution of the management unit that applies the
SPFM e) Acts against the law by court f) Upon written request by the management unit g) A decree set forth by the Certification Review Council
that revokes the certificate.
4.6.4. Certificate Delay
A SMPF certificate that has been awarded to a management
unit by the Certification Body may be postponed due to the
following reasons:
a) An area of the management unit's location has been
struck by a natural disaster (force majeur) and is consid-
SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION SYSTEM
THE INDONESIAN ECOLABELLING INSTITUTE
ered hazardous to the sustainability of the forest re
sources.
b) The management unit is under court proceedings on charges of violating the law.
c) A decree set forth by the Certification Review Council
(CRC) that delay issuance of the certificate.
4.6.5. Certificate Extension
Certificates that are near their dates of expiry may be ex
tended. The Extension process may be carried out taking the Surveillance Report in consideration. Certificate extension must be submitted not later than 3 (three) months prior to the expiration date.
4.6.6. Re-certification Request of the Failed Management Units
The standard procedure for a certificate request by a previ
ously failed management unit in the certification process is as follows:
a) For those who failed in the Screening Assessment, the review process conducted begins with the Screening phase.
b) For those who failed in the Performance Evaluation phase, the review process will not go through the Screening Assessment, but with the condition that the second submission of the certification process should not exceed
more than 6 (si.x) months.
5. Changes in SPFM Certification System
In the event that modifications are made on the LEI Standards, Guidelines and Technical Document, the management unit must comply and modify
accordingly, in line with the new Certification System.
The evaluation process by the Certification Body on the modifications
in accordance with the new Certification System must be implemented not
later than 12 (twelve) months after its rulings .•
. . 14
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THE INDONESIAN ECOLABELLING INSTITUTE
Application of SMPF Certification by
Management Unit
Forestry Document and Basic Data
Document Assessment by Expert Panel
Yes
+ Field Assessment by
Assesor Team
Result of Field Assessment Input
Performance Evaluation by Expert Panel
Chart 1 .
. Certification Process for Sustainable
Management of Production Forest (SMPF)
No
Pre Field Assessment
No
Public Announcement on Field Assessment Field
Evaluation and
Input from Community
Performance Evaluation and
Decision Making
-------l-----------------------------Yes
Surveillance
Certification Decision Making
SUSTAINABLE PRODUCTION FOREST MANAGEMENT
CERTIFICATION SYSTEM
THE INDONESIAN ECOLABELLING INSTITUTE
Chart 2.
Appeal Resolution Procedure on Decision of Certification
Appeal against Decision of certification
Verification, Validation - - - - - .. and Resolution of
Appeal by Certification Review Council .. _ _ - _ _
Decision - Making Process by Appeal
Resolution Committee
rocess: Consultation P -Personal Con sultation -Regional Cons ultation
Yes
>---------------~goo
Reserved
Shift on Decision of Certification
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THE INDONESIAN ECOLABELLING INSTITUTE
Contents LEI Guideline 99-01
1. Introduction
2. Scope
3. Reference
4. SPFM Certification Body Requirements
5. Communication with The Indonesian Ecolabeling Institute, Certification Review Council, and Provincial/Local Communication Forum
6. Personnel of the SPFM Certification Body
7. Resolution of Appeal against the Decision of
Certification Process
8. Procedures for Use of Certificate, Logo and SPFM
Certification Award Label
9. Surveillance
10. Change in the SPFM Certification System
GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION BODY
21
21
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22
29
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31
31
32
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··-IN·DONESIAN ECOlABElllNG INSTITUTE
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1. \ Introduction
The Sustainable Production Forest Management (SPFM) certification body
is a legal body competent in giving SPFM certification services and recog
nized by LE!. A general requirements standard guideline is essential for the
SPFM certification body to be able to function in accordance to principles
of independence, non-discriminatory, objectivity and transparency. The LEI
Technical Document 99-01 regulates the General Requirements for SPFM
Certification Body as an inseparable part of the LEI Guideline 99 Series on
the SPFM Certification System.
2. Scope
The aim of the LEI Guideline 99-01 is to form the general requirements
for SPFM certification body. These general requirements will be a reference
for legal bodies to perform as SPFM certification bodies, but with prior rec
ognition by the accreditation body.
3. Reference
1. ISO Guide 61: General requirements for assessment and accredita
tion of certification/ registration bodies.
2. ISO Guide 62: General requirements for bodies operating assess
ment and certification/ registration of quality systems.
GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION BODY
Oil
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THE INDONESIAN ECOLABELLING INSTITUTE
3. BSN 49 - 1997 Guideline: General Requirements for Environmen
tal rVfanagement System Certification Body.
4. FSC Accreditation Manual.
5. LEI Standard 5000, Framework for Sustainable Production Forests
Management System.
6. LEI Guideline 55, Resolution Guideline to Appeal against the Cer
tification Decision.
7. LEI Guideline 99, Sustainable Production Forest Management Cer
tification System.
4. SPFM Certification Body Requirements
4.1. General Stipulation
~ .. 22
4.1.1. Have a strong commitment to acquire SPFM.
4.1.2. The SPFM certification body may not have relations that
may arouse conflict of interest with, among others but are
not limited to:
a) Bodys that have or are doing business in the sector being
processed for certification;
b) The SPFM consulting Firms or coordinator of the SPFM
consultation program;
c) Training body or training of field assessor and/ or SPFM
certification expert panel.
4.1.3. The SPFM certification body implements a transparent cer
tification process without any obstacles or prerequisites that
may hinder stakeholders to gain access unless regulated within
this guideline.
4.1.4. The SPFM certification body implements the certification
system in accordance to LEI 99 Series Guideline and LEI 55
Guideline.
4.1.5. The SPFM certification body affirms certification decision
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THE INDONESIAN ECOLABELLING INSTITUTE
made by Panel Expert II and takes responsibility towards the decision.
4.2. The SPFM Certification Body Structure
4.2.1. The SPFM certification body structure is set up to give as
surance towards its certification activities.
4.2.2. The SPFM certification body should:
a) Have a document that states its legal existence, detailed
organizational structure, and stake ownership on behalf
of the individual and/or organization;
b) Responsible for decisions to award, postpone, cancel and
extend certification;
c) Form a management that generally takes responsibility of:
c.l) Policy formulation that relates to implementation of certification;
c.2) Implementation of certification in accordance to
LEI 99 Series Guideline;
c.3) Resolution of appeal against the decision of certi-
fication in accordance to LEI 55 Guideline;
cA) Policy implementation surveillance;
c.5) SPFM certification body financial surveillance;
c.6) Delegating responsibility to committees or individu-
als to take over duties when necessary.
d) Have financial and other resources needed to implement
SP FM certification system.
e) Have a number of qualified personnel to implement SPFM
certification duties, and each personnel should meet the
required qualifications.
t) Have a quality system that is able to provide assurance
of its capabilities in conducting SPFM certification sys
tem.
GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION BODY
THE INDONESIAN ECOLABELLING INSTITUTE
g) Have the rules and procedures to involve individuals and/
or groups in the certification process.
h) Have the policy and procedures that differentiates be
tween SPFM certification activities with other activities.
4.3. SPFM Certification Body Quality System
4.3.1. The SPFM certification body management with an executive
responsible for the quality system should endorse and docu
ment quality policies, including the aim and commitment to
quality.
4.3.2. The SPFM certification body implements a quality system
that is in accordance with related elements within this guide
line.
4.3.3. The SPFM certification body should guarantee effective
implementation of the procedure and work instruction of
the quality system.
4.3.4. The management should guarantee the understanding, imple
mentation, and maintenance of the quality system by the
SP F~[ certification body.
4.3.5. Have the authority, responsibility, and clear function in ac
cordance with the existing organizational structure.
4.3.6. The quality system is documented in the general guideline
and standard operational procedures that are interrelated. The
quality guideline should include:
a) Quality Policy Statement;
b) A short deliberation of the legal status of the SPFM cer
tification body which includes the name of ownership,
individual or organization, and the person in charge;
c) Organizational structure chart that clearly indicates line
of authority, responsibility, function, and the relation
amongst sectors sharing responsibility in the implemen-
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THE INDONESIAN ECOLABELLING INSTITUTE
tation of certification;
d) Operational and functional duties and services related
to quality, so that the scope of responsibility of each per
sonnel is known to all relevant parties;
e) The position, qualification, authority and responsibility
of the personnel involved in and responsible for the cer
tification quality;
f) Policy and procedure of accepting personnel and train-
ing both of permanent as well as contractual-based staff;
g) Administration procedure including document control;
h) Policy and procedure for management review;
i) Requirements and standard operational procedures for
implementation of certification process.
4.4. The awarding, postponement, cancellation and extension of the
SPFM certification is done by the SPFM certification body in accor
dance with the LEI Guideline 99.
4.5. The Internal Audit, Corrective and Preventive Measures and Man
agement Review:
4.5.1. The SPFM certification body should regularly carry out an
internal audit on the entire procedure, systematically and well
planned, to prove that the quality system has been ef~ec
tively implemented;
4.5.2. The SPFM certification body management with executive
responsibilities carry out a management review of the qual
ity system i3eriodically to guarantee the compatibility and ef
fectiveness of the implementation of this guideline and the
agreed quality policy. The result of the management review
is documented.
4.6. Documentation
4.6.1. The SPFM certification body should produce and maintain
GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION
FOREST MANAGEMENT CERTIFICATION BODY
THE INDONESIAN ECOlABElllNG INSTITUTE
up-dated documents accessible to the public by request. These
documents are:
a) Information on the SPFM certification body operational
authority;
b) Clarification on the implementation of the certification
system and process;
c) Clarification on the manner in which the SPFM certifica
tion body gains financial support and general informa
tion on the expense imposed on the management unit
applicant and those already awarded certification;
d) Clarification on the rights and responsibility of the man
agement unit applicant of certification and those already
awarded certification;
e) Information on the resolution of the appeal procedure
on certification;
f) Information on the management unit, which has obtained
certification and the type of certification implemented.
4.6.2. The SPFM certification body affirms and implements the pro
cedure to control data and documents related to its certifica
tion activities.
4.6.3. The document list with its own status, amendments, other
changes, and availability, should be maintained to guarantee
that the specified document is obtainable by the personnel
of the SPFM certification body and the management unit in
order to be able to perform its function related to certifica-.
tion.
4.7. Recording
4.7.1. The SPFM certification body should have a recording sys
tem that guarantees the continuity of information.
4.7.2. The recording should indicate that the certification proce
dure has been fulfilled effectively, including amongst others:
THE INDONESIAN ECOLABELLING INSTITUTE
~ .. a) The document and application process of certification,
including the contract document with the management
unit applicant;
b) Qualification, selection process and contract with the field
assessor and expert panel;
c) Document, evaluation process and assessment of docu
ment by Expert Panel I;
d) Document and information process to gather inputs from
the community related to the management unit in the
process of certification;
e) Document and field assessment process, field assessment
result and community inputs presented to the SPFM cer
tification body;
f) Document, evaluation process and result document by
Expert Panel II;
g) Decision on awarding, postponement, cancellation and
extension of certification and the notification on the de""
cision of certification;
h) Appeal document against the decision of certification and
the resolution of appeal process;
i) Handling of certification cost and payment of taxes in
accordance with existing regulations;
j) Document, process and result of surveillance on the man
agement unit being awarded certification.
4.7.3. The SPFM certification body should have a policy and pro
cedure to save recordings of a specified term in accordance
to the contract, law, and other responsibilities.
4.7.4. The SPFM certification body should have a policy and pro
cedure related to recording access.
4.7.5. The SPFM certification body should call for each manage
ment unit being awarded certification to submit recording of
GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION
FOREST MANAGEMENT CERTIFICATION BODY
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THE INDONESIAN ECOLABELLING INSTITUTE
appeal against the decision of certification presented by rel
evant parties to the management unit and its responding ac
tions should be according to the SPFM certification system,
if requested by the SPFM certification body.
4.8. Secrecy
4.8.1. The SPFIv( certification body should have sufficient mecha
nism conform the regulations to protect the secrecy of infor
mation being gathered from the certification process at all
levels of the organizational structure.
4.8.2. Management unit information may not be granted to a third
party without written permission from the management unit
concerned, unless stipulated in the SPFM certification sys
tem. If the regulation permits information be granted to a
third party, therefore, the management unit concerned has to
be informed.
4.8.3. Specifically for open and/ or publicly accessible information
from the management unit document are stipulated by the
SPFM certification system, the SPFM certification body is
able to provide such information if requested by a relevant
party without the consent of the management unit concerned.
4.9. Publication
4.9.1. The SPFM certification body should have a policy and pro
cedure to publicize information related to the SPFM certifi
cation.
4.9.2. The publicized information has to be clear and should not be
in contradiction to the guarantee of secrecy on issues agreed
upon between the SPFM certification body with relevant
parties.
4.9.3. Immediate publication through easily accessed media, cov
ering the following issues:
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THE INDONESIAN ECOLABELLING INSTITUTE
""--.. ~ .. a) All changes concerning standards, requirements and cer
tification procedure;
b) The management unit in the middle of a certification pro
cess, already being awarded certification and its certifi
cation status.
4.9.4. The SPFM certification body provides publication by request,
covenng:
a) A management unit's certification summary, including in
formation on the management unit, field assessor, expert
panel, and assessment result by the expert panel;
b) The development of the implementation of certification
being performed on a management unit applicant.
5. Communication with The Indonesian Ecolabelling Institute,
Certification Review Council, and Provincial/Local
Communication Forum
With regard to the SPFM certification implementation process, the cer
tification body should establish communication with:
a) Accreditation Body;
b) Certification Review Council (CRC)
c) Provincial/Local Communication Forum; and
d) Other relevant parties.
6. Personnel of the SPFM Certification Body
6.1. General
6.1.1. Personnel of the SPFM certification body involved in certi
fication must have the ability to function accordingly.
6.1.2. Information on qualification, training and relevant experi
ence of each personnel should be maintained and up-dated
by the SPFM certification body.
6.1.3. The latest technical guideline documented defining the du-
GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION
FOREST MANAGEMENT CERTIFICATION BODY
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THE INDONESIAN ECOlABELLING INSTITUTE
ties and responsibilities of personnel should always be avail
able.
6.1.4. The SPFM certification body recommends the field assessor
team.
6.1.5. The certification body is required to appoint a facilitator for
the implementation of certification process. The facilitator
should have the qualification equal to the Senior/Lead Field
Assessor.
6.2. The facilitator has a function to fully facilitate the implementation
of certification, from the field pre-assessment phase to the decision
of certification and the implementation of surveillance. Although
they do not have a right to vote in the decision-making process, the
facilitator may express the view points of the SPFM certification
body it represents as inputs for the field assessor and expert panel.
6.3. The qualification of the field assessor and expert panel is based on
requirements stipulated in the LEI 99-02 Guideline on General Re
quirements for SPFM Certification Field Assessor and LEI 99-03
Guideline on General Requirements for SPFM Certification Expert
Panel.
6.4. The SPFM Certification Body requires procedures for:
6.4.1. Appointing the field assessor and expert panel based on stipu-
1ated regulations on requirements for the field assessor and
requirements for the expert panel.
6.4.2. Work assessment of the field assessor and expert panel dur
ing the evaluation process and further assessments.
6.5. Personnel Contract
6.5.1. The field assessor and expert panel involved in the imple
mentation of certification should be required to sign a con
tract and other documents expressing their commitment to
abide by the stipulated regulations of the SPFM certification
body. This includes issues of secrecy, freedom from com-
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THE INDONESIAN ECOlABElllNG INSTITUTE
mercial or other interests, and freedom from previous or cur
rent relations with the management unit under certification.
6.5.2. The SPFM certification body should guarantee and docu
ment the compatibility of the personnel involved in the cer
tification process in accordance with the guideline.
6.5.3. The certification body should have a policy and procedure
to arrange for compensation for the contract made by the
field assessor and expert panel.
6.6. Personnel Recording
6.6.1. The SPFM certification body should acquire and maintain
up-dated recordings of personnel involved in certification.
6.6.2. The SPFM certification body should have a procedure that
guarantee and verify the personnel involved in certification
uphold the recordings in accordance to the regulations within
this guideline.
7. Resolution of Appeal against the Decision of Certification
Process
To resolve appeal against the decision of certification expressed by rel
evant parties to the SPFM certification body is based on the LEI Guideline
55 on Resolution of Appeal against the Decision of Certification.
8. Procedures for Use of Certificate, Logo and SPFM
Certification Award Label
8.1. In the event that the SPFM c~rtification body is required to permit
the use of the certificate, logo and SPFM certification award label
to the management unit being awarded certification, the unit is al
lowed to use them according to the written approval by the SPFM
certification body.
8.2. The SPFM certification body should have a right follow-up proce
dure to alter incorrect interpretation of the certification system or
GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION
FOREST MANAGEMENT CERTIFICATION BODY
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THE INDONESIAN ECOLABELLING INSTITUTE
abuse of the certificate, logo or SPFM certification award label of
ten found in advertisements, catalogues and other media.
9. Surveillance
The SPFM certification body should apply surveillance towards the
management unit being awarded certification.
10. Change in the SPFM Certification System
Any change or improvement of the LEI Guideline, Standard and LEI
Technical Document based on the agreement reached among relevant stake-
\ holders or LEI decision, the certification body should perform assessment
of the management unit based on the new certification system. The assess
ment should be implemented by a maximum of 12 (twelve) months after the
establishment of the new· certification system.
The clause on the assessment process should be stipulated in the SPFM
certification body quality system and included in the work contract with the
specific management unit being assessed. _
. ",::;:':,;:;:;:;:;:;:;:.
ft', roductlOu< ' ..... .". < · · . " .. "CertlficationifiillldASSeSSOr H
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Contents LEI Guidelino 99-02
1.
2.
3.
4.
5.
6.
7.
8.
Introduction
Scope
Reference
Criteria and Requirements for SPFM Certification
Field Assessor 4.1. Area of Expertise of SPFM Certification Field Assessor
4.2. Career Levels of Field Assessor
4.3. The qualification of a field assessor
Duties of the SPFM Certification Field Assessor
Junior Field Assessor
6.1. Expertise and Level of Education
6.2. Training
Mid-level Field Assessor
7.1. Expertise and Level of Education
7.2. Assessment Experience
Senior/Lead Field Assessor
8.1. Expertise and Level of Education
8.2. Training
8.3. Assessment Experience
GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION FIELD ASSESSOR
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LEI Guideline 99-02
General Requirements for Sustainable Production Forest Management Certification Field Assessor
1. Introduction
The Sustai.nable Production ~orest Management (SPFM) cer~fication field assessor 1S a person authonzed to conduct field assessment in the SPFM
certification, based on LEI Standard 5000. The field assessor does not have financial and/or ownership relations and/or any relations whatsoever with a specific management unit or business that may cause conflict of interest. A general requirement for field assessors is needed to make the assessment process more effective.
The LEI Guideline 99-02 regulates the general requirements for SPFM certification field assessor, provides the basis for compiling the registration procedure and utilizing registration right of the SPFM field assessor as well as an inseparable part of the LEI Guideline 99 Series.
2. Scope
The purpose of this guideline is to regulate the criteria and general requirements for Field Assessors.
This general requirement will be a reference for a person who will work
as a field assessor, with prior registration at the Personnel Registration Body (PRB).
3. Reference
1. LEI Standard 5000, Framework for Sustainable Production Forest
GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION FOREST MANAGEMENT CERTIFICATION FIELD ASSESSOR
v ;
THE INDONESIAN ECOlABElllNG INSTITUTE
Managemen t System.
2. LEI Standard 5005, Terms and Definitions related to Forest Certifi
cation.
3. LEI Guideline 99, Sustainable Production Forest Management Cer
tification System.
4. Criteria and Requirements for SPFM Certification Field Assessor
-" " 38
4.1. Area of Expertise of SPFM Certification Field Assessor
4.1.1. A field assessor should possess at least a D-3 diploma with 5
(five) years working experience in their field, or S-l with 3
years working experience in their field.
4.1.2. The field assessors are divided into:
a) Production Aspect Field Assessor;
b) Ecological Aspect Field Assessor;
c) Social Aspect Field Assessor.
4.1.3. A field assessor should have expertise related to the SPFM
certification, i.e.:
a) Production (forest harvesting and internal timber track-
ing system of the management unit);
b) Forest management;
c) Company management;
d) Forest Ecology;
e) Wildlife Ecology/Management;
f) Soil and Water Conservation;
g) Anthropology /Sociology /Human Ecology, and
h) Economy.
4.2. Career Levels of Field Assessor:
4.2.1. Junior Field Assessor
4.2.2. Mid-level Field Assessor
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4.2.3. Senior/Lead Field Assessor
The leader of the Field Assessor teams should meet the qualifica
tions of a Lead/Senior Field Assessor.
4.3. The qualification .of a field assessor is regulated by the Personnel
Registration Body (PRB) in accordance with the requirements stipu
lated in the General Requirements for Field Assessors Guideline.
5. Duties of the SPFM Certification Field Assessor
The duties include:
5.1. Draw up a field assessor work plan based on information from the
management unit and recommendation from Expert Panel I;
5.2. Presentation and discussion of a field assessor work plan with Ex
pert Panel I, to be subsequently decided together.
5.3. Decide on the typology of the management unit under assessment;
5.4. Collect primary and secondary data of the management unit in the
field based on LEI Guideline related to the implementation of SPFM
certification field assessment;
5.5. Analyze and make conclusion of each indicator based on the field
data/information gathered;
5.6. Formulation of a systematic report compatible to the decision-mak
ing process of certification conform with the assessment result's
guideline for SPFM certification;
5.7. Give presentation on the field assessment result report to Expert
Panel II with detailed information on the conditions of the manage
ment unit to assist Expert Panel II in the decision-making process
of certification.
6. Junior Field Assessor
6.1. Expertise and Level of Education
A junior field assessor should be competent to fulfill the following:
GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION
FOREST MANAGEMENT CERTIFICATION FIELD ASSESSOR
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6.1.1. Expert in a specific science and technology discipline related
to the SPFM certification, indicated by a title or level of
education as stated in clause 4.1.1.
6.1.2. Technically able to perform field assessment activity in the
management unit area.
6.1.3. Able to analyze field data/information and make conclusion
of each indicators in each aspect "and properly present it in
the form of a field assessment report.
6.1.4. Possess good communications skills, both oral and written.
6.1.5. Registered at the PRB as a Junior Field Assessor.
6.2. Training
A Junior Field Assessor is a person who has completed SPFM certi
fication field assessor training or have followed other procedures
recognized and certified by PRB.
7. Mid-level Field Assessor
7.1. Expertise and Level of Education
A mid-level field assessor should be competent to fulfill the
following:
7.1.1. Have the expertise and level of education of a junior field
assessor.
7.1.2. Able to give inputs on the development of field assessment
methods.
7.2. Assessment Experience
A mid-level field assessor is a junior field assessor who has com
pleted 2 (two) field assessments based on the guideline with the
implementation of the SPFM certification field assessment under
the responsibility of a qualified senior/lead field assessor.
8. Senior/Lead Field Assessor
8.1. Expertise and Level of Education
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A senior field assessor should be competent to fulfill the following:
8.1.1. Have the expertise, level of education and experience of a
mid-level field assessor
8.1.2. Have a combination of leadership capacity and experience
to function effectively in organizing the field assessor team.
8.1.3. Able to produce work assessment for the field assessor team.
8.1.4. Have the capacity to communicate with senior executives of
the management unit in a business-like but firm manner on
issues requiring attention.
8.2. Training
A senior field assessor is a mid-level field assessor who has com
pleted SPFM certification training for the senior/lead field assessor
level or other training related to the SPFM certification ~ystem rec
ognized and certified by PRB .
. 8.3. Assessment Experience
A senior field assessor should :
8.3.1. Have completed 5 (five) field assessments based on LEI
Guideline related to the implementation of SPFM certifica
tion field assessment under the responsibility of a qualified
senior /lead field assessor.
8.3.2. In the absence of qualified senior/lead field assessor able to
give guidance and training, the task should be performed by
a team or expert appointed by PRB .•
GENERAL REQUIREMENTS FOR SUSTAINABLE PRODUCTION
FOREST MANAGEMENT CERTIFICATION FIELD ASSESSOR