Title: Rainforest Alliance/SmartWood Interim Standard for Assessing ...

Type of document: 

Scope: 

Status of document: 

RA Standard 

Indonesia 

Approved 

Date of this version: November 2008 

Consultation period: 

Approval body: 

Contact person: 

CLOSED 

RA SW 

Irwan Gunawan 

Title: 

SW document code: 

Contact email: 

igunawan@ra.org 

Rainforest Alliance/SmartWood Interim Standard for 

Assessing Forest Management in Indonesia 

FM-32 - Indonesia 

© 2007 Published by Rainforest Alliance. No part of this work covered by the publisher’s copyright may be reproduced or copied in any form or by any 

means (graphic, electronic or mechanical, including photocopying, recording, recording taping or information or retrieval systems) without the written 

permission of the publisher. 

Table of contents 

Introduction ................................................................................................................................. 2 

1.1 Background ................................................................................................................ 2 

1.2 Regional Standards Development.............................................................................. 3 

1.3 SmartWood Standards Structure ............................................................................... 5 

1.4 Indicators for Small and Large FMEs ......................................................................... 6 

1.5 Public Input and Comment on SmartWood Standard and Certification 

Processes................................................................................................................... 6 

Rainforest Alliance/SmartWood Interim Standard for Assessing Forest 

Management in Indonesia .............................................................................................. 8 

Annex 1: List of national and local forest and related laws and administrative 

requirements which apply in Indonesia .................................................................... 33 

Annex 2: List of the multilateral environmental agreements and ILO Conventions that 

Indonesia has ratified ............................................................................................... 35 

Annex 3 : List of officially endangered species in Indonesia. ................................................... 36 

Annex 4 : Glossary of terms ..................................................................................................... 44 

Annex 5 : Summary of the SmartWood Certification Assessment Process.............................. 48 

SmartWood FM Interim Standard Indonesia 2008 Page 1 of 49

Introduction 

The purpose of the Rainforest Alliance’s SmartWood Program is to recognize good forest 

managers through credible independent certification of forestry practices. The Rainforest 

Alliance SmartWood Program (hereafter referred to as SmartWood) is a certification body 

accredited by the Forest Stewardship Council. The purpose of these standards is to provide 

forest managers, landowners, forest industry, scientists, environmentalists and the general 

public with information on the aspects of forest management operations that SmartWood 

evaluates to make certification decisions in the Forest Stewardship Council (FSC) certification 

system. 

The scope of the current standard is Indonesia (all forests types and geographic areas). 

The current interim standards have been specifically adapted by SmartWood to apply to 

Indonesia and will be continuously up-dated based on stakeholder input and field trials to this 

version. The principles, criteria and indicators1 in this document are applicable for assessing all 

forest management enterprises (FMEs) with wood production as a major (though not exclusive) 

objective. These standards are global in application, for all forest types. 

1.1 Background 

Forests can be managed for many different objectives and products. Such management can 

occur in natural forests or plantations, for timber or non-timber forest products, include 

mechanized or manual harvesting, and managed by a large industrial operation or a local 

community or landowner cooperative. Many combinations are possible. A critical question has 

been - how to evaluate the wide range of ecological, socioeconomic and silviculture impacts of 

forest management activities in a clear and consistent fashion, based on a combination of 

scientific research and practical experience. 

In 1991, the SmartWood Program put forth the first set of global standards for forest 

management certification, entitled “Generic Guidelines for Assessing Natural Forest 

Management” applicable at the forest or operational level for forest operations. In 1991, 

SmartWood also distributed the first region-specific guidelines for management of natural 

forests in Indonesia. In 1993, SmartWood distributed the draft “Generic Guidelines for 

Assessing Forest Plantations” and revised guidelines for natural forest management. The initial 

Working Group for developing the first FSC Principles and Criteria in 1991-1993 was co-chaired 

by the SmartWood Director. In 1998, after seven years of application and “learning by doing” 

through forest assessments and audits, SmartWood conducted a major revision of its standard 

for assessing forest management in both natural forests and tree plantations. Revisions since 

then have occurred in 2000 and 2004. Since 1993, each set of our standards has been 

reviewed by FSC staff, the international body that has accredited SmartWood as a forest 

management and chain of custody certifier. 

These SmartWood standards were developed in consultation with our staff and representatives 

of the SmartWood Program worldwide, as well as other professional foresters, ecologists, social 

scientists and forest practitioners. SmartWood representatives have in-depth field experience 

developing region-specific forest certification standards, some going back as far as 1989 

(Indonesia, California). We developed these standards to be in accord with FSC requirements 

1 

It is SmartWood philosophy to keep the certification process as straightforward and simple as possible, 

without sacrificing technical quality, in order to foster the value of certification as an educational, 

policy, and training tool. In practice this means writing as clearly as possible and keeping scientific 

terms to a minimum. 


as well as other forest management and biological conservation guidelines issued by the World 

Conservation Union (IUCN) and the International Tropical Timber Organization (ITTO). We 

have also drawn on work of our SmartWood Network partners (Imaflora in Brazil and NEPCon 

in Denmark, Scandinavia, Russia and Eastern Europe), Center for International Forestry 

Research (CIFOR), International Labor Organization (ILO), many scientists, forest industry, nongovernmental 

organizations (NGOs), and FSC regional standards working groups. We would 

like to acknowledge the significant contributions made by these and other international, national 

and local organizations, and the many forestry operations (certified and uncertified), foresters, 

loggers, and local stakeholders who have critiqued past versions of the SmartWood standards 

and provided suggestions for improvement. 

1.2 Regional Standards Development 

FSC working groups around the world are developing country- or region-specific forest 

certification standards. SmartWood fully supports, encourages and participates wherever 

possible in such processes. Our experience is that the regional standard setting process is 

vital. Regional standard setting is an excellent way of engaging the public in important, broad 

ranging discussions on the future of forests and human communities. In other words, the 

regional standards setting process should not be seen just as a technical standards setting 

process, but also as a process of outreach on the topic of sustainable forest management. 

As part of the FSC process, regional standards are developed by a regional working group, 

field-tested, revised and approved by the regional working group, and then submitted to the 

FSC’s international headquarters for approval. The final product, if approved, is an “FSC 

accredited standard”. Once accredited, all FSC-approved certifiers (like SmartWood) must use 

the endorsed regional standard as the fundamental starting point for FSC certification in that 

country/region. Certifiers may choose to be more rigorous than the regional standard, but they 

cannot be less rigorous. 

In all countries or regions not covered by an FSC accredited forest stewardship standard, 

SmartWood will develop a locally adapted or interim standard for use in evaluating forest 

management operations in that designated geographic area. The adapted standard is 

developed from the SW generic standard with modification to certification indicators to take into 

account the national context (e.g. legal requirements, environmental, social and economic 

perspectives). This draft will be translated to the official language of the country in which the 

FME to be evaluated is located and is be submitted for consultation at least 30 days prior to the 

start of fieldwork for a full assessment. Distribution to key stakeholders occurs via the Internet 

(email and posted on the SW website), mailings and face to face meetings. 

Operations certified under a previous FSC or SmartWood standard have a minimum of one year 

to meet any newly endorsed FSC regional standard. 

Until December 2005 the Joint Certification Protocol between FSC and Lembaga Ekolabel 

Indonesia (LEI) certification bodies, signed October 2001, based on two Memoranda of 

Understanding between FSC and LEI, dated 3 September 1999 and 18 October 2001, all 

parties agreed that the LEI C&I will be used for natural forest management certification by all 

certification bodies operating in Indonesia. 

At the FSC General Assembly in Manaus in December, 2005 LEI and the Forest Stewardship 

Council (FSC) signed a new Collaboration Agreement with the aim to complement one another 

in their efforts to promote responsible forest management both in Indonesia and worldwide. With 


this agreement the Joint Certification Protocol (JCP) between LEI and FSC has been 

concluded. 

Under the JCP, FSC and LEI agreed that in natural forests in Indonesia only a Forest 

Management Unit (FMU) that passed both LEI and FSC system requirements would be 

certified. The FMU then received both an LEI certificate and an FSC certificate and was allowed 

to use both LEI and FSC logos. 

The JCP has helped both organizations and their respective certifying bodies to collaborate 

more closely and to learn from one another. The protocol has also helped in bringing the LEI 

and FSC closer together. It is also apparent that a different kind of collaboration agreement is 

needed to address the developments within and around both organizations and systems. 

Following meetings in Bogor, Indonesia, in Bonn, Germany in summer 2005, and in Manaus, 

Brazil in late 2005, LEI and FSC agreed to conclude the JCP but now also to collaborate 

beyond natural forest concessions to include the areas of community-based forest 

management, non-timber forest products and plantation forestry, and to work more closely 

together in communication, trademark promotion, standards development, accreditation 

systems and the development of modular/phased approaches 

Therefore, in developing this Interim Standard, SmartWood have sought to incorporate the LEI 

Criteria and Indicators to locally adapt the SmartWood Generic Guidelines. 

SmartWood have also used other sources as basis for and inspiration for developing the 

indicators and verifiers of the Interim Standard for Indonesia. Among the documents that have 

been reviewed and considered in developing this Interim Standard are: 

• “SmartWood Forest Management Evaluation Handbook”, Rainforest Alliance, January 2005 

• “FSC/SmartWood Generic Standards for Assessing Forest Management”, Rainforest 

Alliance, January 2008 

• SmartWood document “Group Forest Management Certification Assessment and Reporting 

Guidance”, Rainforest Alliance, January 2005. 

• “SmartWood Interim Guidelines for Assessing Forest Management in Indonesia”, Rainforest 

Alliance, April 2003. 

• “SmartWood Generic Guidelines for Assessing the Management of Non-Timber Forest 

Products”, Rainforest Alliance, January 2000. 

• “SmartWood Certification Procedures Manual”, Rainforest Alliance, March 2006. 

• “SmartWood SLIMF Policy and Procedures”, Rainforest Alliance, July 2005. 

• “SmartWood Non-Timber Forest Products Certification Standards Addendum”, Rainforest 

Alliance, January 2008. 

• “LEI-V/5000-1/1, LEI Guideline 5000-1: System for Sustainable Natural Production Forest 

Management”, LEI 2003 

• “LEI Document-01: Verifier and Verification Toolbox for Assessment Indicators in 

Sustainable Plantation Forest Management Certification System”, LEI 2003 

• “LEI 5000-2 Sustainable Forest Plantation Management System (SPFM)”, LEI 2003 

• “Principles and Criteria for Forest Stewardship”, Forest Stewardship Council (FSC), April 

2004. 

• “Social Standards for Forest Workers in Forest Certification: The Application of International 

Labour Organization (ILO) Conventions”, International Federation of Building and Wood 

Workers (IFBWW); 

• “FSC forest certification guidelines for forest workers and their unions”. Ana da Silva, Ana 

CN and. Patricia Cota Gomes. 2004. IMAFLORA 


• “Implementation of FSC Principles No. 2 and 3 in Indonesia, Obstacles and Possibilities”, 

Aman, WALHI, Rainforest Foundation, 2003; 

• “SmartWood Forest Certification Assessment Report for PT Erna Djuliawati”, Rainforest 

Alliance, July 2005; 

• “SmartWood Forest Certification Assessment Report for PT Xylo Indah Pratama”, Rainforest 

Alliance, June 2006; and, 

• “SmartWood Forest Certification Assessment Report for Koperasi Hutan Jaya Lestari”, 

Rainforest Alliance, May 2005. 

• “Pelaksanaan Kovensi CITES di Indonesia”, (Implementation of CITES Convention in 

Indonesia). Soehartono, T and A. Mardiastuti. 2003. JICA. Jakarta. 

• “Inventarisasi Diversitas Flora untuk menunjang Pengelolaan Hutan Secara Berkelanjutan: 

Struktur dan Komposisi Hutan Dipterocarpaceae Lahan Pamah pada Berbagai Umur 

Tebangan”, (Inventory of Flora Diversity in supporting sustainable forest management: 

structure and composition of Dipterocarp Forest At various level of harvesting period). 

Partomihardjo, T and H. Suyatmo. 1999.Kerjasama Biro Perencanaan Hutan, Mitra 

Lingkungan, Duta Consult dan Puslitbang Biologi-LIPI 

SmartWood has a long experience with standards development and the use of Interim 

Standards, as part of this process, SmartWood have engaged Lembaga Ekolabel Indonesia and 

other stakeholders in order receive inputs and to exchange experiences on forest certification 

and management in Indonesia. 

1.3 SmartWood Standards Structure 

The SmartWood generic standards are based directly on the FSC Principles and Criteria for 

Forest Stewardship (FSC-STD-01-001) and include specific generic indicators for each criterion 

to create a global SmartWood standard. These indicators are the starting point from which 

region-specific “SmartWood Interim Standards” are developed for use in the forest by forest 

assessors to evaluate the sustainability of forest management practices and impacts of 

candidate FME. 

The standards are divided into the following ten principles: 

1.0 Compliance with Laws and FSC Principles 

2.0 Tenure and Use Rights & Responsibilities 

3.0 Indigenous Peoples’ Rights 

4.0 Community Relations and Workers’ Rights 

5.0 Benefits from the Forest 

6.0 Environmental Impact 

7.0 Management Plan 

8.0 Monitoring and Assessment 

9.0 Maintenance of High Conservation Value Forests 

10.0 Plantations 

In the standard, each FSC principle and its associated criteria is stated, along with the 

SmartWood indicators. All criteria in all principles must be evaluated in every assessment; 

unless certain principles are deemed not applicable by SmartWood auditors (e.g. Principle 10 

will not be applicable if there are no plantations). 


1.4 Indicators for Small and Large FMEs 

As required under FSC policy SmartWood has developed indicators for certain criteria 2 that are 

specific to certain sizes of operations. Clear quantitative definitions for small versus large FMEs 

are included in regionalized SmartWood Interim Standards. Where these SmartWood regional 

thresholds are not established, large FME should be considered those larger than 50,000 ha. 

Small FME definition is determined by FSC regional thresholds set for small and low intensity 

managed forests (SLIMF) which have been set either globally by FSC (100 ha) or by FSC 

National Initiatives. 

1.5 Public Input and Comment on SmartWood Standard and Certification 

Processes 

The certification process has both public and private aspects. Certification assessments are not 

public documents unless specifically required by law (e.g. for some public forests) or approved 

for public distribution by the certified operation. However, three public documents are available 

for each and every certified FME: 

1. A public stakeholder consultation document that announces each certification assessment 

at least 30 days prior to field work; 

The public stakeholder consultation document informs the public about the assessment at 

least 30 days prior to it taking place. This document is distributed publicly prior to or during 

an assessment. The document is typically distributed by hand delivery, FAX, mail, or email. 

2. The certification standard used; and, 

The specific SmartWood standard for each assessment is also publicly available before and 

during the assessment and is a part of the public record for every forest certification. 

3. A public certification summary that is produced with the results of each separate forest 

certification. 

The public certification summary is produced as a final step of the certification process and 

is available only after an operation has been approved for certification. 

For copies of any of the above documents, visit our website at www.rainforest-alliance.org. or 

contact SmartWood Asia Pacific Regional Office (Jl. Ciung Wanara No. 1x, Denpasar Selatan 

80225. Telephone +62 361 224356; Fax to +62 361 235875). We strongly encourage you to 

give us your input, either positive or negative, on our candidate or certified operations, 

certification standards, or certification procedures. 

2 Criteria 6.1, 6.2, 6.4, 7.1, 7.2, 7.3, 7.4, 8.1, 8.2, 8.3, 8.4, 8.5. 9.1, 10.5 and 10.8. 


Contents 

A Scope 

This standard shall be the basis for FSC forest management certification of forest management 

enterprises in Indonesia. 

B Standard effective date 

This standard shall be effective from January 1 st , 2009 

C 

References 

• FSC-STD-01-001 v. 4.0 FSC Principles and Criteria for Forest Stewardship 

• FSC-STD-01-002 (draft 1-0) FSC Glossary of Terms 

D Terms and definitions 

See annex 4 for glossary. 

Acronyms: 

FME : Forest management enterprise 

FSC : Forest Stewardship Council 

HCVF : High conservation value forests 

RA : Rainforest Alliance 

SLIMF : Small and Low Intensity Managed Forests 

SW : SmartWood 


Rainforest Alliance/SmartWood Interim Standard for Assessing Forest 

Management in Indonesia 

PRINCIPLE # 1: COMPLIANCE WITH LAWS AND FSC PRINCIPLES 

Forest management shall respect all applicable laws of the country in which they 

occur, and international treaties and agreements to which the country is a 

signatory, and comply with all FSC Principles and Criteria. 

1.1 Forest management shall respect all national and local laws and administrative 

requirements. 

1.1.1 FME shall demonstrate a record of compliance with relevant provincial and local 

laws and regulations. 

1.1.2 FME shall have texts of existing relevant national laws available in the forest 

management unit. Relevant laws are listed in Annex 1 3 . 

1.1.3 If FME has law compliance issues, the issues shall have being resolved 

expeditiously with the designated government authorities. 

1.1.4 FME shall guarantee and respect human rights. 

1.2 All applicable and legally prescribed fees, royalties, taxes and other charges shall 

be paid. 

1.2.1 FME shall be up-to-date on all applicable payments of local taxes, timber rights or 

leases, fees, royalties, etc. 

1.2.2 Where FME is not up-to-date on payments, a plan for completing all payments 

shall have been agreed to with relevant institutions. 

1.3 In signatory countries, the provisions of all binding international agreements such 

as CITES, ILO Conventions, ITTA, and Convention on Biological Diversity, shall be 

respected. 

1.3.1 FME shall be aware of and understand the legal and administrative obligations with 

respect to relevant international agreements to which Indonesia is a signatory. 

These are listed in Annex 2. 

1.3.2 FME operations shall meet the intent of applicable conventions including CITES, 

Convention on Biological Diversity and ILO conventions (29, 87, 98, 100, 105, 111, 

138, 182 and other binding conventions). 

1.4 Conflicts between laws, regulations and the FSC Principles and Criteria shall be 

evaluated for the purposes of certification, on a case by case basis, by the certifiers 

and the involved or affected parties. 

1.4.1 Conflicts between laws, FSC P&C and international treaties or conventions shall be 

identified by FME and brought to the attention of SmartWood (or SmartWood 

auditors during certification assessment). 

1.4.2 FME should work in conjunction with the appropriate regulatory bodies and other 

parties to resolve conflicts between laws/regulations and FSC Principles or Criteria. 

3 

The list of national and state-specific laws is not comprehensive; it is provided only as a guide to 

relevant legislation and regulations for forest management across all regions or in different regions. 


1.5 Forest management areas should be protected from illegal harvesting, settlement 

and other unauthorized activities. 

1.5.1 The forest management unit(s) shall be protected from unauthorized harvesting 

activities and other activities not controlled by forest manager or local people with 

use rights. 

1.5.2 For large operations, a system shall exist for monitoring, documenting and 

reporting to the appropriate authority instances of illegal harvesting, settlement, 

occupation or other unauthorized activities. 

1.5.3 FME shall secure forest area and document size of change in closure of land area 

due to encroachment, conversion of forest area functions, fires and other 

impediments. 

1.6 Forest managers shall demonstrate a long-term commitment to adhere to the FSC 

Principles and Criteria. 

1.6.1 For large operations, FME shall have a publicly available policy or statement 

committing the organization to adhere to the FSC certification standards on the 

forest under assessment. 

1.6.2 FME shall not implement activities that blatantly conflict with the FSC P&C on 

forest areas outside of the forest area under assessment. 

1.6.3 FME shall disclose information on all forest areas over which the FME has some 

degree of management responsibility to demonstrate compliance with current FSC 

policies on partial certification and on excision of areas from the scope of 

certification. 


PRINCIPLE # 2: TENURE AND USE RIGHTS AND RESPONSIBILITIES 

Long-term tenure and use rights to the land and forest resources shall be clearly 

defined, documented and legally established. 

2.1 Clear evidence of long-term forest use rights to the land (e.g. land title, customary 

rights, or lease agreements) shall be demonstrated. 

2.1.1 FME shall have documented evidence of legal, long term (at least one rotation 

length or harvest cycle) rights to manage the lands and to utilize the forest 

resources for which certification are sought. 

2.1.2 FME shall guarantee land utilization as a forest area. 

2.1.3 FME shall clearly delineate boundaries between forest concession areas and local 

community areas, with approval by interested parties. 

2.1.4 FME shall ensure that boundary delineation process is collaboratively conducted 

by relevant parties. 

2.2 Local communities with legal or customary tenure or use rights shall maintain 

control, to the extent necessary to protect their rights or resources, over forest 

operations unless they delegate control with free and informed consent to other 

agencies. 

2.2.1 All legal or customary tenure or use rights to the forest resource of all local 

communities shall be clearly documented by the forest managers. These rights 

shall be formalized through a local decree (perda) and/or through the determination 

of the boundaries of rights areas through participatory mapping. 

2.2.2 FME shall provide evidence that free and informed consent to management 

activities affecting use rights has been given by local communities or affected 

parties. 

2.2.3 FME planning processes shall include participation of local communities or parties 

with legal or customary tenure or use rights. 

2.2.4 FME shall ensure community consent to management activities was granted in a 

manner that: 

• Allowed adequate time to make decisions according to customary procedures; 

• Ensured a full and open provision of information in forms and languages to 

make them understandable; and, 

• Ensured the absence of duress, intimidation, threat and negative activities. 

2.2.5 FME shall guarantee full inter-generational community access and control over 

traditional forest areas and forest product utilization. 

2.3 Appropriate mechanisms shall be employed to resolve disputes over tenure claims 

and use rights. The circumstances and status of any outstanding disputes will be 

explicitly considered in the certification evaluation. Disputes of substantial 

magnitude involving a significant number of interests will normally disqualify an 

operation from being certified. 

2.3.1 FME shall use mechanisms for resolving disputes over tenure claims and use 

rights that respectfully involve the disputants and are consistent in process. 


2.3.2 FME should not be involved in outstanding disputes of substantial magnitude on 

the candidate forest area that involve a significant number of interests. 

2.3.3 FME shall demonstrate significant progress achieved to resolve major disputes. 

2.3.4 FME shall document and maintain records of communication on disputes and their 

resolution, including evidence that the dispute have been resolved. 


PRINCIPLE # 3: INDIGENOUS PEOPLES' RIGHTS 

The legal and customary rights of indigenous peoples to own, use and manage their 

lands, territories, and resources shall be recognised and respected. 

Fairness to indigenous peoples has been one of the founding crucibles of the FSC and the 

SmartWood program. However, in order to achieve such fairness, first there must be 

clarity as to which groups constitute “indigenous”. The following definition has been 

accepted by the FSC: 

"The existing descendants of the peoples who inhabited the present territory of a country 

wholly or partially at the time when persons of a different culture or ethnic origin arrived 

there from other parts of the world, overcame them and, by conquest, settlement, or other 

means reduced them to a non-dominant or colonial situation; who today live more in 

conformity with their particular social, economic and cultural customs and traditions than 

with the institutions of the country of which they now form a part, under State structure 

which incorporates mainly the national, social and cultural characteristics of other 

segments of the population which are predominant." 

3.1 Indigenous peoples shall control forest management on their lands and territories 

unless they delegate control with free and informed consent to other agencies. 

3.1.1 FME shall identify Indigenous peoples with customary/traditional rights to forest 

resources (timber and non-timber) where indigenous people have established 

customary or legal rights to the land or forest resources and their entitlements 

formally recognized in written agreements. Specific areas should be marked on 

maps. The rights identified shall be recognized through a local decree (perda) 

and/or through the determination of the boundaries of rights areas through 

participatory mapping. 

3.1.2 No forest management operations shall take place in areas identified under 3.1.1 

above, without clear evidence of free and informed consent of the indigenous 

peoples claiming such land, territories or customary rights. . 

3.1.3 Agreements with indigenous groups shall be honored. 

3.2 Forest management shall not threaten or diminish, either directly or indirectly, the 

resources or tenure rights of indigenous peoples. 

3.2.1 There shall be no evidence or indication that the FME threatens the rights and 

resources of indigenous peoples. 

3.2.2 FME shall minimize impact of management unit on social and cultural integration. 

3.3 Sites of special cultural, ecological, economic or religious significance to 

indigenous peoples shall be clearly identified in cooperation with such peoples, and 

recognised and protected by forest managers. 

3.3.1 Special sites of indigenous cultural, ecological, economic or religious significance 

shall be documented in management planning documents. They should be 

identified on maps or in the forest. 

3.3.2 Policies and procedures shall include the involvement of indigenous people, or 

specialists they designate, in the identification of special sites. 

3.3.3 Special sites should be identified in management/operational plans. When 

definitive identification is difficult, FME shall undertake and document diligent 


efforts to identify special sites. 

3.3.4 Special sites shall be protected during forest operations. 

3.4 Indigenous peoples shall be compensated for the application of their traditional 

knowledge regarding the use of forest species or management systems in forest 

operations. This compensation shall be formally agreed upon with their free and 

informed consent before forest operations commence. 

3.4.1 Written or verbal agreements on terms of compensation shall exist when there is 

use of traditional knowledge for commercial purposes. 

3.4.2 Compensation systems for the use of traditional knowledge shall be in place prior 

to commencement of forest operations which affect indigenous interests. 


PRINCIPLE # 4: COMMUNITY RELATIONS AND WORKER'S RIGHTS 

Forest management operations shall maintain or enhance the long-term social and 

economic well being of forest workers and local communities. 

4.1 The communities within, or adjacent to, the forest management area should be 

given opportunities for employment, training, and other services. 

4.1.1 Local communities and residents shall be given equal or preferential opportunities 

in forest management activities in terms of employment, training, and provision of 

supplies to FME, and other benefits or opportunities. 

4.1.2 Empowerment of community and employees shall be promoted through the 

establishment and/or strengthening of community/employee institutions. 

4.2 Forest management should meet or exceed all applicable laws and/or regulations 

covering health and safety of employees and their families. 

4.2.1 Wages and other benefits (health, retirement, worker's compensation, housing, 

food) for full-time staff and contractors are fair and consistent with (not lower than) 

prevailing local standards. 

4.2.2 FME shall implement a program of worker safety 

4.2.3 Health and safety measures comply with national minimum requirements. 

4.2.4 Workers (staff and contractors) are provided with safety equipment in good working 

order, appropriate to the tasks of workers and the equipment used (e.g. local 

norms are important, ideally the following: hard hats, hearing protection, high 

visibility vests, steel toe boots and chainsaw proof chaps). 

4.2.5 FME shall maintain up to date records of work-related accidents, and preferably all 

safety performance. Records should demonstrate a decreasing accident rate and 

improved safety performance. 

4.2.6 FME policies and practices shall ensure equal treatment of employees in terms of 

hiring, advancement, dismissal, remuneration and employment related social 

security. 

4.2.7 FME shall implement a periodic review on the welfare of employees. 

4.2.8 FME shall establish cooperation with health authorities and minimize impact of the 

management unit on community health. 

4.3 The rights of workers to organise and voluntarily negotiate with their employers 

shall be guaranteed as outlined in Conventions 87 and 98 of the International 

Labour Organisation (ILO). 

4.3.1 FMEs, by their actions and policies, shall respect the rights of workers (staff and 

contractors) to organize or join trade unions and to engage in collective bargaining 

as outlined in ILO Conventions 87 and 98. 

4.4 Management planning and operations shall incorporate the results of evaluations of 

social impact. Consultations shall be maintained with people and groups directly 

affected by management operations. 

4.4.1 In conjunction with local stakeholders and other interested parties, the FME shall 

evaluate socio-economic impacts associated with forest management activities. 


The evaluation shall be in accordance to the scale and intensity of operations. 

4.4.2 FME shall demonstrate that input from community participation was considered 

and/or responded to during management planning and operations 

4.4.3 Consultations shall be maintained with people and groups (both men and women) 

directly affected by management operations. 

4.4.4 FME shall maintain an up-to-date list of adjoining landowners and/or identify 

adjoining landowners on maps. 

4.5 Appropriate mechanisms shall be employed for resolving grievances and for 

providing fair compensation in the case of loss or damage affecting the legal or 

customary rights, property, resources, or livelihoods of local peoples. Measures 

shall be taken to avoid such loss or damage. 

4.5.1 FME shall make all reasonable efforts to avoid losses and damages affecting local 

peoples, and in resolving grievances related to legal rights, damage compensation 

and negative impacts. 

4.5.2 Procedures for consistently and effectively resolving grievances and determining 

compensation for loss or damage shall be implemented. 

(Note: See Criterion 2.3 for resolution of land tenure (e.g. property or use rights) 

challenges.) 


PRINCIPLE # 5: BENEFITS FROM THE FOREST 

Forest management operations shall encourage the efficient use of the forest's 

multiple products and services to ensure economic viability and a wide range of 

environmental and social benefits. 

5.1 Forest management should strive toward economic viability, while taking into 

account the full environmental, social, and operational costs of production, and 

ensuring the investments necessary to maintain the ecological productivity of the 

forest. 

5.1.1 Budgets shall include provision for environmental and social as well as operational 

costs necessary to maintain certifiable status (e.g. management planning, road 

maintenance, silvicultural treatments, long-term forest health, growth and yield 

monitoring, and conservation investments). 

5.1.2 The income predicted in the operating budgets shall be based upon sound 

assumptions. 

5.1.3 FME shall maintain a sustainable financial condition of the company with 

investment and reinvestment for forest management. 

5.1.4 FME should hire/train professional staff for protection, production and management 

of forest and business. 

5.2 Forest management and marketing operations should encourage the optimal use 

and local processing of the forest's diversity of products. 

5.2.1 FME shall seek the "highest and best use" for individual tree and timber species. 

5.2.2 FME shall encourage utilization of frequently occurring, lesser known, or lesscommonly 

utilized plant species for commercial and subsistence uses. 

5.2.3 Non-timber forest products (NTFPs) should be considered during forest use and 

processing. 

5.2.4 Local processing shall be emphasized where possible. 

5.3 Forest management should minimise waste associated with harvesting and on-site 

processing operations and avoid damage to other forest resources. 

5.3.1 Harvesting techniques shall be designed to avoid log breakage, timber degradation 

and damage to the forest stand and other resources. 

5.3.2 Waste generated through harvesting operations, on-site processing and extraction 

shall be minimized. 

5.3.3 FME should implement Reduced Impact Logging techniques. 

(note: See Principle 6 for assessing damage to forest resources). 

5.4 Forest management should strive to strengthen and diversify the local economy, 

avoiding dependence on a single forest product. 

5.4.1 FME shall foster product diversification and exploration of new markets and 

products (also Criterion 5.2). 

5.4.2 FME shall support local value added processing. 

5.4.3 FME shall guarantee economic resources of the community are capable of 


supporting the continuation of intergeneration livelihood. 

5.4.4 FME shall develop domestic capital and contribute to regional economic 

development. 

5.5 Forest management operations shall recognise, maintain, and, where appropriate, 

enhance the value of forest services and resources such as watersheds and 

fisheries. 

5.5.1 FME shall protect the full range of forest services associated with the defined forest 

area including: watersheds, commercial and recreational fisheries (or the supply of 

water to downstream fisheries), visual quality, contributions to regional biodiversity, 

recreation and tourism. 

5.5.2 FME shall protect riparian zones along all watercourses, streams, pools, springs 

and lakes/ponds, consistent with the requirement of national regulations or best 

management practices. 

5.5.3 FME should map riparian protection zones that enhance the value of forest 

services and resources, such as watershed and fisheries. 

5.6 The rate of harvest of forest products shall not exceed levels which can be 

permanently sustained. 

5.6.1 Appropriate to the scale and intensity of operations, estimates of total periodic 

timber growth on the defined forest area - by species categories - shall be 

generated through a combination of empirical data and published literature. 

5.6.2 Allowable harvest levels shall be based on conservative, well-documented and 

most current estimates of growth and yield. 

5.6.3 Harvesting shall be based on a calculated periodic allowable harvest (e.g. annual 

allowable cut) and actual harvests do not exceed calculated replenishment rates 

over the long term. 

5.6.4 FME shall ensure the continuity of production at all planning and implementation 

levels. 

5.6.5 FME shall ensure that annual production is in accordance with the capability of 

forest productivity. 

5.6.6 FME shall guarantee the existence and variety of Non-Timber Forest Products. 


PRINCIPLE # 6: ENVIRONMENTAL IMPACT 

Forest management shall conserve biological diversity and its associated values, 

water resources, soils, and unique and fragile ecosystems and landscapes, and, by 

so doing, maintain the ecological functions and the integrity of the forest. 

6.1 Assessment of environmental impacts shall be completed -appropriate to the scale, 

intensity of forest management and the uniqueness of the affected resources- and 

adequately integrated into management systems. Assessments shall include 

landscape level considerations as well as the impacts of on-site processing 

facilities. Environmental impacts shall be assessed prior to commencement of 

site-disturbing operations. 

6.1.1 Environmental assessments shall be completed during management planning. 

6.1.2 Environmental assessments shall consistently occur prior to site disturbing 

activities. 

6.1.3 Environmental impacts of on-site processing facilities shall be controlled (e.g. 

waste, construction impacts, etc.). 

6.1.4 Landscape level impacts of forest management (e.g. cumulative effects of forest 

operations within and nearby the FMU) shall be considered. 

6.1.5 Applicable to SLIMF FMEs only (note: above indicators do not apply) Before 

initiating any operation, the possible negative environmental impacts shall be 

identified and the operation is designed to minimize them. Assessments do not 

need to be documented unless legally required. 

6.1.6 FME shall ensure that planning and implementation of forest classification is based 

on their functions and types. 

6.1.7 FME shall identify the proportion of well-designed protected area (considering 

endangered/endemic/protected species, unique ecosystems, High Conservation 

Value Forests) from the total area of the FMU that should be protected; this shall 

be confirmed and/or recognized by all parties concerned. 

6.2 Safeguards shall exist which protect rare, threatened and endangered species and 

their habitats (e.g., nesting and feeding areas). Conservation zones and protection 

areas shall be established, appropriate to the scale and intensity of forest 

management and the uniqueness of the affected resources. Inappropriate hunting, 

fishing, trapping and collecting shall be controlled. 

6.2.1 The likely presence of rare, threatened or endangered species and their habitats 

(e.g. nesting and feeding areas) shall be assessed on the basis of the best 

available information. (A list of endangered and threatened species in Indonesia is 

attached in Annex 3.) 

6.2.2 Timber species on either local and/or international endangered or threatened 

species lists (e.g. CITES, national lists) shall not be harvested. 

6.2.3 Appropriate to the scale and intensity of management, conservation zones, 

protection areas or other protection measures shall be established based on 

technically sound requirements for the protection of rare, threatened and 

endangered species and their habitats. 

6.2.4 Conservation zones should be demarcated on maps, and where feasible, on the 

ground. 


6.2.5 Effective procedures shall be implemented during forest operations to protect 

conservation zones, identified species and their habitats. 

6.2.6 Hunting, fishing, trapping and NTFP collecting shall be controlled in the forest. 

6.2.7 Applicable to SLIMF FMEs only: (note: indicators 6.2.1 – 6.2.5 do not apply) 

Where information exists on rare, threatened and endangered species and their 

habitat, the FME shall use this information to protect these resources. 

6.2.8 FME shall effectively promote the importance of conserving the forest ecosystem 

as a life support system and the negative impact of over-harvesting activities on 

the forest ecosystem. 

6.3 Ecological functions and values shall be maintained intact, enhanced, or restored, 

including: 

a) Forest regeneration and succession. 

b) Genetic, species, and ecosystem diversity. 

c) Natural cycles that affect the productivity of the forest ecosystem. 

6.3.1 The forest manager shall have site-specific data or published analyses of local 

forest ecosystems that provide information on the FMU with regards to: 

• regeneration and succession; 

• genetic, species and ecosystem diversity; and, 

• natural cycles that affect productivity. 

6.3.2 Forest management systems shall maintain, enhance or restore ecological 

functions and values of the FMU based on the data in 6.3.1. Management systems 

shall include: 

• Silvicultural and other management practices which are appropriate for forest; 

ecosystem function, structure, diversity and succession; 

• Where appropriate, a program for the restoration of degraded sites; and, 

• Natural regeneration, unless data shows that enrichment planting or artificial 

reforestation will enhance or restore genetic, species or ecosystem diversity. 

6.4 Representative samples of existing ecosystems within the landscape shall be 

protected in their natural state and recorded on maps, appropriate to the scale and 

intensity of operations and the uniqueness of the affected resources. 

6.4.1 Representative samples of existing ecosystems shall be protected in their natural 

state, based on the identification of key biological areas and/or consultation with 

environmental stakeholders, local government and scientific authorities. 

6.4.2 In conjunction with experts, restoration and protection activities shall be defined, 

documented, and implemented in the forest. 

6.4.3 Applicable to SLIMF FMEs only: (note: above indicators do not apply) Where 

representative samples of ecosystems are known to exist in the FMU, these shall 

be protected. 


6.5 Written guidelines shall be prepared and implemented to: control erosion; minimise 

forest damage during harvesting, road construction, and all other mechanical 

disturbances; and protect water resources. 

6.5.1 All forest operations with the potential for negative environmental impact (as 

identified in 6.1) shall have written guidelines defining acceptable practices which 

are available to forest managers and supervisors. Such operational guidelines shall 

meet or exceed national or regional best management practices. 

6.5.2 Maps and/or work plans shall be produced at a scale that allows effective 

supervision of soil and water resource management and protection activities. 

6.5.3 Topographic maps have been prepared before logging or road construction occurs. 

6.5.4 Topographic maps should specify areas suitable for all-weather harvesting or dryweather 

only; and indicate locations for extraction (or haul) roads, loading ramps 

(or log yards), main skid (or snig) trails, drainage structures, buffer zones, and 

conservation areas. 

6.5.5 Training shall be given to FME staff and contractors to meet guidance 

requirements. 

6.5.6 Road construction, maintenance and closure standards shall be followed in the 


6.6 Management systems shall promote the development and adoption of 

environmentally friendly non-chemical methods of pest management and strive to 

avoid the use of chemical pesticides. World Health Organisation Type 1A and 1B 

and chlorinated hydrocarbon pesticides; pesticides that are persistent, toxic or 

whose derivatives remain biologically active and accumulate in the food chain 

beyond their intended use; as well as any pesticides banned by international 

agreement, shall be prohibited. If chemicals are used, proper equipment and 

training shall be provided to minimise health and environmental risks. 

6.6.1 Forest managers shall employ silvicultural systems, integrated pest management 

and vegetation control strategies that result in the least adverse environmental 

impact. Pesticides are used only when non-chemical management practices have 

been proven ineffective or cost prohibitive. 

6.6.2 If chemicals are used, the following requirements apply: 

• A complete inventory of chemicals shall be provided by the FME and detailed 

inspections of storage areas or other facilities validate that inventory is 

complete and accurate; 

• Records shall be kept of all chemical used by the FME including name of the 

product, location and method of application, total quantity of chemical used and 

dates of application. 

• Safe handling, application (using proper equipment) and storage procedures 

shall be followed; and, 

• Staff and contractors shall receive training in handling, application and storage 

procedures. 

6.6.3 Chemicals prohibited by the FSC (FSC-POL-30-601), those banned in Europe, 

U.S. and target country, or World Health Organization Type 1A or 1B, and 

chlorinated hydrocarbon pesticides shall not be used. The exception is when a 

formal derogation has been granted by the FSC. In such cases, the FME follows 

the terms of the approved derogation. 


6.7 Chemicals, containers, liquid and solid non-organic wastes including fuel and oil 

shall be disposed of in an environmentally appropriate manner at off-site locations. 

6.7.1 Chemical, container, liquid and solid waste is disposed of in an environmentally 

sound and legal manner, whether from forest operations or processing facilities. 

6.8 Use of biological control agents shall be documented, minimized, monitored and 

strictly controlled in accordance with national laws and internationally accepted 

scientific protocols. Use of genetically modified organisms shall be prohibited. 

6.8.1 Use of biological control agents is documented, minimized, monitored and strictly 

controlled. 

6.8.2 Use of genetically modified organisms (GMOs) is prohibited. 

6.9 The use of exotic species shall be carefully controlled and actively monitored to 

avoid adverse ecological impacts. 

6.9.1 Use of exotic species shall be discouraged and carefully controlled, i.e. when used 

it is for well-justified and specific purposes (e.g. environmental benefit) and 

monitored for environmental impact. 

6.9.2 Where exotic species are planted, measures are in developed and implemented to 

prevent spontaneous regeneration outside plantation areas, unusual mortality, 

disease, insect outbreaks or other adverse environmental impacts. 

6.10 Forest conversion to plantations or non-forest land uses shall not occur, except in 

circumstances where conversion: 

a) Entails a very limited portion of the forest management unit; and, 

b) Does not occur on high conservation value forest areas; and, 

c) Will enable clear, substantial, additional, secure, long-term conservation 

benefits across the forest management unit. 

6.10.1 FME shall not convert forests, or threatened non-forested habitat to plantations or 

non-forest land uses, except where the conversion meets the conditions of 6.10.2 – 

6.10.5. 

6.10.2 If conversion occurs, it shall not exceed 5% of the forest management unit over 

any 5 year period (see FSC-ADV-30-602) 

6.10.3 The extent of any conversion should be acceptable to environmental organizations 

and regulatory agencies. 

6.10.4 If conversion occurs, the forest manager shall demonstrate that any conversion 

produces long term conservation benefits across the FMU. 

6.10.5 If the conversion occurs, plantations or non-forest uses shall not replace High 

Conservation Value Forest or ecologically classified wetlands. 

6.10.6 FME shall not clear primary, degraded primary or mature secondary forests to 

create tree plantations. 

6.10.7 If FME performs tree planting in natural forest areas, FME shall ensure such 

planting supplements natural regeneration, fills gaps, and/or contributes to genetic 

resource conservation rather than replaces the natural ecosystem. 


PRINCIPLE # 7: MANAGEMENT PLAN 

A management plan -- appropriate to the scale and intensity of the operations -- 

shall be written, implemented, and kept up to date. The long-term objectives of 

management, and the means of achieving them, shall be clearly stated. 

7.1 The management plan and supporting documents shall provide: 

a) Management objectives; 

b) Description of the forest resources to be managed, environmental limitations, 

land use and ownership status, socio-economic conditions, and a profile of 

adjacent lands; 

c) Description of silvicultural and/or other management system, based on the 

ecology of the forest in question and information gathered through resource 

inventories; 

d) Rationale for rate of annual harvest and species selection; 

e) Provisions for monitoring of forest growth and dynamics; 

f) Environmental safeguards based on environmental assessments; 

g) Plans for the identification and protection of rare, threatened and endangered 

species; 

h) Maps describing the forest resource base including protected areas, planned 

management activities and land ownership; and, 

i) Description and justification of harvesting techniques and equipment to be 

used. 

7.1.1 Management plan, appendices, or reference documents, shall include presentation 

of the following components: 

a). Management objectives; 

b). Description of the forest resources to be managed, environmental limitations, 

land use and ownership status, socioeconomic conditions, and a profile of 

adjacent lands; 

c). Description of silvicultural and/or other management system, based on the 

ecology of the forest in question and information gathered through resource 

inventories; 

d). Description and justification for use of different harvesting techniques and 

equipment; 

e). Description and justification of forest management prescriptions and their 

silvicultural and ecological rationale i.e. based on site specific forest data or 

published analysis of local forest ecology or silviculture; 

f). Rate of harvest of forest products (timber or non-timber, as applicable) and 

species selection including justification; 

g). Measures for identifying and protecting rare, threatened and endangered 

species and/or their habitat; 

h). Map(s) describing the forest resource including forest types, watercourses and 

drains, compartments/blocks, roads, log landings and processing sites, 

protected areas, unique biological or cultural resources, and other planned 

management activities; 

i). Environmental safeguards based on environmental assessments (see criterion 

6.1); and, 

j). Plans for monitoring of forest growth, regeneration and dynamics. 


7.1.2 NTFP resources and uses should be inventoried and their management explicitly 

considered during planning. 

7.1.3 Maps that are presented shall be accurate and sufficient to guide forest activities 

(also see Criterion 6.5). 

7.1.4 Management plans or related annual operating or harvesting plan shall be 

available to staff and used in the forest. 

7.1.5 For large scale operations, planning includes short (operational/annual), medium 

(tactical/3-5 yearly) and long (strategic, rotation/harvesting cycle) term plans 

covering all operations and these shall be documented. 

7.1.6 Applicable to SLIMF FMEs only: (note: above indicators do not apply) A written 

management plan exists that includes at least the following: 

a). The objectives of management; 

b). A description of the forest; 

c). How the objectives will be met, harvesting methods and silviculture (clear cuts, 

selective cuts, thinnings) to ensure sustainability; 

d). Sustainable harvest limits (which must be consistent with FSC criteria 5.6); 

e). Environmental/ social impacts of the plan; 

f). Conservation of rare species and any high conservation values; 

g). Maps of the forest, showing protected areas, planned management and land 

ownership; and, 

h). Duration of the plan. 

7.2 The management plan shall be periodically revised to incorporate the results of 

monitoring or new scientific and technical information, as well as to respond to 

changing environmental, social and economic circumstances. 

7.2.1 A technically sound and financially realistic timeframe exists for revision/adjustment 

of the management plan. 

7.2.2 Management plan (and/or annual operating plan) revision or adjustments shall 

occur on a timely and consistent basis. 

7.2.3 Management plan revisions shall incorporate the results of monitoring or new 

scientific and technical information regarding changing silvicultural, environmental, 

social and economic conditions. 

7.2.4 Large FMEs shall identify positions and assign specific responsibility for timely updating 

of the management plan. 

7.2.5 Applicable for SLIMF FME-s only (Note: above indicators do not apply) 

Management plan shall be reviewed at least every 5 years and updated, if 

necessary, incorporating the results of monitoring to plan and implement future 

management. 

7.3 Forest workers shall receive adequate training and supervision to ensure proper 

implementation of the management plan. 

7.3.1 Evidence of formal or informal training of forest workers to ensure proper 

implementation of the management plan shall exist in the forest. Applicable to all 

FMEs including SLIMFs. 


7.3.2 For large FMEs, a formal training plan for staff and forest workers related to the 

management plan and its implementation shall be documented. 

7.4 While respecting the confidentiality of information, forest managers shall make 

publicly available a summary of the primary elements of the management plan, 

including those listed in Criterion 7.1. 

7.4.1 FME shall make publicly available a summary of the management plan including 

information on elements listed in criterion 7.1. 

7.4.2 Applicable for SLIMF FME-s only (Note: above indicators do not apply): Upon 

request FME shall make available relevant parts of the management plan to 

stakeholders who are directly affected by the forest management activities of FME 

(e.g. neighboring landowners). 


PRINCIPLE # 8: MONITORING AND ASSESSMENT 

Monitoring shall be conducted -- appropriate to the scale and intensity of forest 

management -- to assess the condition of the forest, yields of forest products, chain 

of custody, management activities and their social and environmental impacts. 

8.1 The frequency and intensity of monitoring should be determined by the scale and 

intensity of forest management operations as well as the relative complexity and 

fragility of the affected environment. Monitoring procedures should be consistent 

and replicable over time to allow comparison of results and assessment of change. 

8.1.1 A plan and design, based on consistent and replicable procedures, shall exist for 

periodic monitoring and reporting. 

8.1.2 The frequency and intensity of monitoring shall be based on the size and 

complexity of the operation and the fragility of the resources under management. 

8.1.3 Applicable to SLIMF FMEs only (Note: above indicators do not apply): FME shall 

conduct regular and consistent monitoring in connection with harvesting operations 

and reforestation. 

8.2 Forest management should include the research and data collection needed to 

monitor, at a minimum, the following indicators: 

a. Yield of all forest products harvested; 

b. Growth rates, regeneration and condition of the forest; 

c. Composition and observed changes in the flora and fauna; 

d. Environmental and social impacts of harvesting and other operations; and, 

e. Costs, productivity, and efficiency of forest management. 

8.2.1 The monitoring plan shall be technically sound and identify/describe observed 

changes in conditions in terms of: 

• Silviculture (growth rates, regeneration and forest condition, typically as part of 

a suitable continuous forest inventory system); 

• Commercial harvest including NTFPs; 

• Environment (environmental changes affecting flora, fauna, soil and water 

resources; outbreak of pests or invasive species, nesting sites for endangered 

bird species); 

• Socioeconomic aspects (forest management costs, yields of all products, and 

changes in community and worker relations or conditions, accident rates); and, 

• Identified high conservation value forest attributes. 

8.2.2 Applicable to SLIMF FMEs only (Note: above indicators do not apply): FME shall 

at a minimum monitor and record information on the following conditions in terms 

of: 

• Amount of products harvested; 

• Regular monitoring of any identified high conservation values; 

• Invasive exotic species; 

• Growth and regeneration of managed species; 

• Post harvest inspection for erosion and estimate of residual basal area; and, 

• Periodic inventory (10 years). 


8.3 Documentation shall be provided by the forest manager to enable monitoring and 

certifying organizations to trace each forest product from its origin, a process 

known as the "chain of custody." 

8.3.1 Volume and source data on harvested forest products shall be available (i.e. 

scaled, inventoried, measured) in the forest, in transport, at intermediate storage 

yards (e.g. log yards), and processing centers controlled by FME. (not applicable to 

SLIMFs) 

8.3.2 Sales invoices and other documentation related to the sale, shipping and transport 

of certified products shall include the chain of custody certificate code in the correct 

format (e.g. SW-FM/COC-XXXX). All documents should be kept in a central 

location and/or are easily available for inspection. 

8.3.3 Certified forest products shall be clearly distinguished from non-certified products 

through marks or labels, separate documented storage, and accompanying 

invoices up to the point of sale (i.e. up to the “forest gate”). 

8.3.4 Applicable to SLIMF FMEs only (indicators 8.3.1 and 8.3.3. do not apply): 

Documentation shall be available allowing products to be traced from the forest to 

the forest gate. 

8.3.5 FME shall ensure the validity of its timber tracking system in the forest. 

8.4 The results of monitoring shall be incorporated into the implementation and 

revision of the management plan. 

8.4.1 FME shall demonstrate that monitoring results are incorporated into revisions of 

the management plan. 

8.4.2 Monitoring reports indicate how management prescriptions should be changed 

based on new ecological, silvicultural or market information. 

(For SLIMF see criterion 7.2). 

8.5 While respecting the confidentiality of information, forest managers shall make 

publicly available a summary of the results of monitoring indicators, including 

those listed in Criterion 8.2. 

8.5.1 For large operations, results of monitoring shall be incorporated into summaries 

and other documents that are publicly available. 

8.5.2 Applicable for medium size and SLIMF FMEs only: (Note: the above indicator 

does not apply). Upon request FME shall make available relevant parts of the 

management plan to stakeholders who are directly affected by the forest 

management activities of FME (e.g. neighboring landowners). 


PRINCIPLE # 9: MAINTENANCE OF HIGH CONSERVATION VALUE FORESTS 

Management activities in high conservation value forests shall maintain or enhance 

the attributes which define such forests. Decisions regarding high conservation 

value forests shall always be considered in the context of a precautionary 

approach. 

9.1 Assessment to determine the presence of the attributes consistent with High 

Conservation Value Forests will be completed, appropriate to scale and intensity of 

forest management. 

9.1.1 FMEs shall have conducted an assessment to identify HCVs. Such an assessment 

should include: 

• Consultation with conservation databases and maps; 

• Consideration of primary or secondary data collected during forest inventories 

on the designated forest area by FME staff, consultants or advisors; 

• Interviews, workshops, and/or consultations with environmental/biological 

specialists, indigenous/local communities, scientific experts, other 

stakeholders, etc; 

• Documentation of threats to HCVs; and, 

• If threats to HCVs or HCVF exist, identification of actions to address the 

threats. 

9.1.2 For large operations, FME shall: 

• Produce written HCVF assessment(s) that identify (ies) HCVs or HCVF and 

proposes strategies to ensure their protection; 

• Conduct credible, independent, technically qualified review of the HCVF 

assessment and related recommendations to address HCV threats and 

protection; and, 

• Demonstrate that credible actions are being taken to address HCV/HCVF 

protection and/or threat reduction. 

9.1.3 Applicable to SLIMF FMEs only: Consultations shall have occurred with 

environmental stakeholders, government or scientists to identify HCVs and/or 

HCVF. If HCVs or HCVF are present, FME shall take all reasonable steps to 

protect these values and/or reduce threats.. 

9.2 The consultative portion of the certification process must place emphasis on the 

identified conservation attributes, and options for the maintenance thereof. 

9.2.1 FME consultations with stakeholders shall clearly outline identified conservation 

attributes as well as proposed strategies for their maintenance or threat reduction. . 

9.2.2 For large operations, the stakeholder consultation for HCVF strategy development, 

and actions taken in response to such consultation, shall be documented. 


9.3 The management plan shall include and implement specific measures that ensure 

the maintenance and/or enhancement of the applicable conservation attributes 

consistent with the precautionary approach. These measures shall be specifically 

included in the publicly available management plan summary. 

9.3.1 If HCVF or HCVs are present, planning documents shall provide site-specific 

information which describes the measures taken to protect or restore such values. 

9.3.2 Measures to protect HCVF values shall be available in public documents or in the 

FME management plan summary. 

9.4 Annual monitoring shall be conducted to assess the effectiveness of the measures 

employed to maintain or enhance the applicable conservation attributes. 

9.4.1 A system for continuous monitoring of HCVF values shall be incorporated into the 

FME’s planning, monitoring and reporting procedures. 


PRINCIPLE # 10: PLANTATIONS 

Plantations shall be planned and managed in accordance with Principles and 

Criteria 1 - 9, and Principle 10 and its Criteria. While plantations can provide an 

array of social and economic benefits, and can contribute to satisfying the world's 

needs for forest products, they should complement the management of, reduce 

pressures on, and promote the restoration and conservation of natural forests. 

10.1 The management objectives of the plantation, including natural forest conservation 

and restoration objectives, shall be explicitly stated in the management plan, and 

clearly demonstrated in the implementation of the plan. 

10.1.1 Objectives of tree planting shall be explicit in the management plan, with clear 

statements regarding the relationship between tree planting and the silviculture, 

socioeconomic and environmental (i.e. forest conservation and restoration) realities 

in the region. 

10.1.2 Management objectives for conservation of natural forest and restoration shall be 

described in the management plan. 

10.1.3 Management objectives, specifically those related to natural forest conservation 

and restoration shall be demonstrated in forest management activities. 

10.1.4 FME shall maintain land assurance as planted forest area. 

10.1.5 FME shall implement environmentally friendly forest harvesting systems. 

10.2 The design and layout of plantations should promote the protection, restoration and 

conservation of natural forests, and not increase pressures on natural forests. 

Wildlife corridors, streamside zones and a mosaic of stands of different ages and 

rotation periods, shall be used in the layout of the plantation, consistent with the 

scale of the operation. The scale and layout of plantation blocks shall be consistent 

with the patterns of forest stands found within the natural landscape. 

10.2.1 FMEs shall demonstrate through action their commitment to protect, restore and 

conserve key areas of natural forest within the ownership. 

10.2.2 Buffer zones along watercourses and around water bodies shall be established 

according to regional best management practices or local laws and regulations. 

Buffer zones should be indicated on maps. 

10.2.3 FME shall establish wildlife habitat and corridors, suitably located across plantation 

areas, in consultation with acknowledged experts. 

10.2.4 Plantations shall be designed so as to maintain or enhance the visual character of 

the landscape (i.e. design is based on the scale and intensity of natural patterns of 

disturbance and planting and harvest regimes within the region). 

10.2.5 If plantations are established in early successional forest areas or natural 

grasslands (both are discouraged), forest managers shall take measures to 

restore, conserve or manage natural forest or grasslands in surrounding or 

adjoining areas equal to or exceeding the area disturbed. 

10.2.6 Plantations do not replace ecologically classified wetlands. 

10.2.7 Land utilization pattern/system implementation in planting activities and plant forest 

stumpage maintenance shall positively influence land quality and water course 

function. 


10.3 Diversity in the composition of plantations is preferred, so as to enhance economic, 

ecological and social stability. Such diversity may include the size and spatial 

distribution of management units within the landscape, number and genetic 

composition of species, age classes and structures. 

10.3.1 Plantation management shall maintain and/or enhance landscape diversity by 

varying block size and configuration, species, genetic diversity, age class and 

structure. 

10.3.2 Emphasis shall be placed on planting and/or applied research on forest species 

native to the region. 

(Note: See also Criteria 6.4 and 6.10. ) 

10.4 The selection of species for planting shall be based on their overall suitability for 

the site and their appropriateness to the management objectives. In order to 

enhance the conservation of biological diversity, native species are preferred over 

exotic species in the establishment of plantations and the restoration of degraded 

ecosystems. Exotic species, which shall be used only when their performance is 

greater than that of native species, shall be carefully monitored to detect unusual 

mortality, disease, or insect outbreaks and adverse ecological impacts. 

10.4.1 Plantation species shall be selected based on suitability to site conditions (soils, 

topography and climate) and management objectives. 

10.4.2 Where exotic species have been selected, the FME shall explicitly justify this 

choice and demonstrating that their performance is greater than that of native 

species 

10.4.3 No species shall be planted on a large scale until local trials and/or experience 

have shown that they are ecologically well-adapted to the site and that, invasive 

characteristics, if any, can be controlled. 

10.4.4 When exotic species are used the specific measures to prevent spontaneous 

regeneration outside plantation areas, unusual mortality, disease, insect outbreaks 

or other adverse environmental impacts shall be documented. 

10.5 A proportion of the overall forest management area, appropriate to the scale of the 

plantation and to be determined in regional standards, shall be managed so as to 

restore the site to a natural forest cover. 

10.5.1 Representative samples of existing natural ecosystems shall be protected or 

restored to their natural state, based on the identification of key biological areas, 

consultation with stakeholders, local government and scientific authorities. (Note: 

Also see Criterion 6.4.) 

10.5.2 Conservation zone should be a contiguous block, though it may be a series of 

smaller blocks linked by corridors as wide as the average height of forest canopy in 

a mature forest in the region. 

10.5.3 Conservation zones shall be demarcated on maps and in the field. 

10.5.4 Forest operations shall be carefully controlled in conservation zones to protect 

conservation values. 

10.5.5 The area structuring of management unit shall be based on the importance of 

flora/fauna conservation, plant forest stumpage protection, and forest resources 


that are very useful for the local community. 

10.5.6 Applicable to SLIMF FMEs only (note: above indicator does not apply): 

Plantation design and management practices shall enhance protect ecological 

values, especially around conservation features or protected areas. 

10.6 Measures shall be taken to maintain or improve soil structure, fertility, and 

biological activity. The techniques and rate of harvesting, road and trail 

construction and maintenance, and the choice of species shall not result in long 

term soil degradation or adverse impacts on water quality, quantity or substantial 

deviation from stream course drainage patterns. 

10.6.1 Explicit measures shall be taken to maintain or enhance the soil in terms of 

structure, fertility and biological activity. 

10.6.2 Plantation design and management shall not result in soil degradation. 

10.6.3 Forest operations shall not degrade water quality or negatively impact local 

hydrology. 

10.6.4 Where negative impacts on soil or water resources is identified, FME shall take 

steps to reduce or eliminate such impacts. 

10.6.5 FME shall implement a waste handling system to preserve land quality and 

watercourse function sustainability. 

10.6.6 Soil erosion control is implemented, including: no tractor plowing on areas > 5% 

slope, planting or site preparation measures are done on contour, and 

specifications on buffer zones are strictly followed. 

10.6.7 No road or related waste material (i.e., rocks, brush, etc) from site preparation or 

other activities is placed in stream courses. 

10.7 Measures shall be taken to prevent and minimize outbreaks of pests, diseases, fire 

and invasive plant introductions. Integrated pest management shall form an 

essential part of the management plan, with primary reliance on prevention and 

biological control methods rather than chemical pesticides and fertilizers. 

Plantation management should make every effort to move away from chemical 

pesticides and fertilizers, including their use in nurseries. The use of chemicals is 

also covered in Criteria 6.6 and 6.7. 

10.7.1 Measures shall be taken in the forest to prevent outbreaks of pests, disease, fire 

and invasive plant introductions. 

10.7.2 A plan should exist for forest fire prevention and control. 

10.7.3 An integrated pest management plan shall exist that identifies pests, determines 

acceptable injury or action thresholds, and alternative methods of addressing 

threats. 

10.7.4 FME shall have a policy and strategy to minimize use of chemical pesticides and 

fertilizers. 

10.7.5 Pest, disease and parasite control activities use environmentally friendly 

technology so that the natural ecosystem in the management unit will not be 

disrupted. 


10.8 Appropriate to the scale and diversity of the operation, monitoring of plantations 

shall include regular assessment of potential on-site and off-site ecological and 

social impacts, (e.g. natural regeneration, effects on water resources and soil 

fertility, and impacts on local welfare and social well-being), in addition to those 

elements addressed in principles 8, 6 and 4. No species should be planted on a 

large scale until local trials and/or experience have shown that they are ecologically 

well-adapted to the site, are not invasive, and do not have significant negative 

ecological impacts on other ecosystems. Special attention will be paid to social 

issues of land acquisition for plantations, especially the protection of local rights of 

ownership, use or access. 

10.8.1 Monitoring shall include evaluation of potential onsite and off-site ecological and 

social impacts of plantation activities. (also see criterion 8.2) 

10.8.2 Applicable to SLIMF FMEs only (note: above indicator does not apply): FME 

shall document negative environmental or social impacts and design and 

implement measures to address the impacts. 

10.8.3 The purchase of lands or land leases for plantation establishment shall not 

adversely impact the community and/or resource use by local people. 

(Note: For exotic or invasive species issues, see Criterion 10.4.) 

10.9 Plantations established in areas converted from natural forests after November 

1994 normally shall not qualify for certification. Certification may be allowed in 

circumstances where sufficient evidence is submitted to the certification body that 

the manager/owner is not responsible directly or indirectly of such conversion. 

10.9.1 The plantation shall not occupy land converted from natural forest since November 

1994, unless clear evidence exists that the current manager/owner was not 

responsible. 

10.9.2 Primary, degraded primary and mature secondary forests, and threatened or 

endangered ecosystems should not be cleared or converted by current forest 

managers to create tree plantations. 

10.9.3 Where conversions after November 1994 have occurred, steps shall be taken that 

convincingly compensate for such conversions, based on interviews or other 

evidence gathered from other stakeholders and interested parties. 

(Note: See also Criterion 6.10.) 


Annex 1: List of national and local forest and related laws and administrative 

requirements which apply in Indonesia 

Principles 

Principle 1 

Principle 2 

Principle 3 

Principle 4 

Principle 5 

Principle 6 

Relevant Policies and Regulations 

Forestry Act No.41/1999 

Minister of Forestry’s Decree on HPH License 

Peraturan Pemerintah No.35/2002 on reforestation fund 

Undang-undang No.12/1985 on Land and Building Taxes (PBB) 

Peraturan Pemerintah Nomor 59/1998 on Tariff of non-taxable state’s revenues 

under Ministry of Forestry and Estate Crops 

Undang-undang No.21/1983 on Revenue Tax 

Government Regulation No.34/2002 on Forest Land Use and Development of 

Forest Management Plan 

Forest Concession License 

Act No.39/1999 on human rights 

Forest Concession License 

Forestry Minister’s Regulation No. P.01/Menhut-II/2004 on Empowerment of 

Local People within and around forest areas as social forestry program 

Draft Government Regulation on Indigenous Forest (2002) 

Act No.32/2004 on decentralisation 

Forestry Act No.41/1999 

Act No.1/2000 on ratification of ILO Convention No. 182 on Prohibition and 

Immediate Action for the elimination of the worst forms of child labor 

Act No.13/2003 on Manpower 

Other ILO conventions (will develop further) 

Government Regulation No.6/1999 on Utilisation of Production Forest and Forest 

Production Extraction 

SK Menhut No. 519/Kpts-II/1997 dated on August 12,1997 on Environmental 

Impact Assessment, Environmental Management, Environmental Monitoring in 

Forestry Development 

Environmental Act No.23/1997 on Environmental Management 

UU No.5/1994 on Biodiversity Conservation (Ratification on Convention on 

Biodiversity) 

Government Regulation No.68/1998 on Sanctuary Reserve and Nature Reserve 

Government Regulation No.14/2004 on requirements and methods of 

transferring protected tree varietes and the use of government-protected 

varieties 

UU No.5/1990 on Conservation of Biodiversity Sources and Its Ecosystems 

Government Regulation No.4/2001 Controlling environmental damage caused by 

forest fires. 


Principles 

Relevant Policies and Regulations 

Principle 7 Government Regulation No.34/2002 on Forest Land Use, Development of Forest 

Management Plan 

Government Regulation No.44/2004 on Forest Planning 

Government Regulation No.45/2004 on Forest Protection 

Government Regulation No.7/1999 on Preservation of Flora and Fauna 

Government Regulation No.8/1999 on the use of wildlife 

Forestry Minister’s Decree No.52/Kpts-II/2001 on Guidelines of watershed 

management 

Principle 8 See above 




Annex 2: List of the multilateral environmental agreements and ILO Conventions 

that Indonesia has ratified 

Convention No. 87 (1948) on freedom to join and get rights protection for organization, through 

Indonesia Presidential Decree No.83/1998 

Convention No.98 (1949) on freedom to organize and negotiate, through Undang-Undang 

No.18/1956 

Convention No.29 (1930) on Forced Labor, through the Dutch government ratification on March 

31, 1933, Ned.Stbl.No. 26, 1933 jo Ned. Stbl. No. 236, 1933. It was then stated as came into 

effect by the Indonesian government through Ind. Stbl. No. 261, 1933 

Convention No. 105 (1957) on Elimination of Forced Labor, through Undang-Undang 

No.19/1999 

Convention No.100 (1951) on Equity of Wage for Women and Men for the equal jobs, through 

Undang-Undang No.80/1957 

Convention No.111 (1958) on Discrimination in jobs and positions, through Undang-Undang 

No.21/1999 

Convention No.138 (1973) on Minimum age for work, through Undang-Undang No.20/1999 

Convention No.182 (1999) on Violation and Immediate Actions for eliminating the worst forms of 

works for child labor through Undang-Undang No.1/2000 

Other conventions and international agreements signed by Indonesia: 

Convention on Biodiversity (has been ratified through UU No.5/1994) 

Convention on Combatting to Desertification 

CITES 

Tropical Timber 83 

Tropical Timber 94 

Ramsar 


Annex 3 : List of officially endangered species in Indonesia. 

Indonesian Government regulation number 7 1999: List of protected flora and fauna in 

Indonesia 

No. Scientific name Indonesian name 

Fauna 

I. MAMALIA (Mammals) 

1 Anoa depressicornis Anoa dataran rendah, Kerbau pendek 

2 Anoa quarlesi Anoa pegunungan 

3 Arctictis binturong Binturung 

4 Arctonyx collaris Pulusan 

5 Babyrousa babyrussa Babirusa 

6 Balaenoptera musculus Paus biru 

7 Balaenoptera physalus Paus bersirip 

8 Bos sondaicus Banteng 

9 Capricornis sumatrensis Kambing Sumatera 

10 Cervus kuhli; Axis kuhli Rusa Bawean 

11 Cervus spp. Menjangan, Rusa sambar (All species of the 

genusCervus) 

12 Cetacea Paus (All species of the family Cetacea) 

13 Cuon alpinus Ajag 

14 Cynocephalus variegatus Kubung, Tando, Walangkekes 

15 Cynogale bennetti Musang air 

16 Cynopithecus niger Monyet hitam Sulawesi 

17 Dendrolagus spp. Kanguru pohon (All species of the genus Dendrolagus) 

18 Dicerorhinus sumatrensis Badak Sumatera 

19 Dolphinidae Lumba-lumba air laut (All species of the family 

Dolphinidae) 

20 Dugong dugon Duyung 

21 Elephas indicus Gajah 

22 Felis badia Kucing merah 

23 Felis bengalensis Kucing hutan, Meong congkok 

24 Felis marmorota Kuwuk 

25 Felis planiceps Kucing dampak 

26 Felis temmincki Kucing emas 

27 Felis viverrinus Kucing bakau 

28 Helarctos malayanus Beruang madu 

29 Hylobatidae Owa, Kera tak berbuntut (All species of the family 

Hylobatidae) 

30 Hystrix brachyura Landak 

31 Iomys horsfieldi Bajing terbang ekor merah 

32 Lariscus hosei Bajing tanah bergaris 

33 Lariscus insignis Bajing tanah, Tupai tanah 

34 Lutra lutra Lutra 

35 Lutra sumatrana Lutra Sumatera 

36 Macaca brunnescens Monyet Sulawesi 



37 Macaca maura Monyet Sulawesi 

38 Macaca pagensis Bokoi, Beruk Mentawai 

39 Macaca tonkeana Monyet jambul 

40 Macrogalidea 

Musang Sulawesi 

musschenbroeki 

41 Manis javanica Trenggiling, Peusing 

42 Megaptera novaeangliae Paus bongkok 

43 Muntiacus muntjak Kidang, Muncak 

44 Mydaus javanensis Sigung 

45 Nasalis larvatus Kahau, Bekantan 

46 Neofelis nebulusa Harimau dahan 

47 Nesolagus netscheri Kelinci Sumatera 

48 Nycticebus coucang Malu-malu 

49 Orcaella brevirostris Lumba-lumba air tawar, Pesut 

50 Panthera pardus Macan kumbang, Macan tutul 

51 Panthera tigris sondaica Harimau Jawa 

52 Panthera tigris sumatrae Harimau Sumatera 

53 Petaurista elegans Cukbo, Bajing terbang 

54 Phalanger spp. Kuskus (All species of the genus Phalanger) 

55 Pongo pygmaeus Orang utan, Mawas 

56 Presbitys frontata Lutung dahi putih 

57 Presbitys rubicunda Lutung merah, Kelasi 

58 Presbitys aygula Surili 

59 Presbitys potenziani Joja, Lutung Mentawai 

60 Presbitys thomasi Rungka 

61 Prionodon linsang Musang congkok 

62 Prochidna bruijni Landak Irian, Landak semut 

63 Ratufa bicolor Jelarang 

64 Rhinoceros sondaicus Badak Jawa 

65 Simias concolor Simpei Mentawai 

66 Tapirus indicus Tapir, Cipan, Tenuk 

67 Tarsius spp. Binatang hantu, Singapuar (All species of the genus 

Tarsius) 

68 Thylogale spp. Kanguru tanah (All species of the genus Thylogale) 

69 Tragulus spp. Kancil, Pelanduk, Napu (All species of the genus 

Tragulus) 

70 Ziphiidae Lumba-lumba air laut (All species of the family 

Ziphiidae) 

II. AVES (Birds) 

71 Accipitridae Burung alap-alap, Elang (All species of the family 

Accipitridae) 

72 Aethopyga exima Jantingan gunung 

73 Aethopyga duyvenbodei Burung madu Sangihe 

74 Alcedinidae Burung udang, Raja udang (All species of the family 

Alcedinidae) 

75 Alcippe pyrrhoptera Brencet wergan 

76 Anhinga melanogaster Pecuk ular 



77 Aramidopsis plateni Mandar Sulawesi 

78 Argusianus argus Kuau 

79 Bubulcus ibis Kuntul, Bangau putih 

80 Bucerotidae Julang, Enggang, Rangkong, Kangkareng (All species 

of the family Bucerotidae) 

81 Cacatua galerita Kakatua putih besar jambul kuning 

82 Cacatua goffini Kakatua gofin 

83 Cacatua moluccensis Kakatua Seram 

84 Cacatua sulphurea Kakatua kecil jambul kuning 

85 Cairina scutulata Itik liar 

86 Caloenas nicobarica Junai, Burung mas, Minata 

87 Casuarius bennetti Kasuari kecil 

88 Casuarius casuarius Kasuari 

89 Casuarius unappenddiculatus Kasuari gelambir satu, Kasuari leher kuning 

90 Ciconia episcopus Bangau hitam, Sandanglawe 

91 Colluricincla megarhyncha Burung sohabe coklat 

92 Crocias albonotatus Burung matahari 

93 Ducula whartoni Pergam raja 

94 Egretta sacra Kuntul karang 

95 Egretta spp. Kuntul, Bangau putih (All species of the genus Egretta) 

96 Elanus caerulleus Alap-alap putih, Alap-alap tikus 

97 Elanus hypoleucus Alap-alap putih, Alap-alap tikus 

98 Eos histrio Nuri Sangir 

99 Esacus magnirostris Wili-wili, Uar, Bebek laut 

100 Eutrichomyias rowleyi Seriwang Sangihe 

101 Falconidae Burung alap-alap, Elang (All species of the family 

Falconidae) 

102 Fregeta andrewsi Burung gunting, Bintayung 

103 Garrulax rufifrons Burung kuda 

104 Goura spp. Burung dara mahkota, Burung titi, Mambruk (All species 

of the genus Goura) 

105 Gracula religiosa mertensi Beo Flores 

106 Gracula religiosa robusta Beo Nias 

107 Gracula religiosa venerata Beo Sumbawa 

108 Grus spp. Jenjang (All species of the genus Grus) 

109 Himantopus himantopus Trulek lidi, Lilimo 

110 Ibis cinereus Bluwok, Walangkadak 

111 Ibis leucocephala Bluwok berwarna 

112 Lorius roratus Bayan 

113 Leptoptilos javanicus Marabu, Bangau tongtong 

114 Leucopsar rothschildi Jalak Bali 

115 Limnodromus semipalmatus Blekek Asia 

116 Lophozosterops javanica Burung kacamata leher abu-abu 

117 Lophura bulweri Beleang ekor putih 

118 Loriculus catamene Serindit Sangihe 

119 Loriculus exilis Serindit Sulawesi 

120 Lorius domicellus Nori merah kepala hitam 

121 Macrocephalon maleo Burung maleo 



122 Megalaima armillaris Cangcarang 

123 Megalaima corvina Haruku, Ketuk-ketuk 

124 Megalaima javensis Tulung tumpuk, Bultok Jawa 

125 Megapoddidae Maleo, Burung gosong (All species of the family 

Megapododae) 

126 Megapodius reintwardtii Burung gosong 

127 Meliphagidae Burung sesap, Pengisap madu (All species of the family 

Meliphagidae) 

128 Musciscapa ruecki Burung kipas biru 

129 Mycteria cinerea Bangau putih susu, Bluwok 

130 Nectariniidae Burung madu, Jantingan, Klaces (All species of the 

family Nectariniidae) 

131 Numenius spp. Gagajahan (All species of the genus Numenius) 

132 Nycticorax caledonicus Kowak merah 

133 Otus migicus beccarii Burung hantu Biak 

134 Pandionidae Burung alap-alap, Elang (All species of the family 

Pandionidae) 

135 Paradiseidae Burung cendrawasih (All species of the family 

Paradiseidae) 

136 Pavo muticus Burung merak 

137 Pelecanidae Gangsa laut (All species of the family Pelecanidae) 

138 Pittidae Burung paok, Burung cacing (All species of the family 

Pittidae) 

139 Plegadis falcinellus Ibis hitam, Roko-roko 

140 Polyplectron malacense Merak kerdil 

141 Probosciger aterrimus Kakatua raja, Kakatua hitam 

142 Psaltria exilis Glatik kecil, Glatik gunung 

143 Pseudibis davisoni Ibis hitam punggung putih 

144 Psittrichas fulgidus Kasturi raja, Betet besar 

145 Ptilonorhynchidae Burung namdur, Burung dewata 

146 Rhipidura euryura Burung kipas perut putih, Kipas gunung 

147 Rhipidura javanica Burung kipas 

148 Rhipidura phoenicura Burung kipas ekor merah 

149 Satchyris grammiceps Burung tepus dada putih 

150 Satchyris melanothorax Burung tepus pipi perak 

151 Sterna zimmermanni Dara laut berjambul 

152 Sternidae Burung dara laut (All species of the family Sternidae) 

153 Sturnus melanopterus Jalak putih, Kaleng putih 

154 Sula abbotti Gangsa batu aboti 

155 Sula dactylatra Gangsa batu muka biru 

156 Sula leucogaster Gangsa batu 

157 Sula sula Gangsa batu kaki merah 

158 Tanygnathus sumatranus Nuri Sulawesi 

159 Threskiornis aethiopicus Ibis putih, Platuk besi 

160 Trichoglossus ornatus Kasturi Sulawesi 

161 Tringa guttifer Trinil tutul 

162 Trogonidae Kasumba, Suruku, Burung luntur 

163 Vanellus macropterus Trulek ekor putih 



III. REPTILIA (Reptiles) 

164 Batagur baska Tuntong 

165 Caretta caretta Penyu tempayan 

166 Carettochelys insculpta Kura-kura Irian 

167 Chelodina novaeguineae Kura Irian leher panjang 

168 Chelonia mydas Penyu hijau 

169 Chitra indica Labi-labi besar 

170 Chlamydosaurus kingii Soa payung 

171 Chondropython viridis Sanca hijau 

172 Crocodylus novaeguineae Buaya air tawar Irian 

173 Crocodylus porosus Buaya muara 

174 Crocodylus siamensis Buaya siam 

175 Dermochelys coriacea Penyu belimbing 

176 Elseya novaeguineae Kura Irian leher pendek 

177 Eretmochelys imbricata Penyu sisik 

178 Gonychephalus dilophus Bunglon sisir 

179 Hydrasaurus amboinensis Soa-soa, Biawak Ambon, Biawak pohon 

180 Lepidochelys olivacea Penyu ridel 

181 Natator depressa Penyu pipih 

182 Orlitia borneensis Kura-kura gading 

183 Python molurus Sanca bodo 

184 Phyton timorensis Sanca Timor 

185 Tiliqua gigas Kadal Panan 

186 Tomistoma schlegelii Senyulong, Buaya sapit 

187 Varanus borneensis Biawak Kalimantan 

188 Varanus gouldi Biawak coklat 

189 Varanus indicus Biawak Maluku 

190 Varanus komodoensis Biawak komodo, Ora 

191 Varanus nebulosus Biawak abu-abu 

192 Varanus prasinus Biawak hijau 

193 Varanus timorensis Biawak Timor 

194 Varanus togianus Biawak Togian 

IV. INSECTA (Insects) 

195 Cethosia myrina Kupu bidadari 

196 Ornithoptera chimaera Kupu sayap burung peri 

197 Ornithoptera goliath Kupu sayap burung goliat 

198 Ornithoptera paradisea Kupu sayap burung surga 

199 Ornithoptera priamus Kupu sayap priamus 

200 Ornithoptera rotschldi Kupu burung rotsil 

201 Ornithoptera tithonus Kupu burung titon 

202 Trogonotera brookiana Kupu trogon 

203 Troides amphrysus Kupu raja 

204 Troides andromanche Kupu raja 

205 Troides criton Kupu raja 

206 Troides haliphron Kupu raja 

207 Troides helena Kupu raja 

208 Troides hypolitus Kupu raja 



209 Troides meoris Kupu raja 

210 Troides miranda Kupu raja 

211 Troides plato Kupu raja 

212 Troides rhadamantus Kupu raja 

213 Troides riedeli Kupu raja 

214 Troides vandepolli Kupu raja 

V. PISCES (Fish) 

215 Homaloptera gymnogaster Selusur Maninjau 

216 Latimeria chalumnae Ikan raja laut 

217 Notopterus spp. Belida Jawa, Lopis Jawa All species of the genus 

Notopterus) 

218 Pritis spp. Pari Sentani, Hiu Sentani (All species of the genus 

Pritis) 

219 Puntius microps Wader goa 

220 Scleropages formasus Peyang malaya, Tangkelasa 

221 Scleropages jardini Arowana Irian, Peyang Irian, Kaloso 

VI. ANTHOZOA 

222 Anthiphates spp. Akar bahar, Koral hitam (All species of the genus 

Anthiphates) 

VII. BIVALVIA 

223 Birgus latro Ketam kelapa 

224 Cassis cornuta Kepala kambing 

225 Charonia tritonis Triton terompet 

226 Hippopus hippopus Kima tapak kuda, Kima kuku beruang 

227 Hippopus porcellanus Kima Cina 

228 Nautilus popillius Nautilus berongga 

229 Tachipleus gigas Ketam tapak kuda 

230 Tridacna crocea Kima kunia, Lubang 

231 Tridacna derasa Kima selatan 

232 Tridacna gigas Kima raksasa 

233 Tridacna maxima Kima kecil 

234 Tridacna squamosa Kima sisik, Kima seruling 

235 Trochus niloticus Troka, Susur bundar 

236 Turbo marmoratus Batu laga, Siput hijau 



FLORA 

I. PALMAE 

237 Amorphophallus decussilvae Bunga bangkai jangkung 

238 Amorphophallus titanum Bunga bangkai raksasa 

239 Borrassodendron borneensis Bindang, Budang 

240 Caryota no Palem raja/Indonesia 

241 Ceratolobus glaucescens Palem Jawa 

242 Cystostachys lakka Pinang merah Kalimantan 

243 Cystostachys ronda Pinang merah Bangka 

244 Eugeissona utilis Bertan 

245 Johanneste ijsmaria altifrons Daun payung 

246 Livistona spp. Palem kipas Sumatera (All species of the genus 

Livistona) 

247 Nenga gajah Palem Sumatera 

248 Phoenix paludosa Korma rawa 

249 Pigafatta filaris Manga 

250 Pinanga javana Pinang Jawa 

II. RAFFLESSIACEA 

251 Rafflesia spp. Rafflesia, Bunga padma (All species of the genus 

Rafflesia) 

III. ORCHIDACEAE 

252 Ascocentrum miniatum Anggrek kebutan 

253 Coelogyne pandurata Anggrek hitan 

254 Corybas fornicatus Anggrek koribas 

255 Cymbidium hartinahianum Anggrek hartinah 

256 Dendrobium catinecloesum Anggrek karawai 

257 Dendrobium d'albertisii Anggrek albert 

258 Dendrobium lasianthera Anggrek stuberi 

259 Dendrobium macrophyllum Anggrek jamrud 

260 Dendrobium ostrinoglossum Anggrek karawai 

261 Dendrobium phalaenopsis Anggrek larat 

262 Grammatophyllum papuanum Anggrek raksasa Irian 

263 Grammatophyllum speciosum Anggrek tebu 

264 Macodes petola Anggrek ki aksara 

265 Paphiopedilum 

Anggrek kasut kumis 

chamberlainianum 

266 Paphiopedilum glaucophyllum Anggrek kasut berbulu 

267 Paphiopedilum praestans Anggrek kasut pita 

268 Paraphalaenopsis denevei Anggrek bulan bintang 

269 Paraphalaenopsis laycockii Anggrek bulan Kaliman Tengah 

270 Paraphalaenopsis 

Anggrek bulan Kaliman Barat 

serpentilingua 

271 Phalaenopsis amboinensis Anggrek bulan Ambon 

272 Phalaenopsis gigantea Anggrek bulan raksasa 

273 Phalaenopsis sumatrana Anggrek bulan Sumatera 

274 Phalaenopsis violacose Anggrek kelip 



275 Renanthera matutina Anggrek jingga 

276 Spathoglottis zurea Anggrek sendok 

277 Vanda celebica Vanda mungil Minahasa 

278 Vanda hookeriana Vanda pensil 

279 Vanda pumila Vanda mini 

280 Vanda sumatrana Vanda Sumatera 

IV. NEPHENTACEAE 

281 Nephentes spp. Kantong semar (All species of the genus Nephentes) 

V. DIPTEROCARPACEAE 

282 Shorea stenopten Tengkawang 

283 Shorea stenoptera Tengkawang 

284 Shorea gysberstiana Tengkawang 

285 Shorea pinanga Tengkawang 

286 Shorea compressa Tengkawang 

287 Shorea semiris Tengkawang 

288 Shorea martiana Tengkawang 

289 Shorea mexistopteryx Tengkawang 

290 Shorea beccariana Tengkawang 

291 Shorea micrantha Tengkawang 

292 Shorea palembanica Tengkawang 

293 Shorea lepidota Tengkawang 

294 Shorea singkawang Tengkawang 

References 

IUCN’s red list 

CITES 

SK Mentan No.54/Kpts/Um/2/1972 

PP No.7/1999 


Annex 4 : Glossary of terms 

Biological diversity: The variability among living organisms from all sources including, inter 

alia, terrestrial, marine and other aquatic ecosystems and the ecological complexes of which 

they are a part; this includes diversity within species, between species and of ecosystems. (see 

Convention on Biological Diversity, 1992) 

Biological control agents: Living organisms used to eliminate or regulate the population of 

other living organisms. 

Biological diversity values: The intrinsic, ecological, genetic, social, economic, scientific, 

educational, cultural, recreational and aesthetic values of biological diversity and its 

components. (see Convention on Biological Diversity, 1992) 

Chain of custody: The channel through which products are distributed from their origin in the 

forest to their end-use. 

Chemicals: The range of fertilizers, insecticides, fungicides, and hormones which are used in 

forest management. 

Criterion (pl. Criteria): A means of judging whether or not a Principle (of forest stewardship) 

has been fulfilled. 

Customary rights: Rights which result from a long series of habitual or customary actions, 

constantly repeated, which have, by such repetition and by uninterrupted acquiescence, 

acquired the force of a law within a geographical or sociological unit. 

Ecosystem: A community of all plants and animals and their physical environment, functioning 

together as an interdependent unit. 

Endangered species: Any species which is in danger of extinction throughout all or a 

significant portion of its range. 

Exotic species: An introduced species not native or endemic to the area in question. 

Forest integrity: The composition, dynamics, functions and structural attributes of a natural 


Forest management/manager: The people responsible for the operational management of the 

forest resource and of the enterprise, as well as the management system and structure, and the 

planning and field operations. 

Forest management unit (FMU): a clearly defined forest area with mapped boundaries, 

managed by a single managerial body to a set of explicit objectives which are expressed in a 

self-contained multi-year management plan. 

Forest stewardship: forest management which, in conformity with the FSC Principles and 

Criteria for Forest Stewardship, is environmentally responsible, socially beneficial, and 

economically viable. 


Genetically modified organisms: Biological organisms which have been induced by various 

means to consist of genetic structural changes. 

Indicator: a quantitative or qualitative variable which can be measured or described, and which 

provides a means of judging whether a forest management unit complies with the requirements 

of an FSC Criterion. Indicators and the associated thresholds thereby define the requirements 

for responsible forest management at the level of the forest management unit and are the 

primary basis of forest evaluation. 

Indigenous lands and territories: The total environment of the lands, air, water, sea, sea-ice, 

flora and fauna, and other resources which indigenous peoples have traditionally owned or 

otherwise occupied or used. (Draft Declaration of the Rights of Indigenous Peoples: Part VI) 

Indigenous peoples: "The existing descendants of the peoples who inhabited the present 

territory of a country wholly or partially at the time when persons of a different culture or ethnic 

origin arrived there from other parts of the world, overcame them and, by conquest, settlement, 

or other means reduced them to a non-dominant or colonial situation; who today live more in 

conformity with their particular social, economic and cultural customs and traditions than with 

the institutions of the country of which they now form a part, under State structure which 

incorporates mainly the national, social and cultural characteristics of other segments of the 

population which are predominant." (Working definition adopted by the UN Working Group on 

Indigenous Peoples). 

High Conservation Value Forests: High Conservation Value Forests are those that possess 

one or more of the following attributes: 

a) forest areas containing globally, regionally or nationally significant : concentrations of 

biodiversity values (e.g. endemism, endangered species, refugia); and/or large landscape 

level forests, contained within, or containing the management unit, where viable populations 

of most if not all naturally occurring species exist in natural patterns of distribution and 

abundance 

b) forest areas that are in or contain rare, threatened or endangered ecosystems 

c) forest areas that provide basic services of nature in critical situations (e.g. watershed 

protection, erosion control) 

d) forest areas fundamental to meeting basic needs of local communities (e.g. subsistence, 

health) and/or critical to local communities’ traditional cultural identity (areas of cultural, 

ecological, economic or religious significance identified in cooperation with such local 

communities). 

Landscape: A geographical mosaic composed of interacting ecosystems resulting from the 

influence of geological, topographical, soil, climatic, biotic and human interactions in a given 

area. 

Local laws: Includes all legal norms given by organisms of government whose jurisdiction is 

less than the national level, such as departmental, municipal and customary norms. 

Long term: The time-scale of the forest owner or manager as manifested by the objectives of 

the management plan, the rate of harvesting, and the commitment to maintain permanent forest 

cover. The length of time involved will vary according to the context and ecological conditions, 

and will be a function of how long it takes a given ecosystem to recover its natural structure and 

composition following harvesting or disturbance, or to produce mature or primary conditions. 


Native species: A species that occurs naturally in the region; endemic to the area. 

Natural cycles: Nutrient and mineral cycling as a result of interactions between soils, water, 

plants, and animals in forest environments that affect the ecological productivity of a given site. 

Natural Forest: Forest areas where many of the principal characteristics and key elements of 

native ecosystems such as complexity, structure and diversity are present, as defined by FSC 

approved national and regional standards of forest management. 

Non-timber forest products: All forest products except timber, including other materials 

obtained from trees such as resins and leaves, as well as any other plant and animal products. 

Other forest types: Forest areas that do not fit the criteria for plantation or natural forests and 

which are defined more specifically by FSC-approved national and regional standards of forest 

stewardship. 

Plantation: Forest areas lacking most of the principal characteristics and key elements of 

native ecosystems as defined by FSC-approved national and regional standards of forest 

stewardship, which result from the human activities of either planting, sowing or intensive 

silvicultural treatments. 

Precautionary approach: Tool for the implementation of the precautionary principle. 

Principle: An essential rule or element; in FSC's case, of forest stewardship. 

Silviculture: The art of producing and tending a forest by manipulating its establishment, 

composition and growth to best fulfil the objectives of the owner. This may, or may not, include 

timber production. 

SLIMF (small or low intensity managed forest): a forest management unit which meets 

specific FSC requirements related to size and/or intensity of timber harvesting, and can 

therefore be evaluated by certification bodies using streamlined evaluation procedures. The 

applicable FSC requirements are defined in FSC-STD-01-003 SLIMF Eligibility Criteria. 

Stakeholder: individuals and organizations with a legitimate interest in the goods and services 

provided by an FMU; and those with an interest in the environmental and social effects of an 

FMU's activities, products and services. They include: those individuals and organizations 

which exercise statutory environmental control over the FMU; local people; employees; 

investors and insurers; customers and consumers; environmental interest and consumer groups 

and the general public [modified from Upton and Bass, 1995]. 

Succession: Progressive changes in species composition and forest community structure 

caused by natural processes (nonhuman) over time. 

Tenure: Socially defined agreements held by individuals or groups, recognized by legal 

statutes or customary practice, regarding the "bundle of rights and duties" of ownership, holding, 

access and/or usage of a particular land unit or the associated resources there within (such as 

individual trees, plant species, water, minerals, etc). 

Threatened species: Any species which is likely to become endangered within the foreseeable 

future throughout all or a significant portion of its range. 


Use rights: Rights for the use of forest resources that can be defined by local custom, mutual 

agreements, or prescribed by other entities holding access rights. These rights may restrict the 

use of particular resources to specific levels of consumption or particular harvesting techniques 


Annex 5 : Summary of the SmartWood Certification Assessment Process 

The certification assessment process begins with a candidate operation submitting an 

application to SmartWood. Based upon a review of the application, the scope of the area to be 

certified and discussions with the candidate, SmartWood will propose a certification process that 

includes either a preassessment followed by a main assessment, or goes directly to a main 

assessment. Every candidate operation is assigned a SmartWood task manager who will liaise 

with the assessment lead auditor and the candidate to schedule and perform the evaluations. 

SmartWood assessors are provided with detailed guidance on the certification process, 

including pre-assessment briefings (either in person or by telephone) and access to a written 

SmartWood handbook for forest assessment. The purpose of these briefings and the manual is 

to ensure that a consistent and thorough certification process is followed. 

In addition to following the SmartWood procedures outlined in our forest evaluation handbook, 

there are three other ways in which we ensure accuracy and fairness in our certifications: 

1. The assessment must involve individuals who are familiar with the particular region and type 

of forest management operation under evaluation. It is SmartWood policy to involve local 

specialists in all assessments. 

2. Team members must be familiar with SmartWood certification procedures. Each 

SmartWood certification assessment has a designated lead auditor who must have 

participated in a formal SmartWood assessor-training course or previously participated in 

other SmartWood forest management assessments or audits. 

3. The assessment must use region-specific standards (i.e. accredited FSC standard or a 

“regionalized” SmartWood Interim Standard, based on this SmartWood Generic Standard). 

Team Selection and Planning – SmartWood selects a qualified lead auditor and other team 

members to participate in the assessment. The lead auditor’s first task is to ensure that all team 

members understand the scope and intent of the assessment process. Responsibility for 

evaluation of different sections (i.e. specific criteria and indicators) of the standard are assigned 

to different team members, depending on their particular training and expertise. All team 

members can provide input into any principle, but lead responsibility is assigned for data 

collection, analysis and writing for each criterion and indicator. 

Stakeholder notification: At least 30 days prior to forest evaluation, SmartWood notifies 

stakeholders of the pending assessment and requests stakeholders’ observations or comments 

with regard to the operations compliance with the certification standard. 

Fieldwork and Data Collection – Evaluation of conformance with the standard is based upon 

data collection by the auditors through review of FME management documentation, interviews 

with staff and stakeholders, and field observations and measurements. The team organizes 

opening meetings with the FME staff to review the assessment scope and procedures and 

certification standards. Documentation review and interview with FME staff begin immediately. 

The assessment process then moves quickly to the field phase. Inspections are made to sites 

chosen by SmartWood assessors based on a comprehensive review of the candidate FME’s 

forest holdings and management activities, discussions with interested/affected parties, and 

identification of critical issues or challenging sites. Site visits occur in the forest, at processing 

facilities, and in surrounding communities. Visits emphasize management activities of all types 

and phases and different biological or physical conditions. 


Team members meet independently with stakeholders. All assessments solicit and incorporate 

input (confidential and/or open) from directly affected and/or knowledgeable stakeholders, 

including local communities, adjoining landowners, local forest industry, environmental 

organizations, government agencies, and scientific researchers. During these consultations, 

assessment team members explain the assessment process, solicit opinions, and gather 

impressions about the field performance of the operation being assessed. 

Data Analysis and Decision making – Throughout the assessment the team meets 

independently to discuss progress in gathering information, and discuss preliminary findings. 

The assessment team works in a consensus fashion to analyze information and evidence 

gathered, evaluate conformance and reach agreement on their findings as to the certification of 

the candidate operation. 

The assessment team evaluates performance by the FME at the indicator level of the standard. 

Any non-conformances are analyzed and classified as either minor or major. A noncompliance 

is considered major if it results in a fundamental failure to achieve the objective of the relevant 

criterion in the standard. Conversely, a nonconformance is considered minor if the impacts are 

limited in scale, prompt corrective action has been taken to ensure it will not be repeated and it 

does not result in a fundamental failure to achieve the objective of the relevant criterion. For 

each area of nonconformance identified, the assessment team develops corrective actions 

which are classified as follows: 

• Major Corrective Action Request (CAR) is an improvement addressing major 

nonconformance that candidate FME must implement before SmartWood certification is 

granted; 

• Corrective action request (CAR) is an improvement addressing a minor nonconformance 

that candidate FME must implement by a specific deadline (i.e. short term - usually within 

one year) during the renewable five-year certification period (which is the standard FSC 

certification contract period); and, 

• Observation is a very minor problem or the early stages of a problem which do not of itself 

constitute a non-conformance, but which the auditor considers may lead to a future nonconformance 

if not addressed by the client. An observation may be a warning signal on a 

particular issue that, if not addressed, could turn into a nonconformance in the future. 

Report Write-up – following the forest evaluation, the team prepares the certification 

assessment report. This report follows a standardized format and includes detailed findings of 

performance and proposes pre-conditions, CARs or observations. 

Review of Assessment Report by Candidate Operation, Independent Peer Reviewers and 

SmartWood Report Review – the candidate operation, at least one peer reviewer, and 

SmartWood regional staff, review each certification assessment report. 

Certification Decision – Once the above steps are completed, SmartWood headquarters 

coordinates a certification decision process. If a certification decision is to approve certification, 

a five-year certification contract will be executed which requires annual on-site audits. If an 

operation is not approved, the certification decision will establish what must be done in order for 

the operation to achieve certified status in the future.

Title: Rainforest Alliance/SmartWood Interim Standard for Assessing ...

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