Principles & Criteria of Legality for Forestry Operations &
Wood Processing in
Auditors Guidance Notes[1]
1.1.1 Guidance:
Step 1: With a view toward finding out whether
the area at is and is not in
the permanent state forest landzone,
determine whether or not there is a current ‘berita acara tata batas’ signed by
the authorized delineation committee regarding land status.
Note 1: An authorized delineation committee is
specified in SK Menhut 32, 2001 regarding the forest delineation process.
Note 2: Step 1
above should only have been followed by any demarcation activities carried out
after February 2001, or by any forest gazettement which failed to demarcate the
boundaries prior to that date. [not clear!]
Step 2: Ensure that any community area physically
located within the boundaries of the HPH area,
HTI or Perum Perhutani area is defined as an enclave and excluded from any
production forestry activities (Juklak and Juknis Dirjen Intag No. 724/A/VII-2,
1994).
Note 1:
Note 2:
Note 3:
Note 4:
Crosscheck the status of the proposed forest land in the village land
book and district land book in the district office of the Badan Pertanahan
Nasional (BPN).
1.1.2 Guidance:
Appropriate Applicable
regulations are:
SK Mentan 178/Kpts/Um/4/1975 Pedoman Umum
Perubahan Batas Kawasan Hutan ,
SK Mentan 764/Kpts/Um/10/1980, Ketentuan Pelepasan Areal Hutan untuk Tujuan
Perkrbunan, Peternakan, Perikanan dan Tanaman Pangan - 23 Oktober 1980
SK Dirjen Kehutanan 54/Kpts/DJ/I/1981,
Tata Cara Pelepasan Areal Hutan untuk Tujuan Pekebunan, Peretnakan, Perikanan
dan Tanaman Pangan 23 Maret 1981
SK Dirjen Kehutanan 53/Kpts/DJ/I/1981,
Penetapan Wilayah-Wilayah Propinsi yang areal Hutannya tidak dapat dilepaskan
untuk tujuan Perkebunan, Peternakan, Perikanan & Tanaman Pangan
SK Menhut KB.550/246/Kpts/4/1984
Pengaturan Penyediaan Lahan Kawasan Hutan untuk Pengembangan Usaha Budi Daya
Pertanian
SK Menhut 70, 2001 Perubahan Status &
Fungsi Kawasan Hutan ,
SK 48, 2004.
1.2.1 License is approved
by the Ministry of Forestry for Guidance: License
number, validity dates, license is signed. Free and prior informed consent
means that affected communities must have been
given full information on all activities to be undertaken and consequences
deriving there for before they givegave
their consent to such activities (UU 23, 1997 on Environmental Management; RUU
Pemanfaatan dan Pelestarian Sumber Daya Genetik). An affected community is one whose land claims
overlap with the forest management unit and/or whose livelihood system is
positively or negatively altered by the activities of the forest management
unit (UU 23, 1997 and PP 27, 1999).
1.2.2 Guidance: License number, validity dates, license [2]
is signed by Dinas and Ministry of Forestry. Natural forest timber felled
through land clearing activities to create industrial timber or agricultural
plantations must have SK HTI or SK Kebun granted by national forestry
authorities prior to the declaration of the June, 2000 land clearing
moratorium, as well as an SK IPK granted by provincial forestry authorities.
Natural forest timber felled using licenses from district authorities may only
come from districts which have written permission to issue such licenses from
provincial forestry authorities, and only in the event that such land clearing
activities take place outside the national forest estate.
1.2.3 Guidance: Map with clear boundaries, cross checked with
Evidence
that the forest management unit has been gazetted (according to UU 24, 1992) in
consultation with adat and local communities (for example, by participatory
community mapping) with prior informed consent verified through a transcript of
a dialogue with the communities).
For
HPH (IUPHHK pada HA) and HTI (IUPHHK pada HT) and Perum Perhutani areas in
particular, clear boundaries have been established between the forest management unit and the
territory of local and adat communities with the consent of all related parties
(eg, relevant government authorities and affected communities).
Steps
for gazettal:
Step 1: With a view toward finding
out what are the functional categories (kawasan konservasi, hutan lindung,
hutan produksi terbatas, hutan produksi, hutan konversi), determine whether
there is a current official notification of boundary delineation (berita acara
tata batas) signed by the authorized delineation committee (SK Menhut 57,
Kpts-II 1994).
Step 2: With a view toward finding
out whether the boundaries of a concession have been fully established,
determine whether or not there is a current berita acara tata batas (according
to the SK-HPH or its equivalent under new regulation, SK-HTI or its equivalent
under new regulation) signed by the authorized delineation committee (Dir.Jen.
BPK).
Step 3: Ensure that there is no
hutan adat (regulated by UU 41, 1999 or PerMenBPN 5, 1999) or ijin hutan
kemasyarakatan (SK Menhut 31, 2001) located inside or overlapping with the
working area of the forest management unit.
Step 4: For Perum Perhutani areas,
no wood may be taken from land which is former ERFACHT and/or partikulir land
(UU 1, 1958) and/or conservation areas (SK Menhut 251, 1985).
1.2.11.3.1
Guidance:
Approved and valid 20- year,
5- year plans
(Ministry of Forestry) and annual plans (Provincial
Forestry Office). AAC clearly defined
within a net production area.
Conservation areas are delineated on maps for all management plans
appropriate to scale. Social areas
adequately identified including any agricultural areas or culturally sensitive
areas (see 1.1.3)
1.3.2
Guidance: (ILS)
IPK License, validity dates, license and work plan is approved by the
government authority: provincial or district as outlined in Criterion 1.2).
2.1.1 Guidance: AMDAL is signed and valid, key components of AMDAL to address
social and physical environmental impacts, including; impact on customary land
claims, protected areas have been prepared and correspond with the site
2.1.2 Guidance: RPL has clear plan to mitigate environmental impacts and provide social benefits. Review Reports on the monitoring of the impacts according to the RPL and review reports and field visit to review procedures in place as recommended in the RKL to mitigate environmental impacts
2.2.1
Guidance:
List of endangered species within the AMDAL.
Correct application of AMDAL procedures to develop the list of
endangered species. Cross-checking with
other information about endangered species independent of AMDAL especially the
official Ministry of Forestry list of endangered species. Procedures for identification and protection
of endangered species. Evidence of
actions take to prevent illegal hunting or trapping by local communities,
workers / contractors. Procedures to control access to the forest
and provide for security. Evidence to demonstrate implementation of procedures:
patrols, guardposts, logbooks, reports.
2.2.2
Guidance: Evidence of trading of CITES-listed species by local
communities or workers / contractors.
Evidence of captured animals (RTE) in villages. Recognition of indigenous legal systems and encouragement of continued customary use
consistent with the Convention on Biological Diversity (see 1.2.2).[3]
3.1.1
Guidance: Documents
of above.
3.1.2 Guidance: Documents of above.
Note: The concept of free and prior informed
consent is part of the Indonesian legal framework and can be found inter alia
within the following laws: National
Environmental Law, Vulnerable Families and Populations Law, UU 41, 1999,
Official Indonesian Ratification of the Convention on Biodiversity (CBD),
Indonesian ratification of the International Human Rights Law.
3.1.1
Guidance: Evidence that company
has conducted a social assessment and has compiled a list of local communities
and their traditional rights.
Documentation of extensive consultation with communities.
3.1.2
Guidance: Management
plans. Evidence that
community input was included in management plan. Provisions should address collection of
non-timber forest products, co-management and benefit sharing, if relevant (PP
34 2002 and SK 4795 2002). Cross-check
management planning process with sample of communities.
3.2.1 Guidance: Company has formal defined agreements with local communities regarding community development (Bina Desa regulations[4]). Cross-check with beneficiary communities on implementation.
3.2.2 Guidance: Company has clear list of obligations to
local communities (Government Regulation No.27 of 1999 in reference to AMDAL
process). Inclusion of such obligations within the AMDAL. Cross-check with beneficiary communities.
3.3.1 Guidance: Workers are not prevented from joining unions or union
members are not discriminated against in employment decisions.
3.3.2 Guidance: Formal agreements
with unions, Records of union meetings and management meetings.
3.4.1 Guidance: All salaries must be equal to or higher than the regional
minimum wage. No worker puts in more than 40 hours a week, plus 12 hours
overtime. Each worker is given 12 days
off per year in addition to national holidays. Evidence that salaries have been paid on time and in
kind benefits actually provided.
3.4.2 Guidance: Company has documented procedures on safety that are
implemented, including, work instructions (Standard Operating Procedures),
proper use of safety equipment, training of staff in its use. Records of accidents are evident as record
that and safety performance is regularly reviewed to identify needs for
improvement.
3.4.3 Guidance: Company has safety equipment for workers that are actually used. Emergency first aid is available on site. Evidence that workers are trained in basic first aid.
3.4.4 Guidance: Company to provide complete records of all staff that include
employee number, registration of date of birth by identity card or birth
certificate.
3.4.5 Guidance: Workers from a range of work classifications, are interviewed to ensure that regulations are followed.
4.1.1 Guidance: Company has geo-corrected maps of the annual working area
that clearly show the boundary at an appropriate scale (1:10,000). Harvest plans are approved by the provincial
or district government as appropriate.
4.1.2 Guidance: Harvest plan (RKT (ILS) IPK) has clearly delineated areas set
aside for protection with GPS coordinates where applicable for ease of
identification in the field.
4.2.1 Guidance: TPTI harvesting system requires (use the Reduced Impact Logging
Guidelines for
§
Tree identification and tagging with tree numbers
of all harvested trees with tags, species, petak number, DBH and estimated bole
length. Potential Crop Trees (PCTs)
above 20 cm are also identified with tags and mapped.
§
Protected trees are marked with yellow tags.
§
Permanent sample plots (PUP) established
§
Buffer zones for roads and watercourses
§
No slopes over 40% to be harvested
§
No logging in Protected Areas, buffer zones,
steep areas above 40%, or cultural sites
§
ILS areas also require boundary to be demarcated
along with any Protection/Conservation Areas.
(SK Menhut 162, 2003).
4.2.2 Guidance: Boundary is cleared with 1-meter brush cutting and trees
are clearly painted along the boundary.
4.2.3 Guidance: All equipment to be registered with the BPK.
4.2.4 Guidance: All trees harvested (as listed in the LHC) are identified
with tags that contain the tree number, log letter, petak no., diameter,
length, species and registered in a BU.
4.2.5
Guidance: Check areas on harvesting plan with actual field situation.
5.1.1
Guidance: receipts of payments for fees and timber extracted are
current for the year. Cross-check with a
sample of harvesting records.
5.1.2 Guidance: receipts of payments for fees are current for the year. Cross-check with a
sample of harvesting records.
Principle 6. Log
Identification, Transfer and Delivery
6.1.1
Guidance: All logs have tags and paint/chisel
markings that are legible.
6.1.2
Guidance:
All logs at log pond have a legible hammer mark.
6.2.1
Guidance: Check sample of logs
against documentation. This criterion only applies if the TPk is located within the
boundaries of the forest management unit.
If not, go to Criterion 6.1.2.
6.2.2 Guidance: Check SKSHH has been
issued inside the boundary of the FMU. Check sample of logs in each transport
node against documentation, according to technical guidelines outlined in
separate standardized audit procedures.
6.2.3 Guidance: formal letter from
the provincial government exempting the company from using authorised
forms. Internal delivery note (Faktur)
during the interim should be cited.
6.2.4 Guidance: check sample of logs
against documentation.
6.3.1 Guidance: valid (year and vehicle type, load capacity) registration License, and documentation stating it is a company owned /contractor vessel or truck to be inspected.
6.3.2 Guidance: valid License (year and vehicle
type, load capacity), and documentation stating it is a company owned
/contractor vessel or truck available at office
and inspected.
6.3.3
Guidance: valid (year and
quantity ) license with registration number and details of transportation
protocols to be inspected.
7.1.1 Guidance: current operating
license available on site for inspection.
7.1.2 Guidance: current plan
available on site for inspection and should be reviewed to ensure legal sources
of wood are identified. Installed
capacity and annual output of the processing facility shall not exceed more
than 30% of the licensed capacity for any category of processed timber.
7.1.3
Guidance: current ETPIK with
current registration number to be inspected.
7.1.4
Guidance: Audited
logs must match their description in the DHH attachment to the SKSHH on file in
the log pond or log yard. In particular,
alphanumeric codes of each sample log must match exactly the code found in the
DHH. If the log originates from a HPH,
it must also match the way it is described in the DHH in terms of species,
diameter (within 5 cm of error), and length (within 10 cm of error).
7.1.5
Guidance: current for documentation.
7.2.1 Guidance: Registration documents to be inspected for validity (signed by MoT and current) plus that they relate to the actual company and vessel.
[1] These
are designed to give clarification to, and to be read in conjunction with, the
corresponding draft of “Principles & Criteria of Legality for Forestry
Operations & Wood Processing in
[2] IPKs not permitted by Ministry of Forestry after 2000
Ministerial Decree No.
691/KPTS-II/91HPH Bina Desa Hutan (Community Development in Timber Concessions)
[3] Convention on Biological Diversity Article 10(c) obliges States, “as far as possible and as appropriate” to “protect and encourage customary use of biological resources in accordance with traditional cultural practices that are compatible with conservation or sustainable use requirements.”
[4] Ministerial Decree No. 691/KPTS-II/91HPH Bina Desa Hutan (Community Development in Timber Concessions)