PEFC GD 1007
PEFC/01-00-01

Endorsement and Mutual Recognitionof Certification Systems
and their Revision

PEFC
PROCEDURE
DOCUMENTPEFC Council
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Copyright notice© PEFC Council 2017
This PEFC Council document is copyright-protected by the PEFC Council. This document is freely
available from the PEFC Council website or upon request.
No part of this document covered by the copyright may be changed or amended; reproduced or copiedin any form or by any means for commercial purposes without the permission of the PEFC Council.
The only official version of this document is English. Translations of this document can be provided
by the PEFC Council or PEFC National Governing Bodies. In case of any doubt the English version
is definitive.

Document name: Endorsement and Mutual Recognition of National Systems and their Revision
Document title: PEFC GD 1007
Approved by: PEFC Board of Directors		

Date: 2017-10-06

Issue date: 2017-11-01
Date of entry into force: 2017-11-01

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision2

Contents

1.

Scope. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

2.

Normative references. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

3.

Definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

4.

Principles of the endorsement and mutual recognition process. . . . . . . . . . . . . 8

5.

PEFC Sustainability Benchmark. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

6.

The assessment process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
6.1

Steps in the assessment process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

6.2

General assessment elements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

6.3

Types of assessment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
The endorsement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

7.
7.1

General. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

7.2

Endorsement decision. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

7.3

Maintaining the endorsement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

7.4

Suspension and termination of endorsement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

7.5Transition of revised applicant system.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

7.6

Communication of the endorsement decision. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

7.7

Complaints and appeals. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

Appendix 1: Appointment of independent PEFC Registered Assessors. . . . . . . . . . . . . . . . . . . . . 23
Appendix 2: The Assessment report. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision3

Foreword
The PEFC Council (Programme for the Endorsement of Forest Certification) is a worldwide organization
promoting sustainable forest management through forest certification and labelling of forest based
products. Products with the PEFC claim and / or label deliver confidence to customers and end consumers
that the raw material originates in sustainably managed forests.
The PEFC Council provides endorsement of national forest certification systems which are required tocomply with the PEFC Council’s requirements subject to regular evaluations.

Introduction
PEFC claims made on forest management and on forest based products provide information relating
to sustainably managed forests and the origin of those forest based products from which originate insustainably managed forests and recycled sources and other non-controversial sources.
Purchasers and potential purchasers can use this information in choosing the product based onsustainability, as well as other considerations.
PEFC strictly follows a bottom-up approach; forest certification systems are developed at the regional,
national or sub-national level and represented by a National Governing Body (NGB).
To enable the PEFC claims to be used on a worldwide basis the endorsement and mutual recognition
process ensures the consequent implementation of PEFC International Standards and Guidelines atregional, national or sub-national levels.
The goal of the PEFC Endorsement and Mutual Recognition process is to provide stakeholders withaccurate and verifiable information on the reliability of PEFC certification systems worldwide.
This guideline has been developed in an open, transparent, consultative and consensus based process
covering a broad range of stakeholders.
This guideline has two appendices:
Appendix 1: Appointment of independent PEFC Registered Assessors
Appendix 2: The assessment report
The PEFC Standard and System Requirements Checklist is available separately. The completed checklist ispart of the application for endorsement and can be used as a supportive tool in the assessment. The latest
version of this checklist is available at the PEFC Council Secretariat.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision4

1. ScopeThis document describes the requirements for the endorsement and mutual recognition process of new,reviewed, revised and/or amended systems and refers to PEFC Standards and Guidelines. The process
consists of an independent assessment and an endorsement decision.
The endorsement of a system means that the members of the PEFC Council have determined that thesystem meets the requirements of the PEFC Council. The endorsement procedure ensures that themembers vote on each other’s systems. Therefore, the member of the PEFC Council recognize each other’ssystems under the PEFC Council mutual recognition umbrella.
Rules for endorsement of forest certification and chain of custody standards and systems guide theassessment and decision-making in the process. The rules harmonize the documentation of the system andapplications, as well as the assessment processes, carried out by independent assessors.
They also set the framework for the endorsement decision-making process in the PEFC Council and thus
provide fairness and equity for all applicants.
This document is normative for National Governing Bodies seeking endorsement and mutual recognition of
their applicant system by the PEFC Council.

2. Normative references
The following referenced documents are indispensable for the application of this document. Any dated
references are the particular original documents. For the purpose of the application of this Guide, thecurrent version of referenced documents is relevant.

PEFC ST 1001, Standard Setting – Requirements (available from www.pefc.org)
PEFC ST 1003, Sustainable Forest Management – Requirements (available from www.pefc.org)
PEFC ST 1002, Group Forest Management Certification – Requirements (available from www.pefc.org)
PEFC ST 2002, Chain of Custody of Forest Based Products – Requirements (available from www.pefc.org)
PEFC ST 2003, Requirements for Certification Bodies operating Certification against the PEFC International
Chain of Custody Standard
PEFC GD 1004, Administration of PEFC scheme, chapter 8 (available from www.pefc.org)
TD Annex 6 (Certification and Accreditation Procedures) (available from www.pefc.org)
PEFC ST 2001, PEFC Logo usage rules – Requirements (hereinafter PEFC Logo usage rules)(available from www.pefc.org)
PEFC GL7/2007, PEFC Council procedures for the investigation and resolution of complaints and Appeals(available from www.pefc.org)

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision53. Definitions
For the purposes of this guide, the relevant definitions given in ISO/IEC Guide 2 and ISO 9000 apply,
together with the following definitions:

3.1

Amendment to a system

Any alteration of the wording of a system documentation of:a) an endorsed systemb) an applicant system which was submitted for assessment.

3.2

Applicant systema) a national or subnational forest certification system submitted for assessment against PEFC
requirements by, or on behalf of, the relevant NGB.
b) a regional, i.e. supranational, forest certification system submitted for assessment against
PEFC requirements by, or on behalf of, the NGB of the country where the PEFC authorized body
responsible for the system’s administration is located.

3.3

Editorial changes

Changes to a system that do not alter the technical content.
Note: This can include clarifications, guidance and grammatical changes.

3.4

Endorsed system

An applicant system that received endorsement and mutual recognition from the PEFC Council.

3.5

Endorsement and mutual recognition

The endorsement of a system means that the members of the PEFC Council have determined that thesystem meets the requirements of the PEFC Council. The endorsement procedure ensures that themembers vote on each other’s system. Therefore the members of the PEFC Council recognize each other’ssystems under the PEFC Council mutual recognition umbrella.

3.6

Forest certification system

The set of standards and related procedures necessary to carry out forest certification activities.
Note: A forest certification system consists of one or more forest management standards, a chain ofcustody standard and all other standards and documents necessary to carry out certification activities suchas certification and accreditation procedures, standard development requirements etc.

3.7

National Governing Body

The National Governing Body (NGB) member of the PEFC Council.

3.8

PEFC Sustainability Benchmark

The PEFC Council standards and documents including the requirements, with which an applicant systemseeking endorsement and mutual recognition needs to comply.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision

6

3.9

Review date

The date by which the review of a system shall have started (see PEFC ST 1001, Chapter 8).
The review date is five years from the approval date included in the forest management standardof the endorsed system.

3.10

Review of a system

The activity of identifying whether a system meets the demands and requirements of the system owner,
stakeholders, customers etc. The review of a system can result in a revision of a system.

3.11

Revision of a system

An amendment to a system following a review of a system.

3.12

System documentation

The technical documents of an applicant system or an endorsed system, relevant for PEFC assessmentand endorsement.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision74. Principles of the endorsement and mutual recognition process
The process is governed by the following basic principles:• The PEFC Council Standards, setting out the requirements for regional, national or sub-national
systems, are transparent and widely communicated.
• The application for endorsement and mutual recognition is made by, or on behalf of, a NGB.
• The endorsement and mutual recognition of applicant systems and standards relies on their
independent assessment.
• The assessment process is transparent and consultative.
• Assessment results and the assessment reports are made publicly available by the PEFC Council.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision85. PEFC Sustainability Benchmark
The objective of the endorsement process is to determine whether an applicant system meets the PEFC
Sustainability Benchmark. The applicant system, submitted for PEFC Council endorsement and mutual
recognition shall demonstrate conformance with the following PEFC requirements:• the content of the (regional, national or sub-national) forest management certification standard(s) shallmeet the requirements of PEFC ST 1003, Sustainable Forest Management – Requirements;• standard setting procedures and the standard setting process that was carried out shall meet therequirements of PEFC ST 1001, Standard Setting – Requirements;• where group certification of forest management is part of the system, the group certification
model shall meet the requirements of PEFC ST 1002, Group Forest Management Certification –Requirements;• any system specific chain of custody standard(s) shall meet the requirements of PEFC ST 2002,
Chain of Custody of Forest Based Products – Requirements;• the system’s administrative procedures shall meet the following requirements:• for notification of certification bodies: PEFC GD 1004, Administration of PEFC scheme,
chapter 5;• for PEFC logo licensing: PEFC GD 1004, Administration of PEFC scheme, chapter 6;• for complaints and dispute resolution: PEFC GD 1004, Administration of PEFC scheme,
chapter 8;• the procedures for certification and accreditation shall meet the requirements of:• TD Annex 6 (PEFC ST 1004), Certification and Accreditation Procedures, for forest management
certification;• PEFC ST 2003, Requirements for Certification Bodies operating Certification against the PEFC
International Chain of Custody Standard, for chain of custody certification.
The endorsement and mutual recognition of an applicant system is limited to those system documents thatcan be assessed against (a part of) the PEFC Sustainability Benchmark.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision96. The assessment process
6.1

Steps in the assessment processThis chapter describes the steps of the assessment process. Figure 1 provides a chronological overview
of a typical assessment process. The actual assessment scope and process depend on the nature ofapplication submitted by the NGB and are specified for each assessment type in chapter 6.3.
Figure 1: (Estimated) Duration (in weeks) and order of the steps in assessment process.
1

2

3

4

5

6

7

8

9

10 11 12 13 14 15 16 17 18 19 20 21 22

Pre-check
International Public Consultation
Call for Tenders
Assessor Selection
Assessment Contract
Assessment Start*
Stakeholder Survey
Draft Report
Commenting Period
Final Draft Report
Internal Review
Final Report* After payment of the assessment fee by the NGBTime defined in GD 1007

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision

Time not defined in GD 1007

10

6.1.1 Roles and responsibilities
The different activities in the process are carried out by various actors. Table 1 describes the mostimportant aspects of the roles/tasks of particular actors.
Table 1: Role / main tasks of actors in the endorsement process.
Actor

Description of the role / the main tasks

PEFC Council
General Assembly

The PEFC Council´s highest decision making authority is responsible for the firstendorsement decision on applicant systems.

PEFC Council
Board of Directors

Responsible for ensuring the assessment is sound and completed according to
PEFC requirements, and that the recommendations are logical and consistent.
On being satisfied, makes a recommendation to the General Assembly with regard
to the first endorsement of an applicant system.
Responsible for the decision on suspension or termination of the endorsement ofan endorsed system.

PEFC Council
Secretary General

Responsible for confirming that the NGB has met the milestones in order to keep
their endorsement.

National
Governing Body

Preparation of the applicant system documentation.
Application for endorsement.
Ensuring the endorsed system remains in compliance with the PEFC Sustainability
Benchmark.

PEFC Registered
Assessor

Solely responsible for the independent assessment of the system with regard to
the compliance with the PEFC Sustainability Benchmark.
Making a recommendation to the PEFC Council Board of Directors concerning theendorsement of a system.

PEFC Council
Secretariat

Coordination of the involved actors.
Managing the international consultation including the invitation of stakeholder toprovide comments.
Quality assurance of the overall endorsement process.
Training of the PEFC Registered Assessors.
Evaluation and verification of (evidence demonstrating) compliance with theendorsement milestones.

Stakeholders

Stakeholders have the opportunity to provide comments on the applicant system
during the 60 day international consultation.
Stakeholders involved in the development of the applicant system are encouraged
to respond to the assessor’s “stakeholder involvement survey”.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision116.1.2Scope

The assessment may consist of the following elements:a) A general analysis of the structure of the applicant systemb) An assessment of the standard setting procedures against PEFC ST 1001, Standard Setting –Requirementsc) An assessment of the standard setting process, including a stakeholder survey, against PEFC ST
1001, Standard Setting – Requirementsd) An assessment of the forest certification standard(s) against PEFC ST 1003, Sustainable Forest
Management – Requirementse) An assessment of the group certification model against PEFC ST 1002, Group Forest Management
Certification – Requirementsf)

An assessment of any system specific chain of custody standard(s) against PEFC ST 2002, Chainof Custody of Forest Based Products – Requirementsg) An assessment of the procedures for notification of certification bodies against PEFC GD 1004,
Administration of the PEFC scheme, chapter 5h) An assessment of the procedures for logo licensing against PEFC GD 1004, Administration of
PEFC scheme, chapter 6i)

An assessment of the complaints and dispute resolution procedures against PEFC GD1004,
Administration of PEFC scheme, chapter 8j)

An assessment of the forest management certification and accreditation procedures against
TD Annex 6 (Certification and Accreditation Procedures)k) An assessment of the chain of custody certification and accreditation procedures against PEFC ST
2003, Requirements for Certification Bodies operating Certification against the PEFC International
Chain of Custody Standardl)

Any other aspects affecting the applicant system’s compliance with the PEFC Sustainability
Benchmark.

The assessment does not cover any other documents from the applicant system for which no PEFC
benchmark exists.

6.1.3

Application

The application for the endorsement and mutual recognition of the applicant system shall be submitted to
the PEFC Council Secretariat in electronic format, and shall include the English translations of the following
documents if applicable (see Chapter 6.3):a) Written request for assessment from the NGB. In case of a regional applicant system proof of
support from the NGB of any other country where the system is operating,b) System description,c) Standard setting procedures,d) Development report, including:a.

A summary of the standard setting process with timetable.

b.

List of stakeholders identified in the stakeholder mapping (contact details, preferably email
addresses, shall be available to the assessor).

c.

Information on the announcement of the process and the invitation to stakeholders,

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision

12

d.

Synopsis of comments from the public consultation(s),e.

Evidence on the consensus, including a summary of presented oppositions and theirresolution,f.

A summary of major changes and justification (for revised standards)e) Certification criteria for forest certification (Forest Management Standard(s) and related
documents),f)

Group certification model description,g) Requirements for chain of custody certification (chain of custody standard),h) Administrative procedures concerning:g. PEFC logo licence issuance;h.

notification of certification bodies;i.

dealing with complaints,i)

Description of certification and accreditation procedures with relevant references to international
standards defining the competence requirements for auditors and certification bodies,j)Completed PEFC Standard and System Requirements Checklist.

Note: For an efficient assessment the NGB should also consider providing other relevant minutes,
contracts, etc. verifying information in the system documentation. These records can be submitted in thenative language. The assessor can request translations of specific parts of records necessary for theassessment decision.

6.1.4

Acceptance of an application

Once an application has been received, the PEFC Council Secretariat shall check the application forcompleteness and verify whether the NGB’s membership is financially in good standing, before accepting
the application.

6.1.5

International consultation

Once an application has been accepted, PEFC Council Secretariat will start an international consultation.
The start of the consultation is announced on the PEFC Council’s website.
The minimum time for the international consultation is 60 days.
At the start of the consultation the PEFC Council Secretariat shall organize a webinar in which the NGB will
present the applicant system. This webinar shall include at least a summary of the standard setting process,the general system structure and functioning and an overview of the major changes in case of a revision.
The PEFC Council Secretariat encourages all National Governing Bodies, other national and international
stakeholders with an interest, to provide comments to the assessors on the applicant system.
PEFC Council Secretariat’s current stakeholder map (including all stakeholders in the PEFC system) shallalso be used to directly invite participation in the consultation.
The assessor shall report on the participation of stakeholders in the consultation.
The results of the international consultation shall be evaluated by the assessor carrying out the assessment,
and their consideration included in the final assessment report.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision13

6.1.6

Stakeholder involvement survey

As part of the assessment of the standard setting process, the assessor shall conduct a stakeholder
survey to check the basic contents of the development report about the involvement of stakeholders in thestandard setting process.
The survey shall be sent to all stakeholders who participated in the standard development process andat least a representative number of stakeholders from stakeholder groups identified in the stakeholder
mapping by the standardizing body.

6.1.7

Preparation of the Draft Report

The input for the preparation of the Draft Report consists of the submitted system documentation and thecomments and/or feedback from the international consultation and stakeholder involvement survey.
Based on the input the assessor shall determine the compliance of the applicant system with therequirements of the PEFC Sustainability Benchmark, providing clear assessment decisions against all
applicable requirements.
The development of the Draft Report should not exceed a period of 5 weeks and the structure of the reportshall follow the structure as described in appendix 2.
The Draft Report shall be forwarded to the NGB and the PEFC Council Secretariat.

6.1.8

Comments and amendments by the NGB

Based on the Draft Report the NGB can provide additional information and comments. The NGB can also
make necessary changes to the applicant system documentation during the assessment process if thesechanges do not affect the time scale of the assessment. If more time is necessary, the NGB can request aninterruption as outlined in clause 6.1.13.
The PEFC Council Secretariat can also provide comments to the assessor and the applicant within thecomment period.
The comment period should not exceed three weeks, with any variation subject to agreement between the
NGB, the PEFC Council Secretariat and the assessor.
If the Final Draft Report or Final Report contains new nonconformities not presented in the Draft Report,
the NGB shall have opportunity to provide additional comments and evidence. The PEFC Council
Secretariat will notify the NGB and agree on a timeline for commenting.

6.1.9

Field Assessment

A visit to the system’s region of operation to gather information about the applicant system and interview
the NGB, and relevant stakeholders, shall be required in the case of the initial assessment of a system. In
other assessments, a field assessment can be requested by the NGB or the PEFC Council Secretariat, or
recommended by the assessor in the tender proposal.
The PEFC Council Secretariat shall decide on including a field assessment in assessments other than initialassessments.
Note: The field assessment should take place during the comment period (see 6.1.8)

6.1.10 Preparation of the Final Draft Report
The Draft Report shall be developed into a Final Draft Report.
The input for the preparation of the Final Draft Report consists of evidence, comments or clarification
received from the NGB, the findings from the field assessment and any comments from the PEFC
Council Secretariat.
PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision14Based on the input the assessor shall review the assessment decisions in the Draft Report and include any
revised assessment decisions in the Final Draft Report
The development of the Final Draft Report should not exceed a period of three weeks.
The Final Draft Report follows the structure described in Appendix 2.
The Final Draft Report shall be forwarded to the PEFC Council Secretariat.
The PEFC Council Secretariat shall forward the Final Draft Report to the NGB.

6.1.11 Internal Review
The PEFC Council Secretariat shall review the Final Draft Report for quality assurance. The internal review
period should not exceed two weeks.

6.1.12 Preparation of the Final Report
The Final Draft Report shall be developed into a Final Report.
The input for the preparation of the Final Report consists of the comments from the internal review.
The assessor shall respond to the comments from the internal review by clarifying the issue in question
or revising the report accordingly. The assessor shall include the comments of the internal review andthe responses in an appendix to the assessment report that will be publicly available when the report ispublished.
The preparation of the Final Report should not exceed a period of two weeks.
The Final Report follows the structure described in Appendix 2.
The Final Report shall be forwarded to the PEFC Council Secretariat.
The PEFC Council Secretariat shall forward the Final Report to the NGB.

6.1.13 Interruption of the assessment process
On request of the NGB, or by its own decision, the PEFC Council Secretariat can interrupt the assessment
process.
The assessment process can be interrupted after the submission of the Draft Report or the Final Draft
Report. It allows the NGB to make necessary changes to the system documentation or to submit additional
evidence in cases where this would significantly affect the time scale of the assessment process
The assessment process can continue after a confirmation by the PEFC Council Secretariat based on
submission of the revised documents and/or other evidence.
Upon receipt of revised documents and/or other evidence, the assessor may determine the additional
assessment time required for the consideration of the documentation.
Any additional assessment fee resulting from the interruption shall be agreed upon by the PEFC Council
Secretariat and the assessor and shall be covered by the NGB.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision

15

6.2

General assessment elements

6.2.1

PEFC Registered Assessors

Assessments shall be carried out by an independent, PEFC Registered Assessor. Procedures for theselection and appointment of an assessor are described in Appendix 1.
Note: An evaluation of editorial changes is carried out by the PEFC Council Secretariat.

6.2.2

Assessment decisions

The independent assessor checks the available documentation of the applicant system against theapplicable requirements of the PEFC Sustainability Benchmark and makes an assessment decision against
each requirement. The assessor can make three different decisions:
Major nonconformity:

The nonconformity against a specific PEFC requirement has a high impact
on achieving the intended outcome of the PEFC Sustainability Benchmark.

Minor nonconformity:

The nonconformity against a specific PEFC requirement has a low impact
on achieving the intended outcome of the PEFC Sustainability Benchmark.

Conformity:

A procedure described by the system documentation fully meets theparticular requirement of the PEFC Sustainability Benchmark.

All assessment decisions shall be clearly justified.
Note: An assessment decision is based on the intended outcome of the applicable document from thePEFC Sustainability Benchmark. For example, achieving balanced representation in standard setting(ST 1001), or carrying out independent and impartial conformity assessment (ST 2003).

6.2.3

Recommendation by the assessor

The final result of an assessment is the assessor’s recommendation whether to endorse, or maintain theendorsement of, the applicant system.
The endorsement recommendation can include conditions for endorsement. Such conditions shall be clear
with regard to content and date for implementation (whether before or subsequent to endorsement).
Depending on the type of nonconformity, the following conditions apply:• A major nonconformity does not allow endorsement and shall be corrected before the endorsement of
the system.
• For a minor nonconformity, the assessor recommends appropriate corrective action. A minor
nonconformity should be corrected within 6 months. The assessor may recommend a longer period
where justified by particular circumstances.
• Multiple minor nonconformities can result in a recommendation that minor nonconformities shall becorrected before the endorsement of the applicant system.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision

16

6.3

Types of assessment

The scope and process of the assessment depends on the nature of the application submitted by the
NGB. The steps of the assessment process are described in detail in chapter 6.1. There are five different
assessment types:
1. Assessment of a new system (Chapter 6.31)
2. Assessment of a revised system (Chapter 6.3.2)
3. Assessment of a reaffirmed system (Chapter 6.3.3)
4. Assessment of amendments (Chapter 6.34)
5. Evaluation of editorial changes (Chapter 6.3.5)
Based on the nature of the application the PEFC Council Secretariat determines the applicable assessment
type.
The following chapters 6.3.1 – 6.3.5 explain the general process and specific scope and application
requirements for each assessment type. Table 2 further specifies which steps of the assessment process ofchapter 6.1 are applicable for each assessment type.
Table 2: Applicable steps in the assessment process for each assessment type.
New System

Revised
SystemReaffirmed
SystemAmendments

Editorial
Changes

Pre-check

Yes

Yes

Yes

Yes

Yes

International
consultation

Yes

Yes

No

No

No

Stakeholder survey

Yes

Yes

Yes

If applicable

No

Draft Report

Yes

Yes

Yes

Yes

No

Comment period

Yes

Yes

Two weeks

Two weeksNo

Field assessment

Yes

If requested

No

No

No

Final Draft Report

Yes

Yes

Yes

Yes

No

Internal Review

Yes

Yes

Yes

Yes

No

Final Report

Yes

Yes

Yes

Yes

No

Interruptions

Yes

Yes

No

No

No

6.3.1

Assessment of a new system

This assessment type applies to an applicant system or (new) standard submitted for a first endorsement. It
is considered as a “full assessment” and it includes the all items of the assessment scope and all elementsof the assessment process.
Scope
The assessment includes all elements of clause 6.1.2.
Application
The application includes all elements of clause 6.1.3.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision176.3.2

Assessment of a revised system

This assessment type applies to applicant systems that have been revised as a result of the periodic review(see PEFC ST 1001, Chapter 8, 9). In case the scope of the system was extended with a new standard, the
new standard shall be assessed following the assessment of a new system (see 6.3.1).
This assessment can be limited to an assessment of the changes, rather than assessing the applicant
system against the full PEFC Sustainability Benchmark. In that case, for the other parts of the
documentation, the comparison with the previously endorsed system will confirm the absence of any nonreported changes.
Scope
There are two options for the assessment of a revised system:
1. An assessment against the full benchmark, including all elements of clause 6.1.2.
2. An assessment of the changes introduced in the revision of the application, consisting of:• An assessment of changes in the revised applicant system against the applicable parts of thePEFC Sustainability Benchmark as described in 6.1.2
With additionally,• An assessment against specific (official PEFC interpretations of) requirements of the PEFC
Sustainability Benchmark introduced after the previous assessment if applicable.
• A comparison of all submitted documents with the previously endorsed version to exclude nonreported changes.
The NGB may apply for an assessment against the full benchmark or an assessment of changes. The
PEFC Council Secretary General can decide, in specific cases, that the assessment is carried out against
specific parts of the PEFC Sustainability Benchmark and not limited to an assessment of changes.
Application
The application includes all elements of clause 6.1.3.
In case of an assessment of changes, for each revised document a version with marked changes comparedto the previously endorsed version shall be included. The changes shall be highlighted in the PEFC
Standard and System Requirements Checklist.

6.3.3

Assessment of a reaffirmed system

This assessment type applies to applicant systems that have been reaffirmed (i.e. no changes in the system
documentation) as a result of the periodic review (PEFC ST 1001, Chapter 8).
The reaffirmed system shall be submitted by the NGB for assessment.
This assessment is focused on the assessment of the review process (development report) as no changes
were made to the applicant system. An important element is the comparison of the reaffirmed system
documents with the previously endorsed system. This comparison has the purpose to confirm that there are
no changes and it will identify any changes that were not reported.
Scope
The assessment of a reaffirmed system includes:• An assessment of the development report and standard review process (see 6.1.2, c)
With additionally:• An assessment against specific (interpretations of) requirements of the PEFC Sustainability
Benchmark introduced after the previous assessment

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision18

• A comparison of all submitted documents with the previously endorsed version to identify nonreported changes
Application
The application includes all elements of clause 6.1.3.

6.3.4

Assessment of amendments

This type of assessment applies to the following situations occurring between periodic reviews:a) Revisions resulting from a system specific review.
b) Evidence/revisions to comply with changes in the PEFC Sustainability Benchmark.
The revised standards or documents shall be submitted by the NGB for assessment.
Note: “between periodic reviews” also includes the period between the first publication of a new standard and thefirst required periodic review.
Scope
The assessment of amendments includes:• An assessment of amendments and/or a verification of specific system documents against theapplicable elements of clause 6.1.2.
• If applicable, an assessment of the standard setting process (according to the applicant systems
procedures for amendments).
Application
The application includes all amended documents in both a clean version and a version with marked
changes.
In case of an assessment of changes in the PEFC Sustainability Benchmark the PEFC Council Board of
Directors will determine specific assessment procedures using the applicable elements of the assessment
process.

6.3.5

Evaluation of editorial changes

This assessment type applies to editorial changes in the applicant system. The NGB shall submit thechanged or amended documentation to the PEFC Council Secretariat.
The PEFC Council Secretariat will assess the documentation against the PEFC requirements anddetermine whether the changes are editorial changes or amendments.
Where the PEFC Council Secretariat is of the opinion that the changes do not have editorial characterbut amend or change the meaning of existing standards and procedures, the changes will be assessed
according to the “assessment of amendments” (see 6.3.4).
Scope
The evaluation of editorial changes includes:• A verification of the nature of the change (editorial or amendment)• A verification of editorial changes
Application
The application includes all changed documents in both a clean version and a version with marked changes.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision19

7. The endorsement
7.1 General
After finalizing the assessment of an applicant system, based on a first application for endorsement, theapplicant system can be endorsed by the PEFC Council. The endorsement is subject to compliance with therequirements for standard setting and ongoing compliance with the PEFC Sustainability Benchmark. Noncompliance with these conditions results in the suspension or termination of the endorsement.

7.2 Endorsement decision
Based on the result of the external assessment and the recommendation by the assessor, the PEFC Boardof Directors recommends the endorsement of the system to the PEFC General Assembly. The PEFC General
Assembly decides on the endorsement following the PEFC Council Statutes.
If the vote is negative, the NGB can make an appeal to the PEFC Council Board of Directors to have thesystem reconsidered at the next General Assembly.

7.3 Maintaining the endorsement
After being endorsed, the NGB shall keep the endorsed system in conformance with the PEFC Sustainability
Benchmark. There are several endorsement milestones that the NGB shall meet to keep the endorsement.
The milestones are specific dates and relate to the review date, see Figure 2.

Endorsement Milestone

Figure 2: The relation of the review date with the endorsement milestones

Reaffirmation

Review date –ultimate start ofperiodic review

Revision0

Application ofreaffirmed system

Positiverecommendation

Ultimate start ofrevision process

Application ofrevised system

Positiverecommendation

12

24

36

Maximum number of months from Review Date

The PEFC Council Secretariat shall inform the NGB on the deadlines of applicable milestones
without delay.

7.3.1

Endorsement milestones

7.3.1.1 Periodic review• Providing evidence of the start of the periodic review: At the latest by the review date, the NGB
shall have started the periodic review. As proof the NGB shall provide evidence that the publicannouncement was made.
Note: The NGB or standardizing body may decide to directly start a revision process by the date of theperiodic review.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision20

7.3.1.2 Reaffirmed System• Submitting the reaffirmed system: If the periodic review results in the reaffirmation of the system, theNGB shall submit the reaffirmed system for assessment within 12 months after the review date.
• Positive recommendation within 24 months after the review date.

7.3.1.3 Revised System• Providing evidence of the start of a revision process: If the periodic review results in the start of arevision process, the NGB shall provide proof of evidence for having started the revision process
within 12 months after the review date (the evidence is the public announcement of the process).
• Submitting the revised system: the NGB shall submit the applicant system for assessment within 24
months after the review date.
• Positive recommendation within 36 months after the review date.

7.3.1.4 Amendments and editorial changes• Provision of any amendments and/or editorial changes in the system documentation (between periodic
reviews) without delay after approval by the NGB/standardizing body and at least 4 weeks before
putting into force of the document on national level.

7.3.2

Evaluation of endorsement milestones

The evidence is assessed by the PEFC Council Secretariat and confirmed by the PEFC Council Secretary
General. For the assessment, the procedures in chapter 6 of this guide apply.
If an endorsement milestone is not met, the PEFC Council Secretary General shall initiate the suspension
process.

7.3.2

Suspension process

While the endorsement remains valid during the suspension process, the endorsed system is in state ofpending suspension. In case the NGB does not take appropriate action, it shall ultimately result in thesuspension of the endorsement. The process consists of the following steps:
1. Reminder
The PEFC Council Secretariat may send the NGB a reminder about the upcoming expiry of anendorsement milestone. The reminder should be sent20 working days before the expiry of themilestone.
2. Warning
When the endorsement milestone expired, the PEFC Council Secretariat shall send the NGB a formal
written warning, requesting a response from the NGB within 10 working days.
3. Suspension
If the NGB did not take appropriate action within the specified time, the PEFC Council Secretary
General confirms the non-compliance with the endorsement milestones. The suspension of theendorsement shall take effect as of the date of confirmation by the PEFC Council Secretary General.

PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision21

7.4 Suspension and termination of endorsement
The PEFC Council Board of Directors can either suspend (with immediate effect) and/ or terminate (withthree months prior notice) the endorsement of (parts of) the system on behalf of the PEFC Council if evidence
exists that the system or the relevant NGB is not complying with the PEFC Council requirements, rules andprocedures and the violation continues after a written warning has been issued by the Board of Directors.
The suspension of the system’s endorsement will result in certificates issued against the system after thedate of suspension not being considered as PEFC recognized.
The termination of the system’s endorsement will result in certificates issued against the system not being
considered as PEFC recognized. To regain endorsement an endorsement decision by the PEFC Council
General Assembly is required following an assessment of a new system (see 6.3.1).

7.5 Transition of revised applicant system
An applicant system is not covered by endorsement and mutual recognition until a positive endorsement
decision has been made. This also applies to revised systems/standards. In some situations, the application
date (see PEFC ST 1001, 9.4) of the revised system lays before the finalization of the assessment process.
To allow the transition from the currently endorsed system to the revised system in the region/country where
it is implemented, the revised system may be covered by a temporary endorsement under the following
conditions:
1. The NGB shall apply for the temporary endorsement by submitting a written request to the PEFC
Council Secretariat.
2. The NGB shall submit the request at the latest one month before the application date of the revised
forest management standard.
3. The request for temporary endorsement includes an overview of all changes, including a selfassessment how these changes affect compliance with the PEFC Sustainability Benchmark.
4. The application for the assessment of the revised system is submitted in accordance with theendorsement milestone (see 7.3.1.3)
Based on the submitted overview of changes and the self-assessment, the PEFC Council Secretary General
decides on granting the temporary endorsement to the revised system/standard until the assessment process
for the revised system has been finalized. The temporary endorsement should not exceed a period of one year.
The PEFC Secretary General decision shall be communicated to the PEFC Council members and publishedon the PEFC Council web page.

7.6 Communication of the endorsement decision
Endorsement decisions shall be communicated to the PEFC Council members and announced andpublished on the PEFC Council web page. The information on the PEFC web page shall include at least:• The endorsement decision including a brief scope listing the applicant system’s documents andstandards that are covered by the endorsement and clearly listing the ones that are not covered.
• The Final Report from the assessor• The complete documentation of the endorsed system (the final versions of all documents shall bedelivered by the NGB after endorsement)• The next review date

7.7 Complaints and appeals
The NGB that issues a complaint and/or appeal against decisions made by the PEFC Council Secretary
General and/or Board of Directors, shall follow requirements of PEFC GL7/2007, PEFC Council
procedures for the investigation and resolution of complaints and Appeals.
PEFC GD 1007 — Endorsement and Mutual Recognition of Certification Systems and their Revision

22

Appendix 1: Appointment of independent PEFC
Registered Assessors
1. Introduction
The objective of this Informative Guide is to provide procedures governing the appointment and work of
the independent assessors assessing the systems within the process of the endorsement and mutual
recognition of forest certification systems.

2. Role and tasks of independent assessors
The assessment of the applicant system as described in chapter 6 of guide 1007 is carried out by anindependent assessor. The assessor has to carry out all necessary activities to cover the scope of theassessment as described in chapter 6.

3. Independent assessors register
The PEFC Council Secretariat maintains a register of PEFC Registered Assessors, which forms thebasis for the appointment of the assessor for a specific task. The register consists of assessors who are
registered by the PEFC Council Secretariat, as meeting the qualification and/or expertise in the following
categories:• Experience within the forestry sector, on criteria and indicators for sustainable forest management,
chain of custody, certification, accreditation and auditing.
• Competence on the PEFC framework and assessment of certification standards and systems.
• Methodological know-how (criteria, standard setting, implementation arrangements, chain of custody,
accreditation), data collection, verification procedure, a variety of other methods and their relevance inthe assessment process.
• Participation in the PEFC Registered Assessor Training.
Information on the PEFC Registered Assessors is publicly available.

4. Appointment of assessors
4.1 Tender selection
4.1.1

Assessment of new and revised systems

The PEFC Council Secretariat will issue an invitation to tender after accepting the application forendorsement and mutual recognition.
Upon receipt of the invitation to tender, the assessor shall confirm within one week (five working days)
whether they will submit a tender proposal.
The assessor shall submit their proposal within three weeks after receiving the invitation to tender.
The PEFC Council Secretariat will appoint the assessor after having considered the tender proposals.

PEFC GD 1007 — Appendix 1: Appointment of independent PEFC Registered Assessors

234.1.2

Assessment of amendments

In case of an assessment of amendments, if not required otherwise by the PEFC Council Board of
Directors, the PEFC Council Secretariat may appoint the assessor directly without starting a tender process.

4.2 Tender selection
The PEFC Council Secretariat will base the selection of assessors on the consideration of:• The quality of the tender proposal in terms of:• company experience,• the assessment team• the proposed scope and method of work
• The proposed assessment fee
The PEFC Council Secretariat can also take into account feedback from the NGB of the applicant systemon a specific assessor.

4.2.1

Tender quality

The qualities of tenders are defined as follows:• Experience: within forestry sector, on criteria and indicators for SFM, certification and auditing.
Knowledge of the regional/national context would be desirable.
• Assessment team: specific competence of team members on the PEFC framework and assessmentof certification standards and systems.
• Scope and method of work: Scope of the assessment (criteria, standard setting, implementation
arrangements, chain of custody, accreditation), data collection, verification procedure, a variety of othermethods and their relevance in the assessment.

4.2.2

Tender eligibility

Minimum requirements for any eligible tender are the following:• Language: language skills of team members in view of the language skills needed in the assessment.
English is always the reporting language.
• Impartiality: conflicts of interests, vested interests, etc. Any indication of a conflict of interest would
lead to exclusion of the tender.
A basic requirement to ensure impartiality is that the assessor is from a country other than theapplicant system. If the assessor has acted as advisor in the design of the applicant system, she/he
would not qualify for its assessment.
• Other: the relevance and implications of other restrictions are assessed on a case-by-case basison the views of the applicant and the PEFC Council Secretariat. Contextual understanding can be
an advantage.

PEFC GD 1007 — Appendix 1: Appointment of independent PEFC Registered Assessors

24Appendix 2: The assessment report
1. Introduction
This document provides guidance on the scope and minimum elements of the reports on the assessment offorest certification systems to ensure a threshold level of report quality is achieved.
This Appendix is part of the contractual agreements with the appointed independent assessors.

2. Elements of the assessment report
2.1 Overview about the structure
1. Introduction
2. Recommendation
3. Summary of the findings
4. Structure of the system of the proposed applicant system
5. Standard setting procedures
6. Standard setting process
7. Forest Management Standard
8. Group Certification Model
9. Chain of Custody standard
10. Procedures for logo licensing
11. Certification and accreditation arrangements
12. Detailed assessment of the complaints and dispute resolution procedures
13. Annexes
a. PEFC Standard and System Requirements Checklist
b. Results of stakeholder involvement survey
c. Results of international consultationd. Internal review comments
e. Report on the field assessment
f. Any other relevant information
The main body of the assessment report (items 5 - 12 above, or 2.2.5 - 2.2.12 below) shall describe foreach applicable item the basic strengths and weaknesses and important requirements. Nonconformities
shall be explained in detail.
The PEFC Standard and System Requirements Checklist shall include the full assessment results including
clear justification for each assessment decision.

2.2 Contents in detail
2.2.1

Introduction

The report shall include a description of the scope of assessment (including the system documents coveredby the assessment and the type of assessment according to Chapter 6.4), assessment processes, themethodology adopted, a time table of the assessment, a list of all reference documents and other material
and their sources used in the assessment as well as the list of personnel involved in the assessment
process.

PEFC GD 1007 — Appendix 2: The assessment report25

2.2.2

Recommendation to the PEFC Council Board of Directors

The report shall include an explicit statement on the system’s compliance or non-compliance with the
PEFC Council requirements together with the assessor’s recommendation whether to, in the assessor’s
independent opinion, endorse, or maintain the endorsement of, the applicant system.
The recommendation shall include a list of all identified nonconformities.

2.2.3

Summary of the findings

A summary of the report shall include a summary of the assessment findings with an explicit statement of
the overall system compliance or non-compliance(s) with the PEFC Council requirements, and separate
statements of compliance for the following applicable parts of the assessment scope:• Structure of the system of the proposed applicant system (i.e. national PEFC forest certification
system).
• Standard setting procedures and process (PEFC ST 1001, Standard Setting – Requirements)• Forest certification standard(s) (PEFC ST 1003, Sustainable Forest Management – Requirements).
• Group certification model (PEFC ST 1002, Group Forest Management Certification – Requirements)• Chain of custody standard(s) (PEFC ST 2002, Chain of Custody of Forest Based Products –Requirements)• Logo Usage• Complaints and dispute resolution procedures (PEFC GD1004, Administration of PEFC scheme,
chapter 8)• Forest management certification and accreditation procedures (Annex 6 of the PEFC TechnicalDocument)• Chain of Custody certification and accreditation procedures (PEFC ST 2003, Requirements for
Certification Bodies operating Certification against the PEFC International Chain of Custody Standard)• Any other aspects which can affect the applicant system’s compliance with the PEFC Sustainability
Benchmark (e.g. critical information from stakeholder consultation, survey and other annexes).
For any non-compliance whether major or minor, the consequences for the recommendation to the Boardof Directors have to be explained.

2.2.4

General analysis of the structure of the applicant system

The report shall contain a summary of organizations and their functions in the assessed system.
In case of a revised system the summary shall also contain an overview of the major changes andimprovements (based on the information provided in the application).

2.2.5

Detailed assessment of the standard setting procedures against PEFC ST 1001,
Standard Setting – Requirements

The report shall contain a detailed assessment of the standard setting procedures compliance or noncompliance with the PEFC Council requirements as set out in PEFC ST 1001.

PEFC GD 1007 — Appendix 2: The assessment report26

2.2.6

Detailed assessment of the standard setting process against PEFC ST 1001,
Standard Setting – Requirements

The report shall contain a detailed assessment of the forest management and, if relevant, chain of custody
standard setting processes together with evidence, including the results from the stakeholder survey, ofcompliance or non-compliance(s) of the standard setting process with the PEFC Council requirements as
set out in PEFC ST 1001.

2.2.7

Detailed assessment of the forest certification standard(s) against PEFC ST 1003,
Sustainable Forest Management – Requirements.

The report shall include a short description of the structure of a forest management standard(s) and detailed
description, including the assessor’s findings and evidence on the compliance of the standard(s).

2.2.8

Detailed assessment of the group certification model against PEFC ST 1002,
Group Forest Management Certification – Requirements

The report shall include a short description of the group certification model including the assessor’s findings
and evidence on the compliance of the standard(s).

2.2.9

Detailed assessment of the chain of custody standard(s) against PEFC ST 2002,
Chain of Custody of Forest Based Products – Requirements

The report shall include a short description of the structure of the chain of custody standard and a detailed
description of, including assessor’s findings and evidences of the compliance or non-compliance with PEFC
ST 2002.

2.2.10 Detailed assessment of the logo licensing procedures against PEFC GD 1004,
Administration of PEFC scheme, chapter 6
The report shall include a short description of the procedures for logo licensing of the PEFC National
Governing Bodies (for the PEFC Logo only) including structure and level of logo usage fees if applied.

2.2.11 Detailed assessment of certification and accreditation procedures, as defined in
Annex 6 (Certification and Accreditation Procedures)
The report shall include a short description of the organizations and their functions involved in accreditation.
The report shall provide a short description of a developed accreditation model and the usage of ISO
Guides and other ISO normative and system specific documents. The report shall provide findings andevidence of the compliance or non-compliance with Annex 6.

2.2.12 Detailed assessment of the complaints and dispute resolution procedures against
PEFC GD1004, Administration of PEFC scheme, chapter 8
The report shall include a short description of the complaints and dispute resolution procedures provide
findings and evidence of the compliance or non-compliance with the requirements in PEFC GD1004,
Administration of PEFC scheme, chapter 8.

2.2.13 Annexes
PEFC Standard and System Requirements Checklist
The report shall include the PEFC Council Standard Requirements Checklist, which provide the assessor’s
explicit statement on the system compliance for all the questions (YES, NO, N/A), including clear
justification of the assessment decisions. The checklist shall include the relevant quotes from the system
documentation and references to the main part of the assessment report where major or minor noncompliances have been reported.
PEFC GD 1007 — Appendix 2: The assessment report27Note: Including (only) the relevant quotes from the system documentation together with a clear justificationon the assessment decision ensures that the assessment report can be read and understood without theneed to access the system documentation itself.

Results of stakeholder involvement survey
As part of the general analysis of the applicant system the assessor has to conduct a stakeholder survey tocheck the basic contents of the development report about the standard setting process.
The survey shall at least cover all stakeholders who participated in the standard development process anda representative number of stakeholders from stakeholder groups identified in the stakeholder mapping by
the standardizing body
The stakeholders covered, the questionnaire, results and the consequences with regard to the overall
assessment decision shall be documented in an annex to the report. A list of considered stakeholders shallbe included, taking into account confidentiality and the privacy of individuals.
Note: in case the assessor has identified additional stakeholders which are not listed in the stakeholder
mapping, these can be added to the stakeholder survey.

Results of international consultation
The report shall include a list of all parties who submitted comments and summary of the comments madeduring the consultation period as well as a summary of assessor’s responses to the submitted comments.

Internal review comments
The report shall contain the comments from the internal review as well as the assessor´s responses.

Report on the field assessment
The report shall include a summary of the field visit undertaken including individuals and organizations
interviewed and summary of issues and concerns covered.

Any other relevant information
If any additional information is necessary to as proof of evidence for the assessor´s recommendation it
should be added into one or several annexes.

PEFC GD 1007 — Appendix 2: The assessment report28

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