PEFC/01-00-01

PEFC ST 1003:2018

Sustainable Forest Management –Requirements

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Copyright notice© PEFC Council 2018
This standard is protected by copyright owned by the PEFC Council. The document is freely available
from the PEFC Council website www.pefc.org or upon request.
No part of this standard may be changed or amended, reproduced or copied, in any form or by anymeans for commercial purposes without the permission of the PEFC Council.
The official version of the document is in English. Translations of the document can be obtained fromthe PEFC Council or PEFC National Governing Bodies. When there is doubt in regard to language
interpretation, the English version is the reference.

Document name: Sustainable Forest Management – Requirements
Document title: PEFC ST 1003:2018
Approved by: PEFC General Assembly		

Date: 2018-11-14

Issue date: 2018-11-28
Date of entry into force: 2018-11-28

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Contents

1.

Scope. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

2.

Normative references. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

3.

Terms and definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94.

Context of the national standard and the organisations
applying a PEFC endorsed standard. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

5.

Leadership. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

6.

Planning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

7.

Support. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

8.

Operation.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

9.

Performance evaluation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

10.

Improvement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Appendix 1: Guidelines for the interpretation of requirementsin the case of forest plantations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Appendix 2: Guidelines for the interpretation of requirements
for Trees outside Forests (TOF). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Bibliography. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements3Foreword
PEFC, the Programme for the Endorsement of Forest Certification, is a worldwide organisation promoting
sustainable forest management through forest certification and labelling of forest-based products. Productswith a PEFC claim and/or label offer assurances that the raw materials that have been used in their
manufacture originate from sustainably managed forests and Trees outside Forests (TOF) areas, recycled
and controlled sources.
The PEFC Council endorses national and regional forest certification systems that comply with PEFC
Council requirements. Systems are subject to regular evaluations.
This document has been developed using an open, transparent, consultative and consensus-based process
and including a broad range of stakeholders.
This document cancels and replaces the 2010 version of PEFC’s Sustainable Forest Management
requirements (PEFC ST 1003:2010).

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Introduction
The Programme for the Endorsement of Forest Certification (PEFC)
PEFC is a leading global alliance of regional and national forest certification systems. As an independent,
international, non-profit and non-governmental organisation, we are dedicated to promoting sustainable
forest management through independent third-party certification.
PEFC works throughout the entire forest supply chain to promote responsible practices in the forest and toensure that wood and non-wood forest products are produced with respect for the highest ecological, socialand ethical standards. Forest-based solutions offer much promise to achieve a more sustainable world.
At the core of our work is forest certification. With over 300 million hectares 1 of certified forest, PEFC
is the largest forest certification system in the world. We are also the certification system of choice forsmallholders. PEFC was founded by small- and family forest owners based on intergovernmental processes(Ministerial Conference for the Protection of Forest in Europe, the Montreal Process and the ATO/ITTO
process). Ensuring smallholder access to forest certification has always been at the heart of our work.
Owners of relatively small estates face specific challenges and our certification system provides solutions
to tackle these challenges.
It is PEFC’s fundamental belief that forest certification needs to be local; this is why we choose to workwith national organisations to advance responsible forestry. As an umbrella organisation, PEFC endorses
regional or national forest certification systems that have been developed through multi-stakeholder
processes and tailored to local priorities and conditions.
While regional and national systems are developed locally, they need to be recognized internationally.
To ensure consistency with international requirements, all regional and national forest certification systems
undergo rigorous third-party assessment against PEFC’s unique Sustainability Benchmarks before they canachieve endorsement.
PEFC Sustainability Benchmarks – Setting global standards
The development of international standards and guides is at the core of what PEFC does. We call these thePEFC Sustainability Benchmarks. These standards form the basis for nearly all PEFC’s other activities; fromproviding certification solutions to assessing compliance with standard requirements and endorsing national
systems.
Every standard goes through a detailed and rigorous development process and is reviewed after five
years at the latest, and revised if necessary. When developing or revising a standard, we make sure thatstakeholders are invited to participate. This means that there is a representation of diverse stakeholders, so
no single interest can dominate, and that the process is consensus-driven, open and transparent.
PEFC offers a wide variety of opportunities and channels to ensure that everyone interested can be
involved and stay up-to-date. These may include:• Participation in a standard setting working group. Working groups are the most powerful institution in
the process as participants are responsible for the core of the revision work;• Expert Forums, open to the public, to inform the working group;• Regular updates, published on the PEFC website and disseminated through our newsletter and social
media channels, keep everyone informed;• Stakeholder conferences and dialogues may offer further opportunities to contribute to the process;• The enquiry draft is subject to a 60 day global public consultation.

1 As of September 2018

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

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As a membership association, all technical documentation requires formal approval by the PEFC Boardof Directors and the association’s members, the General Assembly. Neither of these two bodies has theability to modify the final draft submitted by the working group; they can only approve or reject it as a whole.
Approved PEFC standards are published on the PEFC website together with a standard development
report, which provides comprehensive information about the development process.
Regional and national forest certification systems - Adapting standards to local conditions
Local adaption of global standards is accomplished through regional and national forest certification
systems. These forest certification systems outline the rules, procedures and management criteria forcarrying out forest certification at regional, national or sub-national level. They include a range of standards
and guides, such as the requirements for sustainable forest management, group certification, standard
setting and many more.
Through its regional and national systems, PEFC can ensure that the sustainable forest management
requirements of each country are tailored to the specific forest ecosystems, the legal and administrative
framework, the socio-cultural context and other relevant factors.
This also ensures that all stakeholders are represented in the process; that they participate in determining
what sustainable forest management means in the context of their country and how it can best be
implemented locally. Issues that are relevant at the local level, but not captured in PEFC’s Sustainability
Benchmarks, are also naturally incorporated into these standards. This is key to the success of PEFC, as
it empowers those managing forests to do so in compliance with the standards that they themselves haveparticipated in developing.
Just like standard setting processes at international level, regional, national or sub-national standards aredeveloped through multi-stakeholder working groups with balanced representation, ideally as defined in
Agenda 21 of the United Nations. These processes need to be consensus driven, open and transparent,with no single interest dominating – and provide ample opportunity for involvement.
PEFC’s endorsement process - Ensuring alignment of regional, national and sub-national
standards with PEFC’s Sustainability Benchmarks
To ensure that our requirements are consistently applied at regional, national and sub-national level, allforest certification systems applying for PEFC endorsement go through a comprehensive and thoroughindependent assessment and quality assurance process. This process takes on average nine months tocomplete, and includes the following elements:
1. An independent assessment that evaluates compliance of the system with PEFC requirements andincludes a global public consultation;
2. A quality assurance process;3. After a system has successfully passed the assessment and quality assurance process, the PEFC
General Assembly votes on its endorsement.
Documentation concerning all endorsed systems, including the full assessment report, is publicly available
on the PEFC website.
Through this process, PEFC can ensure that the standards meet our globally accepted PEFC Sustainability
Benchmarks. In practical terms, this means that wood- or non-wood forest products certified to a forest
certification system are considered PEFC-certified anywhere in the world and when sold via a certified
chain of custody they are eligible to carry our PEFC label. It means also, that forests not managed for wood
production can be recognised as being managed sustainably.

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Certification – Demonstrating compliance with standard requirements
Certification is the actual process of validating that individuals or organisations wishing to obtain PEFC
forest management or chain of custody certification are in compliance with our requirements.
Credible certification requires certification decisions to be impartial, independent and competent. Thismeans that standard setting, certification and accreditation must be completely separate in order toeliminate the risk of conflicts of interest and ensure the highest level of competency:• Standard setting, the process of defining certification requirements in collaboration with stakeholders,is undertaken by PEFC or regional and national forest certification systems.
• Certification, the process of checking whether a forest manager or company fulfils the certification
requirements, is carried out by a certification body.
• Accreditation, the process of assessing the competence of the certification body, is carried out by
an accreditation body with membership within the International Accreditation Forum (IAF) or an IAF
regional accreditation group.
Entities wishing to obtain PEFC certification are required to demonstrate their conformity with PEFC
endorsed standards. If compliance is demonstrated, the certification body issues a certificate valid up to five
years, after which operators must become re-certified.
Additional checks are done through annual surveillance audits to proactively verify on-going compliancewith our requirements. Only if practices and operations continually meet the requirements of PEFC
endorsed standards do entities earn the right to make “PEFC-certified” claims and use the PEFC label.
PEFC is aware that, as with any programme or activity, there may be issues of nonconformity or noncompliance from time to time.
Complaints against certified entities are dealt with by the respective complaints and appeals procedures
put in place by certification bodies. Issues that remain unresolved at this level should be raised with therespective complaints and appeals mechanisms of national accreditation bodies and thereafter - as a thirdlevel of appeal - with the IAF.
If a certified entity does not comply with PEFC’s requirements its certificate can be suspended orwithdrawn. If the certification body, or indeed an accreditation body, is judged to not have dealt witha complaint appropriately, it risks losing its licence to operate.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements7

1. ScopeThis document constitutes PEFC International’s Sustainability Benchmark for PEFC endorsed regional,
national or sub-national standards for the sustainable management of forests and Trees outside Forests,
covering all their products and services. Through PEFC endorsed standards, which are developed ina balanced multi-stakeholder process following PEFC International’s Sustainability Benchmark forstandard setting, the requirements outlined in this document apply to owners and managers, as well as
contractors and other operators operating in PEFC-certified areas. They cover all necessary processes ofa management system that aims at sustainable forest management.
Interpretations for forest plantations are outlined in Appendix 1 to this document.
Interpretations for TOF are outlined in Appendix 2 to this document. All requirements within the standard
referring to “forest” are also applicable to TOF unless otherwise indicated in Appendix 2.

2. Normative references
ILO No. 87, Freedom of Association and Protection of the Right to Organise Convention, 1948
ILO No. 29, Forced Labour Convention, 1930
ILO No. 98, Right to Organise and Collective Bargaining Convention, 1949
ILO No. 100, Equal Remuneration Convention, 1951
ILO No. 105, Abolition of Forced Labour Convention, 1957
ILO No. 111, Discrimination (Employment and Occupation) Convention, 1958
ILO No. 138, Minimum Age Convention, 1973
ILO No. 169, Indigenous and Tribal Peoples Convention, 1989
ILO No. 182, Worst Forms of Child Labour Convention, 1999
ISO/IEC 17021-1, Conformity assessment — Requirements for bodies providing audit and certificationof management systems — Part 1: Requirements
United Nations, United Nations Declaration on the Rights of Indigenous Peoples, 2007
United Nations, Universal Declaration of Human Rights, 1948
Stockholm Convention on Persistent Organic Pollutants, 1998
PEFC ST 1001, Standard Setting – Requirements
PEFC ST 1002, Group Forest Management Certification – Requirements
PEFC GD 1007, Endorsement and Mutual Recognition of National Systems and their Revision
PEFC ST 2002, Chain of Custody of Forest Based Products – Requirements
ISO Guide 2, Standardization and related activities — General vocabulary

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements83. Terms and Definitions
For the purposes of this document the terms and definitions given in ISO/IEC Guide 2 apply together withthe following definitions.

3.1

Affected stakeholder

A stakeholder who might experience a direct change in living and/or working conditions caused by
implementation of a standard, or a stakeholder who might be a user of a standard and therefore is subject
to the requirements of the standard.
Note 1: Affected stakeholders include neighbouring communities, indigenous people, workers, etc.
However, having an interest in the subject matter of the standard (e.g. NGOs, scientific community,
civil society) is not equal to being affected.
Note 2: A stakeholder who might be a user of the standard is likely to become a certified entity,e.g. a forest manager in the case of a forest management standard, or a wood processing enterprisein the case of a chain of custody standard.

3.2

Afforestation

Establishment of forest through planting and/or deliberate seeding on land that, until then, was undera different land use, implies a transformation of land use from non-forest to forest (source: FAO 2018).

3.3

Certified area

The forest area covered by a sustainable forest management system according to the PEFC Sustainable
Forest Management Standard (PEFC ST 1003).

3.4

Degraded forest

Land with long-term significant reduction of the overall potential to supply benefits from the forest, which
includes carbon storage, wood, biodiversity and other goods and services (definition based on FAO 2003).

3.5

Ecologically important forest areas

Forest areasa) Containing protected, rare, sensitive or representative forest ecosystems;b) Containing significant concentrations of endemic species and habitats of threatened species, as
defined in recognised reference lists;c) Containing endangered or protected genetic in situ resources;d) Contributing to globally, regionally and nationally significant large landscapes with natural
distribution and abundance of naturally occurring species.

3.6

Ecosystem services

Benefits obtained from ecosystems. These include provisioning services such as food, water, timber, andfibre; regulating services that affect climate, floods, disease, wastes, and water quality; cultural services
that provide recreational, aesthetic, and spiritual benefits; and supporting services such as soil formation,
photosynthesis, and nutrient cycling (based on Millennium Ecosystem Assessment, 2005).

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3.7

ForestMinimum area of land of 0.05-1.0 hectares with tree crown cover (or equivalent stocking level) of morethan 10-30 per cent with trees with the potential to reach a minimum height of 2-5 metres at maturity insitu. A forest may consist either of closed forest formations where trees of various storeys and undergrowthcover a high proportion of the ground or open forest. Young natural stands and all plantations which have
yet to reach a crown density of 10-30 per cent or tree height of 2-5 metres are included under forest, as
are areas normally forming part of the forest area which are temporarily unstocked as a result of humanintervention such as harvesting or natural causes but which are expected to revert to forest (source: United
Nations 2002).
Note: Each regional, national or subnational standard has to include the specific values for the criteria
in the definition. If such specifications for a country are not yet available, the standardising body is
responsible to set the values according to the national framework.

3.8

Forest conversion

Direct human-induced change of forest to non-forest land or forest plantation.
Note: Regeneration by planting or direct seeding and/or the human-induced promotion of natural seed
sources, to the same dominant species as was harvested or other species that were present in the historical
species mix is not considered a conversion.

3.9

Forest plantation

Forest of introduced species, and in some cases native species, established through planting or seeding,mainly for production of wood or non-wood goods and services.
Note 1: Includes all stands of introduced species established for production of wood or non-wood goods
and services.
Note 2: May include areas of native species characterised by few species, intensive land preparation (e.g.
cultivation), straight tree lines and/or even-aged stands.
Note 3: Application of the definition requires consideration of national forestry terminology and legal
requirements.

3.10

Fundamental ILO conventions

Eight conventions (ILO 29, 87, 98, 100, 105, 111, 138 and 182) identified by the ILO’s Governing Body as“fundamental” in terms of principles and rights at work: freedom of association and the effective recognitionof the right to collective bargaining; the elimination of all forms of forced or compulsory labour; the effective
abolition of child labour; and the elimination of discrimination in respect of employment and occupation.

3.11

Genetically modified trees

Trees in which the genetic material has been altered in a way that does not occur naturally by mating
and/or natural recombination, taking into account applicable legislation providing a specific definition ofgenetically modified organisms.
Note 1: The following techniques are considered as genetic modification resulting in genetically modified
trees (EU Directive 2001/18/EC):
1) recombinant nucleic acid techniques involving the formation of new combinations of genetic
material by the insertion of nucleic acid molecules produced by whatever means outside anorganism, into any virus, bacterial plasmid or other vector system and their incorporation into ahost organism in which they do not naturally occur, but in which they are capable of continued
propagation;

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

102) techniques involving the direct introduction into an organism of heritable material prepared outside
the organism including micro-injection, macro-injection, and micro-encapsulation;3) cell fusion (including protoplast fusion) or hybridisation techniques where live cells with new
combinations of heritable genetic material are formed through the fusion of two or more cells bymeans of methods that do not occur naturally.
Note 2: The following techniques are not considered as genetic modification resulting in geneticallymodified trees (EU Directive 2001/18/EC):
1) in vitro fertilisation;2) natural processes such as: conjugation, transduction, transformation;3) polyploidy induction.

3.12

Integrated Pest Management (IPM)

The careful consideration of all available pest control techniques and subsequent integration of appropriate
measures that discourage the development of pest populations and keep pesticides and other interventions
to levels that are economically justified and reduce or minimise risks to human health and the environment(source: FAO 2018).

3.13

LandscapeA socio-ecological system that consists of a mosaic of natural and/or human-modified ecosystems, witha characteristic configuration of topography, vegetation, land use, and settlements that is influenced by
the ecological, historical, economic and cultural processes and activities of the area (source: Scherr et al.
2013).

3.14

Management plan

Documented information specifying objectives, actions and control arrangements concerning themanagement of ecosystem resources and services for a set period of time.
Note: Depending on local conditions an equivalent documented information or tools can comply withthis function.

3.15

Management system

Set of interrelated or interacting elements of an organisation to establish policies and objectives andprocesses to achieve those objectives.

3.16

Manager

Person who directs and controls an organisation.
Note: A manager may also be a person executing her or his ownership rights or traditional or customary
tenure rights.

3.17

Non-forest ecosystem

Land not meeting the definition of forest.

3.18

Non-wood forest products

Products consisting of goods of biological origin other than wood, derived from forests andTrees outside Forests (source: following FAO 2017).

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3.19 Organisation
Person or group of people that has its own functions with responsibilities, authorities and relationships toachieve its objectives.
Note 1: An organisation applies for PEFC certification and is responsible for the compliance with PEFC
sustainable forest management requirements and can be responsible for several forest management units.
Note 2: A manager or owner can also take the role of an organisation.

3.20

Reforestation

Re-establishment of forest through planting and/or deliberate seeding on land classified as forest (source:
FAO 2018).

3.21

Stakeholder

A person, group, community or organisation with an interest in the subject of the standard.

3.22

Standardising body

Body that has recognised activities in standardisation.
Note: A standardising body for a forest management certification system/standard is a body which is
responsible for the development and maintenance of standards for the forest certification system. The
standardising body can be a PEFC national governing body or the standardising body can be separate
from the governance of the forest certification system.

3.23

Trees outside Forests (TOF)

Trees growing outside areas of nationally designated forest land. Such areas will normally be classified
as “agriculture” or “settlement”.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

124. Context of the national standard and the organisations applying
a PEFC endorsed standard
4.1

GeneralThe requirements for sustainable forest management defined by regional, national or sub-national forest
management standards shall:a) include management and performance requirements that are applicable at the forest management
unit level, or at another level as appropriate, to ensure that the intent of all requirements is achievedat the forest management unit level;
Note: An example of a situation where a requirement can be defined as being at another level(e.g. group/regional) is monitoring of forest health. Through monitoring of forest health at regional
level, and communicating of results at the FMU level, the objective of the requirement is met
without the necessity to carry out the individual monitoring of each forest management unit.
b) be clear, performance based and auditable;c) apply to activities of all forest operators in the defined forest area who have an impact on achieving
compliance with the requirements;d) require record-keeping that provides evidence of compliance with the requirements of the forest
management standards;e) specify “100% PEFC certified”, or another system specific claim, as claim to be used tocommunicate the origin of products in an area covered by the standard to customers with a PEFC
chain of custody;
Note: System specific claims of PEFC endorsed standards and PEFC Council approved
abbreviations of such claims and the claim “100% PEFC certified”, and their translations into
languages other than English, are published online on the PEFC website www.pefc.org.
f)require that where owners/managers of forests are selling products from areas other than coveredby the standard, only products from areas covered by the standard are sold with the claim “100%PEFC-certified” or a system specific claim;g) require that claims on the origin of products in an area covered by the standard are only made byforest owners/managers covered by a PEFC recognised certificate issued against the standard;h) specify requirements concerning the information which need to be provided to a PEFC chain ofcustody certified customer;i)

4.2

include an overview of applicable legislation, if requirements of this benchmark are not reflectedin the regional, national or sub-national standard, because they are already addressed throughthe legislation.

Understanding the needs and expectations of affected stakeholders

The standard requires that the organisation shall determine:a) the affected stakeholders that are relevant to the sustainable forest management;b) the relevant needs and expectations of these stakeholders.

4.3

Determining the scope of the management system

4.3.1

The standard requires that the organisation shall determine the boundaries and applicabilityof the management system to establish its scope.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

134.3.2The standard requires that forest management shall comprise the cycle of inventory and planning,
implementation, monitoring and evaluation, and shall include an appropriate assessment of thesocial, environmental and economic impacts of forest management practices. This shall form a basis
for a cycle of continuous improvement.

5. Leadership
5.1

The standard requires that the organisation shall provide a commitment:a) to comply with the sustainable forest management standard and other applicable requirements ofthe certification system;b) to continuously improve the sustainable forest management system.

5.2

The standard requires that this commitment shall be publicly available.

5.3

The standard requires that responsibilities for sustainable forest management shall be clearly
defined and assigned.

6. Planning
6.1

Actions to address risks and opportunities

6.1.1

The standard requires that the organisation shall consider risks and opportunities concerningcompliance with the requirements for sustainable forest management. Size and scale of theoperations of the organisation shall be considered.

6.1.2

The standard requires that inventory and mapping of forest resources shall be established andmaintained, adequate to local and national conditions and in correspondence with the requirements
described in this international benchmark standard.

6.2

Management plan

6.2.1

The standard requires that management plans shall be:a) elaborated and periodically updated or continually adjusted;b) appropriate to the size and use of the forest area;c) based on applicable local, national and international legislation as well as existing land-use or otherofficial plans; andd) adequately covering forest resources.

6.2.2

The standard requires that management plans shall take into account the different uses orfunctions of the managed forest area.

6.2.3

The standard requires that management plans shall include at least a description of the current
forest management unit, long-term objectives, and the average annual allowable cut, including its
justification.

6.2.4

The standard requires that the annually allowable use of non-wood forest products shall be
included in the management plan where forest management covers commercial use of non-woodforest products at a level which can have an impact on their long-term sustainability.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

146.2.5The standard requires that management plans specify ways and means to minimise the risk ofdegradation and damage to forest ecosystems.

6.2.6

The standard requires that management plans shall take into account the results of scientificresearch.

6.2.7

The standard requires that a summary of the management plan, appropriate to the scope andscale of forest management, shall be publicly available and shall include information on the generalobjectives and forest management principles.

6.2.8

The standard requires that the publicly available summary of the management plan may exclude
confidential business and personal information and other information made confidential byapplicable legislation or for the protection of cultural sites or sensitive natural resource features.

6.3

Compliance requirements

6.3.1

Legal compliance6.3.1.1 The standard requires that the organisation shall identify and have access to the legislation
applicable to its forest management and determine how these compliance obligations apply to theorganisation.
Note: For a country which has signed a FLEGT Voluntary Partnership Agreement (VPA) between
the European Union and the producing country, the “legislation applicable to forest management”
is defined by the VPA agreement.

6.3.1.2 The standard requires that the organisation shall comply with applicable local, national andinternational legislation on forest management, including but not limited to forest management
practices; nature and environmental protection; protected and endangered species; property, tenure
and land-use rights for indigenous peoples, local communities or other affected stakeholders;
health, labour and safety issues; anti-corruption and the payment of applicable royalties and taxes.
6.3.1.3 The standard requires that where no anti-corruption legislation exists, the organisation must takealternative anti-corruption measures appropriate to the risk of corruption.
6.3.1.4 The standard requires that measures shall be implemented to address protection of the forestfrom unauthorised activities such as illegal logging, illegal land use, illegally initiated fires, and otherillegal activities.
6.3.2

Legal, customary and traditional rights related to the forest land

6.3.2.1 The standard requires that property rights, tree ownership and land tenure arrangements shallbe clearly defined, documented and established for the relevant management unit. Likewise,
legal, customary and traditional rights related to the forest land shall be clarified, recognised andrespected.
Note: Guidance for the handling of tenure arrangements can be obtained from the FAO Voluntary
Guidelines on the Responsible Governance of Tenure of Land, Fisheries and Forests in the Context
of National Food Security.

6.3.2.2 The standard requires that forest practices and operations shall be conducted in recognition of
the established framework of legal, customary and traditional rights such as outlined in ILO 169
and the UN Declaration on the Rights of Indigenous Peoples, which shall not be infringed upon
without the free, prior and informed consent of the holders of the rights, including the provision
PEFC ST 1003:2018 — Sustainable Forest Management – Requirements15

of compensation where applicable. Where the extent of rights is not yet resolved, or is in dispute,
there are processes for just and fair resolution. In such cases forest managers shall, in the interim,
provide meaningful opportunities for parties to be engaged in forest management decisions whilst
respecting the processes and roles and responsibilities laid out in the policies and laws where thecertification takes place.

6.3.2.3 The standard requires that forest practices and operations shall respect human rights as defined by
the Universal Declaration on Human Rights.
6.3.3

Fundamental ILO conventions

6.3.3.1 The standard requires that forest practices and operations shall comply with fundamental ILO
conventions.
Note: In countries where the fundamental ILO conventions have been ratified, the requirementsof 6.3.3.1 apply. In countries where a fundamental convention has not been ratified and its content
is not covered by applicable legislation, specific requirements shall be included in the forest
management standard.

6.3.4

Health, safety and working conditions

6.3.4.1 The standard requires that forest operations shall be planned, organised and performed in a mannerthat enables health and accident risks to be identified and all reasonable measures to be applied
to protect workers from work-related risks. Workers shall be informed about the risks involved with
their work and about preventive measures.
6.3.4.2 The standard requires that working conditions shall be safe, and guidance and training in safe
working practices shall be provided to all those assigned to a task in forest operations. Working
hours and leave shall comply with national laws or applicable collective agreements.
Note: Guidance for specifying national standards can be obtained from the ILO Code of Good
Practice: Safety and Health in Forestry Work.

6.3.4.3 The standard requires that wages of local and migrant forest workers as well as of contractors andother operators operating in PEFC-certified areas shall meet or exceed at least legal, industry
minimum standards or, where applicable, collective bargaining agreements.
Note: Where wages are below the living wage of a country, steps should be taken to attain
increased wages towards a living wage level over time in addition to increases for inflation.

6.3.4.4 The standard requires that the organisation is committed to equal opportunities, non-discriminationand freedom from workplace harassment. Gender equality shall be promoted.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

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7. Support
7.1

Resources

7.1.1

The standard requires that the organisation shall determine and provide the resources needed
for the establishment, implementation, maintenance and continual improvement of the sustainable
forest management system.

7.2

Competence

7.2.1

The standard requires that forest managers, contractors, employees and forest owners shall be
provided with sufficient information and kept up-to-date through continuous training in relation
to sustainable forest management, as a precondition for all management planning and practices
described in this benchmark.

7.3

Communication

7.3.1

The standard requires that effective communication and consultation with local communities,
indigenous peoples and other stakeholders relating to sustainable forest management shall be
provided.

7.4

Complaints

7.4.1

The standard requires that appropriate mechanisms are in place for resolving complaints anddisputes relating to forest management operations, land use rights and work conditions.

7.5

Documented Information

7.5.1

The standard requires that the organisation’s management system shall include documented
information required by the standard and determined by the organisation as being necessary forthe effectiveness of the sustainable forest management system.

7.5.2

The standard requires that the documented information is relevant, and updated as appropriate, tothe activities of the organisation.

8. Operation
8.1

Criterion 1: Maintenance or appropriate enhancement of forest resources andtheir contribution to the global carbon cycle

8.1.1

The standard requires that management shall aim to maintain or increase forests and theirecosystem services and maintain or enhance the economic, ecological, cultural and social valuesof forest resources.

8.1.2

The standard requires that the quantity and quality of the forest resources and the capacity of
the forest to store and sequester carbon shall be safeguarded in the medium and long term bybalancing harvesting and growth rates, using appropriate silvicultural measures and preferring
techniques that minimise adverse impacts on forest resources.

8.1.3

The standard requires that climate positive practices in management operations, such as greenhouse gas emission reductions and efficient use of resources shall be encouraged.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

178.1.4The standard requires that forest conversion shall not occur unless in justified circumstanceswhere the conversion:a) is in compliance with national and regional policy and legislation applicable for land use and forest
management and is a result of national or regional land-use planning governed by a governmental
or other official authority including consultation with affected stakeholders; andb) entails a small proportion (no greater than 5 %) of forest type within the certified area; andc) does not have negative impacts on ecologically important forest areas, culturally and sociallysignificant areas, or other protected areas; andd) does not destroy areas of significantly high carbon stock; ande) makes a contribution to long-term conservation, economic, and social benefits.

8.1.5

The standard requires that afforestation of ecologically important non-forest ecosystems shallnot occur unless in justified circumstances where the conversion:a) is in compliance with national and regional policy and legislation applicable for land use and forest
management and is a result of national or regional land-use planning governed by a governmental
or other official authority; andb) is established based on a decision-making basis where affected stakeholders have opportunities
to contribute to the decision-making on conversion through transparent and participatory
consultation processes; andc) does not have negative impacts on threatened (including vulnerable, rare or endangered) nonforest ecosystems, culturally and socially significant areas, important habitats of threatened
species or other protected areas; andd) entails a small proportion of the ecologically important non-forest ecosystem managed by anorganisation; ande) does not destroy areas of significantly high carbon stock; and
f)

8.1.6

makes a contribution to long-term conservation, economic, and social benefits.
The standard requires that if conversion of severely degraded forests to forest plantations isbeing considered, it must add economic, ecological, social and/or cultural value. Precondition ofadding such value are circumstances where the conversion:a) is in compliance with national and regional policy and legislation applicable for land use and forest
management and is a result of national or regional land-use planning governed by a governmental
or other official authority; andb) is established based on a decision-making basis where affected stakeholders have opportunities
to contribute to the decision-making on conversion through transparent and participatory
consultation processes; andc) has a positive impact on long-term carbon sequestration capacity of forest vegetation; andd) does not have negative impacts on ecologically important forest areas, culturally and sociallysignificant areas, or other protected areas; ande) safeguards protective functions of forests for society and other regulating or supporting
ecosystem services; andf)safeguards socio-economic functions of forests, including the recreational function and aesthetic
values of forests and other cultural services; andg) has a land history providing evidence that the degradation is not the consequence of deliberatepoor forest management practices; andh) is based on credible evidence demonstrating that the area is neither recovered nor in the processof recovery.
PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

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8.2

Criterion 2: Maintenance of forest ecosystem health and vitality

8.2.1

The standard requires that health and vitality of forest ecosystems shall be maintained or enhanced
and degraded forest ecosystems shall be rehabilitated wherever and as far as economicallyfeasible, by making best use of natural structures and processes and using preventive biologicalmeasures.

8.2.2

The standard requires that adequate genetic, species and structural diversity shall be encouraged
or maintained to enhance the stability, vitality and resilience of the forests to adverse environmental
factors and strengthen natural regulation mechanisms.

8.2.3

The standard requires that use of fire shall be limited to regions where fire is an essential tool inforest management for regeneration, wildfire protection and habitat management or a recognizedpractice of indigenous peoples. In these cases adequate management and control measures shallbe taken.

8.2.4

The standard requires that appropriate forest management practices such as reforestation andafforestation with tree species and provenances that are suited to the site conditions or the useof tending, harvesting and transport techniques that minimise tree and/or soil damages shall beapplied.

8.2.5

The standard requires that the indiscriminate disposal of waste on forest land shall be strictly
avoided. Non-organic waste and litter shall be collected, stored in designated areas and removed
in an environmentally-responsible manner. The spillage of oil or fuel during forest management
operations shall be prevented. Emergency procedures for the minimisation of risk of environmental
harm arising from the accidental spillage shall be in place.

8.2.6

The standard requires that integrated pest management, appropriate silviculture alternatives andother biological measures shall be preferred to minimise the use of pesticides.

8.2.7

The standard requires that any use of pesticides is documented.

8.2.8

The standard requires that the WHO Class 1A and 1B pesticides and other highly toxic pesticides
shall be prohibited, except where no other viable alternative is available. Any exception to the usageof WHO Class 1A and 1B pesticides shall be defined in the national/regional standard.

8.2.9

The standard requires that pesticides, such as chlorinated hydrocarbons whose derivatives remain
biologically active and accumulate in the food chain beyond their intended use, and any pesticides
banned by international agreement, shall be prohibited.
Note: “Pesticides banned by international agreements” are defined in the Stockholm Convention
on Persistent Organic Pollutants.

8.2.10 The standard requires that the use of pesticides shall follow the instructions given by the pesticide
producer and be implemented with proper equipment by trained personnel.
8.2.11 The standard requires that where fertilisers are used, they shall be applied in a controlled manner
and with due consideration for the environment. Fertilizer use shall not be an alternative toappropriate soil nutrient management.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

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8.3

Criterion 3: Maintenance and encouragement of productive functions offorests (wood and non-wood)

8.3.1

The standard requires that the capability of forests to produce a range of wood and non-woodforest products and services on a sustainable basis shall be maintained.

8.3.2

The standard requires that sound economic performance shall be pursued, taking into accountpossibilities for new markets and economic activities in connection with all relevant goods andservices of forests.

8.3.3

The standard requires that management, harvesting and regeneration operations shall be carriedout at a time, and in a way, that does not reduce the productive capacity of the site, for example byavoiding damage to soil and retained stands and trees.

8.3.4

The standard requires that harvesting levels of both wood and non-wood forest products shallnot exceed a rate that can be sustained in the long term, and optimum use shall be made of theharvested products.

8.3.5

The standard requires that adequate infrastructure such as roads, skid tracks or bridges shallbe planned, established and maintained to ensure efficient delivery of goods and services while
minimising negative impacts on the environment.

8.4

Criterion 4: Maintenance, conservation and appropriate enhancement of
biological diversity in forest ecosystems

8.4.1

The standard requires that management planning shall aim to maintain, conserve or enhancebiodiversity on landscape, ecosystem, species and genetic levels.

8.4.2

The standard requires that inventory, mapping and planning of forest resources shall identify,
protect, conserve or set aside ecologically important forest areas.
Note: This does not prohibit forest management activities that do not damage the important
ecologic values of those biotopes.

8.4.3

The standard requires that protected, threatened and endangered plant and animal species shallnot be exploited for commercial purposes. Where necessary, measures shall be taken for theirprotection and, where relevant, to increase their population.
Note: The requirement does not preclude trade according to CITES requirements.

8.4.4

The standard requires that successful regeneration shall be ensured through natural regenerationor planting that is adequate to ensure the quantity and quality of the forest resources.

8.4.5

The standard requires that for reforestation and afforestation origins of native species that are
well-adapted to site conditions shall be preferred. Only those introduced species, provenances
or varieties shall be used whose impacts on the ecosystem and on the genetic integrity of native
species and local provenances have been scientifically evaluated, and if negative impacts can be
avoided or minimised.
Note: CBD (Convention on Biological Diversity) Guiding Principles for the Prevention, Introduction,and Mitigation of Impacts of Alien Species that Threaten Ecosystems, Habitats or Species arerecognised as guidance for avoidance of invasive species.

8.4.6

The standard requires that afforestation, reforestation and other tree planting activities that
contribute to the improvement and restoration of ecological connectivity shall be promoted.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements20

8.4.7The standard requires that genetically-modified trees shall not be used.
Note: The restriction on the usage of genetically-modified trees has been adopted by the PEFC
General Assembly based on the Precautionary Principle. Until enough scientific data on geneticallymodified trees indicates that impacts on human and animal health and the environment areequivalent to, or more positive than, those presented by trees genetically improved by traditional
methods, no genetically-modified trees will be used.

8.4.8

The standard requires that a diversity of both horizontal and vertical structures and the diversity of
species such as mixed stands shall be promoted, where appropriate. The practices shall also aim to
maintain or restore landscape diversity.

8.4.9

The standard requires that traditional management practices that create valuable ecosystems on
appropriate sites shall be supported, where appropriate.

8.4.10 The standard requires that tending and harvesting operations shall be conducted in a way that does
not cause lasting damage to ecosystems. Wherever possible, practical measures shall be taken to
maintain or improve biological diversity.
8.4.11 The standard requires that infrastructure shall be planned and constructed in a way that minimises
damage to ecosystems, especially to rare, sensitive or representative ecosystems and genetic
reserves, and that takes threatened or other key species – in particular their migration patterns –into consideration.
8.4.12 The standard requires that, with due regard to management objectives, measures shall be taken
to control the pressure of animal populations on forest regeneration and growth as well as on
biodiversity.
8.4.13 The standard requires that standing and fallen dead wood, hollow trees, old groves and rare tree
species shall be left in quantities and distribution necessary to safeguard biological diversity,
taking into account the potential effect on the health and stability of forests and on surrounding
ecosystems.

8.5

Criterion 5: Maintenance or appropriate enhancement of protective functions
in forest management (notably soil and water)

8.5.1

The standard requires that protective functions of forests for society, such as their potential rolein erosion control, flood prevention, water purification, climate regulation, carbon sequestration andother regulating or supporting ecosystem services shall be maintained or enhanced.

8.5.2

The standard requires that areas that fulfil specific and recognised protective functions for society
shall be mapped, and forest management plans and operations shall ensure the maintenance orenhancement of these functions.

8.5.3

The standard requires that special care shall be given to forestry operations on sensitive soils anderosion-prone areas as well as in areas where operations might lead to excessive erosion of soil
into watercourses. Techniques applied and the machinery used shall be suitable for such areas.
Special measures shall be taken to minimise the pressure of animal populations on these areas.

8.5.4

The standard requires that special care shall be given to forestry operations in forest areas withwater protection functions to avoid adverse effects on the quality and quantity of water resources.
Inappropriate use of chemicals or other harmful substances or inappropriate silvicultural practices
influencing water quality in a harmful way shall be avoided. Downstream water balance and water
quality shall not be significantly affected by the operations.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

21

8.5.5The standard requires that construction of roads, bridges and other infrastructure shall be carriedout in a manner that minimises bare soil exposure, avoids the introduction of soil into watercourses
and preserves the natural level and function of water courses and river beds. Proper road drainage
facilities shall be installed and maintained.

8.6

Criterion 6: Maintenance or appropriate enhancement of socio-economic
functions and conditions

8.6.1

The standard requires that forest management planning shall aim to respect all socio-economic
functions of forests.

8.6.2

The standard requires that adequate public access to forests for the purpose of recreation shall be
provided, taking into account respect for ownership rights, safety and the rights of others, the effects
on forest resources and ecosystems, as well as compatibility with other functions of the forest.

8.6.3

The standard requires that sites with recognised specific historical, cultural or spiritual significanceand areas fundamental to meeting the needs of indigenous peoples and local communities(e.g. health, subsistence) shall be protected or managed in a way that takes due regard of thesignificance of the site.

8.6.4

The standard requires that management shall promote the long-term health and well-being ofcommunities within or adjacent to the forest management area, where appropriate supported byengagement with local communities and indigenous peoples.

8.6.5

The standard requires that the best use shall be made of forest-related experience and traditional
knowledge, innovations and practices such as those of forest owners, NGOs, local communities,
and indigenous peoples. Equitable sharing of the benefits arising from the utilization of suchknowledge shall be encouraged.

8.6.6

The standard requires that management shall give due regard to the role of forestry in local
economies. Special consideration shall be given to new opportunities for training and employmentof local people, including indigenous peoples.

8.6.7

The standard requires that forest management shall contribute to research activities and datacollection needed for sustainable forest management or support relevant research activities carriedout by other organisations, as appropriate.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

22

9. Performance evaluation
9.1

Monitoring, measurement, analysis and evaluation

9.1.1

The standard requires that monitoring of forest resources and evaluation of their management,
including ecological, social and economic effects, shall be periodically performed, and results fed
back into the planning process.

9.1.2

The standard requires that health and vitality of forests shall be periodically monitored, especially
key biotic and abiotic factors that potentially affect health and vitality of forest ecosystems, suchas pests, diseases, overgrazing and overstocking, fire, and damage caused by climatic factors, air
pollutants or by forest management operations.

9.1.3

The standard requires that where it is the responsibility of the forest owner/manager and included
in forest management, the use of non-wood forest products, including hunting and fishing, shallbe regulated, monitored and controlled.

9.1.4

The standard requires that working conditions shall be regularly monitored and adapted asnecessary.

9.2

Internal audit

9.2.1

Objectives

The standard requires that an internal audit programme at planned intervals shall provide information onwhether the management systema) conforms to• the organisation’s requirements for its management system;• the requirements of the national sustainable forest management standardb) is effectively implemented and maintained.

9.2.2

Organisation

The standard requires that the organisation shall:a) plan, establish, implement and maintain an audit programme(s) including the frequency, methods,
responsibilities, planning requirements and reporting, which shall take into consideration theimportance of the processes concerned and the results of previous audits;b) define the audit criteria and scope for each audit;c) select the auditors and conduct audits to ensure objectivity and the impartiality of the audit process;d) ensure that the results of the audits are reported to relevant management;e) retain documented information as evidence of the implementation of the audit programme and theaudit results.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

23

9.3

Management review

9.3.1

The standard requires that an annual management review shall at least includea) the status of actions from previous management reviews;b) changes in external and internal issues that are relevant to the management system;c) information on the organisation’s performance, including trends in:• nonconformities and corrective actions;• monitoring and measurement results;• audit results;d) opportunities for continual improvement.

9.3.2

The standard requires that the outputs of the management review shall include decisions related tocontinual improvement opportunities and any need for changes to the management system.

9.3.3

The standard requires that documented information as evidence of the results of management
reviews shall be retained.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements2410. Improvement
10.1

Nonconformity and corrective action

10.1.1 The standard requires that when a nonconformity occurs, the organisation shall:a) react to the nonconformity and, as applicable:i.

take action to control and correct it;ii.

deal with the consequences;b) evaluate the need for action to eliminate the causes of the nonconformity, in order that it does notrecur or occur elsewhere, by:i.

reviewing the nonconformity;ii.

determining the causes of the nonconformity;iii. determining if similar nonconformities exist, or could potentially occur;c) implement any action needed;d) review the effectiveness of any corrective action taken;e) make changes to the management system, if necessary.

10.1.2 The standard requires that corrective actions shall be appropriate to the effects of thenonconformities encountered.
10.1.3 The standard requires that the organisation shall retain documented information as evidence of:a) the nature of the nonconformities and any subsequent actions taken;b) the results of any corrective action.

10.2

Continual improvement

The standard requires that the suitability, adequacy and effectiveness of the sustainable forest
management system and the sustainable management of the forest shall be continuously improved.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

25

Appendix 1: Guidelines for the interpretation ofrequirements in the case of forest plantations
Requirement

Interpretation for forest plantations

6.2.2 The standard requires that forest management
plans shall take into account the different uses orfunctions of the managed forest area.

The requirements 6.2.2, 6.2.9, 8.1.1, 8.2.1,
8.2.2, 8.4.1 and 8.6.1 cannot be applied
to individual forest stands and shall beconsidered on a larger scale (bioregional)
within the whole forest management unit
where the stands of fast growing trees arecomplemented by buffer zones and setaside areas dedicated to environmental,
ecological, cultural and social functions.

6.2.9 Forest management planning shall make use of
those policy instruments set up to support the productionof commercial and non-commercial forest goods andservices.
8.1.1 The standard requires that management shall aim
to maintain or increase forests and their ecosystemservices and maintain or enhance the economic,
ecological, cultural and social values of forest resources.
8.2.1 The standard requires that health and vitality offorest ecosystems shall be maintained or enhanced
and degraded forest ecosystems shall be rehabilitated
wherever and as far as economically feasible, by making
best use of natural structures and processes and using
preventive biological measures.
8.2.2 The standard requires that adequate genetic,
species and structural diversity shall be encouraged or
maintained to enhance the stability, vitality and resistancecapacity of the forests to adverse environmental factors
and strengthen natural regulation mechanisms.

In order to enhance landscape andbiodiversity values, and water and soil
protection, the size and distributionof the buffer zones and conservation
set-aside areas shall be identified at
the preparatory stage of the forest
plantation establishment, based on social,environmental and ecological assessment,
as well as reviewed during the subsequent
replanting stages.

8.4.1 The standard requires that management planningshall aim to maintain, conserve and enhance biodiversity
on landscape, ecosystem, species and genetic levels.
8.6.1 The standard requires that forest management
planning shall aim to respect all socio-economic functionsof forests and local economies.
8.1.4 The standard requires that forest conversion shallnot occur unless in justified circumstances where theconversion (...)

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

The requirement that “forest conversion
shall not occur” means that forest
plantations established by a forest
conversion after 31 December 2010 inother than “justified circumstances” do notmeet the requirement and are not eligible
for certification.

26

Requirement

Interpretation for forest plantations

8.1.5 The standard requires that reforestation andafforestation of ecologically important non-forest
ecosystems shall not occur unless in justified
circumstances where the conversion (...)

The requirement for the “reforestation andafforestation of ecologically important nonforest ecosystems” means that ecologicallyimportant non-forest ecosystems
reforested or afforested after 31 December
2010 in other than “justified circumstances”
do not meet the requirement and are noteligible for certification.

8.1.6 The standard requires that conversion of severely
degraded forests to forest plantations shall beconsidered, whenever it can add economic, ecological,
social and/or cultural value. Precondition of adding suchvalue are circumstances where the conversion (...)

The interpretation in this appendix on 8.1.4
is not applicable to 8.1.6.

8.4.2 The standard requires that inventory, mapping
and planning, of forest resources shall identify,
protect, conserve or set aside ecologically important
forest areas.

The requirement laid out in 8.4.2 shallprimarily be addressed at the stage ofthe establishment of forest plantations
and those areas shall form part of thebuffer zones and set-aside areas that arededicated to environmental, ecological,
cultural and social functions.

Note: This does not necessarily exclude forest
management activities that do not damage biodiversity
values of those biotopes.
8.4.8 The standard requires that a diversity of bothhorizontal and vertical structures, and the diversity of
species such as mixed stands, shall be promoted, whereappropriate. The practices shall also aim to maintain or
restore landscape diversity.
8.4.9 The standard requires that traditional management
practices that create valuable ecosystems on appropriate
sites shall be supported, where appropriate.

The requirements 8.4.8, 8.4.9 and 8.4.13 do
not usually apply to forest plantations andshall be understood to be primarily taking
place in buffer zones and set-aside areas,
which complement forest plantations,and which are dedicated to environmental,
ecological, cultural and social functions.

8.4.13 The standard requires that standing and fallen
dead wood, hollow trees, old groves and special raretree species shall be left in quantities and distribution
necessary to safeguard biological diversity, taking into
account the potential effect on the health and stabilityof forests and on surrounding ecosystems.
8.4.5 The standard requires that for reforestation
and afforestation, origins of native species that are
well-adapted to site conditions shall be preferred. Only
those introduced species, provenances or varieties shallbe used whose impacts on the ecosystem and on thegenetic integrity of native species and local provenances
have been evaluated, and if negative impacts can be
avoided or minimised.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

The evaluation of the impact of “introduced
species, provenances or varieties” shall be
understood as having increased importancefor forest plantations and shall be an
important part of both the planning andmanagement stages of the production cycle.

27Appendix 2: Guidelines for the interpretation ofrequirements for Trees outside Forests (TOF)
A. Introduction
This Appendix provides interpretation for developing regional, national and sub-national requirements andstandards applicable for Trees outside Forests (TOF). As stated in PEFC ST 1003:2018, all requirements
referring to ‘forest’ are also applicable to ‘TOF’ unless otherwise indicated in this Appendix.
There exists a rich global diversity of TOF systems. Some are natural or semi-natural ecosystems withecological complexity and ecosystem services equivalent to natural forests. At the other end of thespectrum are individual trees in fields or linear tree formations.
In cases where the PEFC ST 1003:2018 requirements deserve specific interpretation to improve or
establish relevancy for TOF, interpretations are provided in Section B.
Specific PEFC ST 1003:2018 requirements which may not be applicable to certain TOF systems are
outlined in Section D. To identify such exceptions, PEFC defines four categories to objectively distinguishbetween different TOF systems. The categories are based on land classification and management intensity:
TOF-agriculture (intensive and extensive) and TOF-settlement (intensive and extensive). It is within TOFagriculture extensive and TOF-settlement extensive that select PEFC ST 1003:2018 requirements may not
be applicable.
During the national standard setting process, the typical TOF systems of national relevance will be identified
and the appropriate threshold between intensive and extensive discussed and agreed. Criteria to support
this discussion are proposed in Section E. With this threshold articulated, it should be clear to which
category particular TOF systems belong and if any flexibility exists when applying the PEFC ST 1003:2018
requirements into regional, national and sub-national standard(s).

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements28

B. Interpretation of Requirements for Trees outside Forests
Requirement

Interpretation for TOF

4.3.2 The standard requires that forest management
shall comprise the cycle of inventory and planning,
implementation, monitoring and evaluation, and shall
include an appropriate assessment of the social,environmental and economic impacts of forest
management practices. This shall form a basis for acycle of continuous improvement.

4.3.2 The standard requires that TOF
management shall comprise the cycle ofinventory and planning, implementation,
monitoring and evaluation and shall include
an appropriate assessment of the social,environmental and economic impacts of TOF
management practices. This shall form a basis
for a cycle of continuous improvement.

6.2.5 The standard requires that forest
management plans specify ways and means tominimise the risk of degradation of and damages toforest ecosystems.

6.2.5 The standard requires that management
plans specify ways and means to minimise therisk of degradation of and damages to natural
ecosystems.

6.3.1.1 The standard requires that the organisation
shall identify and have access to the legislation
applicable to its forest management and determine
how these compliance obligations apply to theorganisation.

6.3.1.1 The standard requires that theorganisation shall identify and haveaccess to the legislation applicable to its
TOF management and determine howthese compliance obligations apply to theorganisation.

Note: For a country which has signed a FLEGTVoluntary Partnership Agreement (VPA) between
the European Union and the producing country, the“legislation applicable to forest management” isdefined by the VPA agreement.

Note: Only where TOF is within the scopeof a Country’s FLEGT Voluntary Partnership
Agreement (VPA) between the European Unionand the producing country, is the “legislation
applicable to TOF area” defined by the VPA
agreement.

6.3.1.2 The standard requires that the organisation
shall comply with applicable local, national and/or international legislation on forest management,
including but not limited to forest management
practices; nature and environmental protection;
protected and endangered species; property, tenure
and land-use rights for indigenous peoples, local
communities or other affected stakeholders; health,labour and safety issues; anti-corruption and thepayment of applicable royalties and taxes.

6.3.1.2 The standard requires that theorganisation shall comply with applicable local,
national or international legislation applicable to
TOF area including but not limited to: agriculture
and agroforestry; nature and environmental
protection; protected and endangered species;
property, tenure and land-use rights forindigenous peoples, local communities or otheraffected stakeholders; health, labour andsafety issues; crop damage compensation;
anti-corruption and the payment of royalties
and taxes.

7.2.1 The standard requires that forest managers,
contractors, employees and forest owners shall be
provided with sufficient information and required
to keep up-to-date through continuous training
in relation to sustainable forest management asa precondition for all management planning andpractices described in this benchmark.

7.2.1 The standard requires that land managers,
contractors, employees and land owners shallbe provided with sufficient information andrequired to keep up-to-date through continuous
training in relation to agroforestry, good
agriculture practices and forestry techniques asa precondition for all management planning andpractices described in this benchmark.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

29Requirement

Interpretation for TOF

8.1.1 The standard requires that management
shall aim to maintain or increase forests and theirecosystem services and maintain or enhance theeconomic, ecological, cultural and social values offorest resources.

8.1.1 The standard requires that management
shall aim to maintain or increase the cover, value
and/or diversity of trees in the landscape andtheir related ecosystem services in ways thatenhance the economic, ecological, cultural andsocial values and are aligned with existing landuse regimes.
Note: When the requirement is not achievable
within individual, TOF-extensive areas, it can beconsidered at landscape level.

8.1.2 The standard requires that the quantity andquality of the forest resources and the capacityof the forest to capture and store carbon shallbe safeguarded in the medium and long termby balancing harvesting and growth rates, using
appropriate silvicultural measures and preferring
techniques that minimise adverse impacts on forest
resources.

8.1.2 The standard requires that management
shall maintain or enhance TOF resources andtheir capacity to capture and store carbon in themedium and long term by balancing harvesting
and growth rates, and by minimising direct orindirect damage to ecosystem resources.

8.1.4 The standard requires that forest conversion
shall not occur unless in justified circumstances (...)

8.1.4 The standard requires that conversion
to TOF shall not occur unless in justified
circumstances (...)

Note: When the requirement is not achievable
within individual, TOF-extensive areas, it can beconsidered at landscape level.

TOF areas established by a forest conversion
after 31 December 2010 in other than “justified
circumstances” do not meet the requirement andare not eligible for certification.
8.1.5 The standard requires that afforestation of
ecologically important non-forest ecosystems shallnot occur unless in justified circumstances (...)

8.1.5 The standard requires that conversion of
ecologically important non-forest ecosystems
to TOF areas shall not occur unless in justified
circumstances (...)
TOF areas established by a conversion after
31 December 2010 in other than “justified
circumstances” do not meet the requirement andare not eligible for certification.

8.1.6 The standard requires that if conversion ofseverely degraded forests to forest plantations
is being considered, it must add economic,
ecological, social and/or cultural value. Preconditionof adding such value are circumstances where theconversion (...)

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

Not applicable.

30

Requirement

Interpretation for TOF

8.2.1 The standard requires that health and vitalityof forest ecosystems shall be maintained orenhanced and degraded forest ecosystems shallbe rehabilitated wherever and as far as economicallyfeasible, by making best use of natural structures andprocesses and using preventive biological measures.

8.2.1 The standard requires that health andvitality of TOF areas shall be maintainedor enhanced and degraded lands shall berehabilitated whenever this is feasible, by
making best use of landscape features, naturalprocesses and using preventive biologicalmeasures.

8.2.2 The standard requires that adequate genetic,
species and structural diversity shall be encouraged
or maintained to enhance the stability, vitality andresilience of the forests to adverse environmental
factors and strengthen natural regulation
mechanisms.

8.2.2 The standard requires that adequate
genetic, species and structural diversity shallbe encouraged or maintained to enhance thestability, vitality and resilience of the TOF area.

8.2.4 The standard requires that appropriate forest
management practices such as reforestation andafforestation with tree species and provenancesthat are suited to the site conditions or the use oftending, harvesting and transport techniques thatminimise tree and/or soil damages shall be applied.

8.2.4 The standard requires that appropriate
TOF management practices shall use tree, cropand animal species and provenances that aresuited to the site conditions and the use oftending, harvesting and transport techniquesthat minimise tree and/or soil damage shall beapplied.

8.3.1 The standard requires that the capability offorests to produce a range of wood and non-woodforest products and services on a sustainable basis
shall be maintained.

8.3.1 The standard requires that the capabilityof the TOF area to provide wood products, nonwood forest products and/or services fromtrees on a sustainable basis shall be maintained.

8.4.1 The standard requires that management
planning shall aim to maintain, conserve or enhancebiodiversity on landscape, ecosystem, species andgenetic levels.

8.4.1 The standard requires that management
planning shall aim to maintain, conserve or
enhance biodiversity on landscape, ecosystem,
species and genetic levels.
Note: When the requirement is not achievable
within individual, TOF-extensive areas, it can beconsidered at landscape level or through group
certification.

8.4.12 The standard requires that, with due regard to
management objectives, measures shall be taken tocontrol the pressure of animal populations on forest
regeneration and growth as well as on biodiversity.

8.4.12 The standard requires that, with
due regard to management objectives,
measures shall be taken to balance the effectof domesticated and wild animals on theregeneration and growth of trees, as well as on
biodiversity and the control of fire.

8.5.1 The standard requires that protective functionsof forests for society, such as their potential role inerosion control, flood prevention, water purification,
climate regulation, carbon sequestration and otherregulating or supporting ecosystem services shallbe maintained or enhanced.

8.5.1 The standard requires that the protectivefunctions of trees within the agriculture andsettlement landscape shall be maintained orenhanced.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

31Requirement

Interpretation for TOF

8.6.5 The standard requires that the best use shallbe made of forest-related experience and traditional
knowledge, innovations and practices such as thoseof forest owners, NGOs, local communities, andindigenous peoples. Equitable sharing of the benefits
arising from the utilization of such knowledge shallbe encouraged.

8.6.5 The standard requires that traditional
knowledge and recognized best practice foragroforestry & TOF management be utilized.
Equitable sharing of the benefits arising from theutilization of such knowledge, innovations andpractices shall be encouraged.

C. Additional requirement for Trees outside Forests
Requirement

Interpretation for TOF–

The standard requires that management of the
agricultural components within a TOF systemshall follow good agricultural practice andavailable guidelines.

D. Requirements potentially not applicable to Trees outside Forests
The following requirements are considered potentially not applicable to TOF-agriculture extensive and TOFsettlement extensive unless considered otherwise during the regional, national standards setting process.
Requirements

StatusRationale

6.2.2; 6.2.6; 6.2.7; 7.1; 7,2,1;
7.3.1; 7.3.2; 7.4.1; 7.4.2; 8.3.5;
8.4.8; 8.5.5; 9.1.1; 9.1.3

Not applicable to:• TOF-agriculture extensive• TOF-settlement extensive.

TOF management is of a
sufficiently low intensity,
scale and/or investment levelthat requirements cannot berealistically incorporated

8.2.1; 8.4.2; 8.6.2; 8.6.6

Not applicable to:• TOF-agriculture extensive• TOF-settlement extensive.

The requirement(s) are related
to an issue which is not a risk
or issue within a TOF extensive
context.

8.2.2; 8.3.2; 8.4.11; 8.4.12

Not applicable to:• TOF-settlement extensive.

The requirements do not relate
well to context where trees
are planted and managed
primarily for aesthetics andenvironmental health.

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

32

E. Establishing the threshold for intensive and extensive TOF systems at the
National level
If the national standard-setting process agrees to develop specific requirements and/or standard(s) for TOF,
all PEFC ST 1003:2018 requirements are applicable with the potential exception of some requirementsin the case of TOF-agriculture extensive and/or TOF-settlement extensive system. In this case, thestandard-setting process must build agreement around the appropriate threshold between “intensive” or“extensive” TOF systems, based on clear rationale. The eligibility of a particular TOF system must be clearlycommunicated within standard(s).
When establishing the threshold between the intensive and extensive categorisation of TOF systems,
the national standard-setting process should consider at least:a) size of management unitb) tree cover/hectarec) economic value of productiond) intensity of managemente) scale of cultural, ecological and conservation value

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

33

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Directive 90/220/EEC
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FAO (2012), Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries andForests in the Context of National Food Security.
FAO 2015, FRA 2015 Terms and Definitions, Forest Resources Assessment Working Paper 180
FAO 2017, Non-wood forest products in international statistical systems
FAO 2018, Integrated Pest Management, www.fao.org/agriculture/crops/thematic-sitemap/theme/
pests/ipm/en, access February 2018.
FAO 2018, Terms and Definitions FRA 2020
Millennium Ecosystem Assessment, 2005. Ecosystems and Human Well-being: Synthesis.
Island Press, Washington, DC
Scherr et al. 2013, Defining Integrated Landscape Management for Policy Makers
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United Nations 1948, Universal Declaration on Human Rights
United Nations 2002, Report of the Conference of the Parties on its 7th session, held at Marrakesh,
from 29 October to 10 November 2001, Addendum, Part two

PEFC ST 1003:2018 — Sustainable Forest Management – Requirements

34

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