Country Risk Profiles

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List of risk mitigation options

If a risk has been identified for a specific commodity, then that risk will have to be mitigated before sourcing from the country of origin. Addressing a risk can be done by verifying documentation, or it can require onsite field verification. It can also include engaging with local communities. The complexity of such risk mitigation efforts will depend on the risk identified and the country of origin. Below is an overview of recommended actions for mitigating risks. The mitigation measures have been grouped by the types of actions relevant for the respective country. If you want to see each risk listed with the relevant mitigation options, please go to the Risk Overview tab. Please mind that risk mitigation is the responsibility of the purchaser of the product. This requires that the purchaser shall assess if the risk has been adressed.
Document verification
Stakeholder consultation
Field verification
Scientific testing
Supply Chain Mapping
Document verification
Collecting and validating relevant documents is a crucial part of identifying and assessing supply chain risks. A critical review of the documents is vital to mitigating risks and understanding their information value. Always be aware of the dangers of fraudulent documentation.
Risk mitigation options
1
Forest Tenure Certificate
Source Types:Plantation
Mitigation Option : Verify Forest Tenure Certificate
Contractors leasing forest land shall hold a forest tenure certificate with the tenure registration ID/number (Note: The certificate can carry different names, e.g., Immovable Property Certificate for forest land).
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Mitigation Option : Verify Forest Tenure Certificate
Contractors leasing forest land shall hold a forest tenure certificate with the tenure registration ID/number (Note: The certificate can carry different names, e.g., Immovable Property Certificate for forest land).
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2
Forest leasing or transfer contract
Source Types:Plantation
Mitigation Option : Verify Forest leasing or transfer contract
Contractors shall have a valid contract signed by all legal land tenure owners in the area of operation. If the area is owned by a village committee or sub-village, then 2/3 of the household representatives of the village should sign the contract.
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Mitigation Option : Verify Forest leasing or transfer contract
Contractors shall have a valid contract signed by all legal land tenure owners in the area of operation. If the area is owned by a village committee or sub-village, then 2/3 of the household
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3
Forest Harvest Permit
Source Types:PlantationNatural Forest
Mitigation Option : Verify Forest Harvest Permit
A harvest permit can be helpful to confirm ownership or land tenure.
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Mitigation Option : Verify Forest Harvest Permit
A harvest permit can be helpful to confirm ownership or land tenure.
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Mitigation Option : Verify Forest Harvest Permit
Harvesting permits are aligned with the Forest Management Plans o A harvesting permit can indicate if the harvest activities follow the objectives set out by an existing Forest Management Plans.
MARK AS DONE
4
Sources of information in the public domain
Source Types:Plantation
Mitigation Option : Search for sources of information in the public domain
Search for sources of information in the public domain (e.g., internet search via Baidu.com or other search engines) for evidence of community conflict relating to land tenure of the forest management enterprise. Suggested key words for internet search could be: forest management enterprise name + land dispute. Search should be conducted in Chinese. Stakeholder consultation should be conducted where there is evidence or indication of conflict.
MARK AS DONE
5
Forest Management Plan (FMP)
Source Types:Natural ForestPlantation
Mitigation Option : Verify Forest Management Plan (FMP)
Confirm the approval of Forest Management Plan, including: o If the plan has been approved by a relevant forest authority. o If the growth rate is estimated by reasonable inputs and the planned harvest volume does not surpass the estimated growth rate. o If it includes all legally required elements, such as forest resources status quo, growth rate, planned harvest volume, regeneration plan, biodiversity protection, forest fire prevention, pests and disease control.
MARK AS DONE
6
Annual Harvest Quota
Source Types:Natural ForestPlantation
Mitigation Option : Verify Annual Harvest Quota
The Annual Harvest Quota has been approved by the regional forest authority and aligns with the Forest Management Plan. o Annual harvest quota document should be compared to the Forest Management Plan to confirm there is no significant discrepancy in harvest volume.
MARK AS DONE
7
Forest authorities
Source Types:Natural ForestPlantation
Mitigation Option : Visit the website of Forest authorities responsible for approving management plans for the State Forest
Check the following: o If the Forest Management Plan and Annual harvest quota have been approved by a legitimate forest authority. o If the state forest management enterprise in question is following the objectives of the approved Forest Management Plan. o Please note the relevant authority differ depending on administrative level of the State forest.
MARK AS DONE
8
Value-added Tax (VAT) Invoice
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Verify Value-added Tax (VAT) Invoice
Check that VAT invoices are valid. o Request copies of VAT invoices for products sold or traded along the relevant supply chain and check that they compare correctly against corresponding documents with regards to product descriptions, volumes, qualities, and species. Other relevant documents include delivery notes, contracts, bills of lading etc. o Sales prices shall be in line with market price. o Verify information through database confirmation (See below).
MARK AS DONE
9
Taxation authority’s VAT database
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Verify Taxation authority’s VAT database
Verify VAT invoices on the Taxation authority’s VAT database: https://inv-veri.chinatax.gov.cn/ . o If information is verified through the database this will indicate that VAT has been paid correctly by the companies. o All information included in the copy of VAT invoice must be identical to information found in the database, including production descriptions, volumes, qualities, species, date, invoice number, etc.
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10
Health and safety procedures
Source Types:Natural ForestPlantation
Mitigation Option : Verify Health and safety procedures
Check that they are in line with national laws and regulations. To be checked during onsite verification
MARK AS DONE
11
Training Records for Safe Operation
Source Types:Natural ForestPlantation
Mitigation Option : Verify Training Records for Safe Operation
To be checked during onsite verification
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12
Accident insurance policy
Source Types:Natural ForestPlantation
Mitigation Option : Verify Accident insurance policy
Check that employees are covered by an accident insurance policy. To be checked during onsite verification.
MARK AS DONE
13
Accidents records
Source Types:Natural ForestPlantation
Mitigation Option : Verify Accidents records
Check that an accident record system is in place. In addition, it is recommended to review accidents records to identify root causes. To be checked during onsite verification.
MARK AS DONE
14
Purchase records for appropriate PPE
Source Types:Natural ForestPlantation
Mitigation Option : Verify Purchase records for appropriate PPE
To be checked during onsite verification.
MARK AS DONE
15
List of permanent and temporary employed workers
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Verify List of permanent and temporary employed workers
MARK AS DONE
16
Payslips
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Verify Payslips
Check that payslips represent the number of employees.
MARK AS DONE
17
Invoices
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Verify Invoices
Check invoices relating to accident insurance coverage
MARK AS DONE
18
Import Custom Declaration / Export Customs Declaration
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Verify Import Custom Declaration / Export Customs Declaration
Check that customs declarations correctly identify product descriptions, HS custom code, species, quantities, qualities, etc. Information (species, quantity, date, etc) on the customs declarations shall match the commercial invoice, packing list and phytosanitary certificate (if applicable).
MARK AS DONE
Mitigation Option : Verify Import Custom Declaration / Export Customs Declaration
Information (species, quantity, date, etc) on the customs declarations shall match the commercial invoice, packing list and phytosanitary certificate (if applicable).
MARK AS DONE
Mitigation Option : Verify Import Custom Declaration / Export Customs Declaration
Information (species, quantity, date, etc) on the customs declarations shall match the commercial invoice, packing list and phytosanitary certificate (if applicable).
MARK AS DONE
19
Permit for Import/Export and Re-export for CITES species
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Verify Permit for Import/Export and Re-export for CITES species
All cross border-trade of CITES-listed species shall be documented and accompanied by the certificates issued by competent authorities (CITES Management Authorities), as well as correctly classified (type, HS custom code, species, quantities, qualities, etc.).
MARK AS DONE
20
Database for the authenticity of Business License
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Verify Database for the authenticity of Business License
Example: http://www.gsxt.gov.cn/index.html
MARK AS DONE
Mitigation Option : Verify Database for the authenticity of Business License

Link: http://www.gsxt.gov.cn/index.html

MARK AS DONE
Mitigation Option : Verify Database for the authenticity of Business License
Example: http://www.gsxt.gov.cn/index.html
MARK AS DONE
Mitigation Option : Verify Database for the authenticity of Business License
Example: http://www.gsxt.gov.cn/index.html
MARK AS DONE
21
Database for the authenticity of the authenticity of VAT invoices
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Verify Database for the authenticity of the authenticity of VAT invoices
Link: https://inv-veri.chinatax.gov.cn/
MARK AS DONE
Mitigation Option : Verify Database for the authenticity of the authenticity of VAT invoices
Link: https://inv-veri.chinatax.gov.cn/
MARK AS DONE
Mitigation Option : Verify Database for the authenticity of the authenticity of VAT invoices
Link: https://inv-veri.chinatax.gov.cn/
MARK AS DONE
Mitigation Option : Verify Database for the authenticity of the authenticity of VAT invoices
Link: https://inv-veri.chinatax.gov.cn/
MARK AS DONE
Stakeholder consultation
Stakeholder consultations can vary significantly in scope. It can range from consultation with indigenous peoples and local communities to have a single question raised with authorities in the sourcing country. The first step in any public consultation is to identify the relevant stakeholders. This requires first-hand knowledge of the communities and languages spoken. Always document the undertaking of a consultation process for future reference.
Risk mitigation options
1
Local communities
Source Types:Plantation
Mitigation Option : Consult Local communities
In case that the internet search – or other research or consultations identify concerns – implement a stakeholder consultation process with local communities to confirm that: • There is no dispute over Land tenure rights and – where applicable – lease of land has been agreed by a representative majority of the households in the village; • The legal status of the enterprise conducting forestry operations is not subject to court orders or other pending legal proceedings to cease activities.
MARK AS DONE
2
Other stakeholders
Source Types:Plantation
Mitigation Option : Consult Other stakeholders
In case that the internet search – or other research or consultations identify concerns – implement a stakeholder consultation process with other stakeholders to confirm that: • There is no dispute over Land tenure rights and – where applicable – lease of land has been agreed by a representative majority of the households in the village; • The legal status of the enterprise conducting forestry operations is not subject to court orders or other pending legal proceedings to cease activities.
MARK AS DONE
Field verification
Not all risks can be mitigated unless the actual harvest site and operations are visited by competent staff or consultants able to verify legal compliance of the forest operations. If an onsite verification is needed will depend on the type of risks and the risk level in the country of origin. First-hand knowledge on forest operations and language skills are required to conduct a meaningful onsite verification.
Risk mitigation options
1
Harvesting site
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Visit Harvesting site
Inspection harvesting sites shall verify that PPE, safety training and H&S procedures are in place: o PPE shall be available and worn as required by the law. o Health and safety procedures are implemented in accordance with requirements.
MARK AS DONE
Mitigation Option : Visit Harvesting site
• Verify whether the forest workers onsite have signed labour contracts. • Verify that employees are covered by an accident insurance policy by conducting interviews. Use this opportunity to inquire about unpaid and illegal overtime work, missing social security benefits, insurance coverage, contractual employment issues or other inappropriate working conditions.
MARK AS DONE
2
Forest Management Enterprise
Source Types:Natural ForestPlantation
Mitigation Option : Visit Forest Management Enterprise
Inspection of Forest Management Enterprise shall verify that PPE, safety training and H&S procedures are in place: o Interviews with relevant staff/workers shall provide confidence that they are aware of H&S procedures and have participated in training. o Interviews with staff/workers engaged in special areas of work shall provide confidence that they have attended specific training applicable to their role and responsibilities, have obtained the relevant level of qualification for the task they perform, have access to required PPE and it is being used in all relevant situations.
MARK AS DONE
3
Upstream suppliers
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Visit Upstream suppliers
• Review supply chain information, • Volume reconciliation; check if the volume from the supply chain in question is sufficient to ensure the needed input for the volume of products manufactured. • Interview staff to collect additional information and assurance of the origins of the wood used in wood-based products, e.g., country of origin, forest of harvest. • Check if a functioning and effective traceability and segregation system is in place.
MARK AS DONE
Mitigation Option : Visit Upstream suppliers
• Review supply chain information, • Volume reconciliation; check if the volume from the supply chain in question is sufficient to ensure the needed input for the volume of products manufactured. • Interview staff to collect additional information and assurance of the origins of the wood used in wood-based products, e.g., country of origin, forest of harvest. • Check if a functioning and effective traceability and segregation system is in place.
MARK AS DONE
Mitigation Option : Visit Upstream suppliers
• Review supply chain information, • Volume reconciliation; check if the volume from the supply chain in question is sufficient to ensure the needed input for the volume of products manufactured. • Interview staff to collect additional information and assurance of the origins of the wood used in wood-based products, e.g., country of origin, forest of harvest. • Check if a functioning and effective traceability and segregation system is in place.
MARK AS DONE
Mitigation Option : Visit Upstream suppliers
• Review supply chain information, • Volume reconciliation; check if the volume from the supply chain in question is sufficient to ensure the needed input for the volume of products manufactured. • Interview staff to collect additional information and assurance of the origins of the wood used in wood-based products, e.g., country of origin, forest of harvest. • Check if a functioning and effective traceability and segregation system is in place.
MARK AS DONE
Scientific testing
Scientific testing can be used to identify species and verify the source of origin.
Risk mitigation options
1
Scientific testing
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Conduct targeted timber testing
MARK AS DONE
Mitigation Option : Conduct targeted timber testing
MARK AS DONE
Mitigation Option : Conduct targeted timber testing
MARK AS DONE
Mitigation Option : Conduct targeted timber testing
MARK AS DONE
Mitigation Option : Conduct targeted timber testing
MARK AS DONE
Mitigation Option : Conduct targeted timber testing
MARK AS DONE
Mitigation Option : Conduct targeted timber testing
MARK AS DONE
Supply Chain Mapping
Risk mitigation options
1
Supply chain mapping
Source Types:Natural ForestPlantationBamboo Forest
Mitigation Option : Conduct non-linear supply chain mapping.
Request evidence of traceability and segregation measures to provide clarification on tracking and handling of the material within the facilities. Collect supply chain information and verify information provided is consistent with previous records. Relevant supply chain information is that which helps to confirm the supply chain, incl. origin, species and volume of the material sourced. Examples are, but not limited to: Forest Tenure Certificate, Harvesting permit, VAT Invoices or Self-billing invoice/receipt for smallholders, custom declaration, delivery note/packing list, bill of lading, Quarantine (phytosanitary) documents.
MARK AS DONE
Mitigation Option : Conduct non-linear supply chain mapping.
Request evidence of traceability and segregation measures to provide clarification on tracking and handling of the material within the facilities. Collect supply chain information and verify information provided is consistent with previous records. Relevant supply chain information is that which helps to confirm the supply chain, incl. origin, species and volume of the material sourced. Examples are, but not limited to: Forest Tenure Certificate, Harvesting permit, VAT Invoices or Self-billing invoice/receipt for smallholders, custom declaration, delivery note/packing list, bill of lading, Quarantine (phytosanitary) documents.
MARK AS DONE
Mitigation Option : Conduct non-linear supply chain mapping.
Request evidence of traceability and segregation measures to provide clarification on tracking and handling of the material within the facilities. Collect supply chain information and verify information provided is consistent with previous records. Relevant supply chain information is that which helps to confirm the supply chain, incl. origin, species and volume of the material sourced. Examples are, but not limited to: Forest Tenure Certificate, Harvesting permit, VAT Invoices or Self-billing invoice/receipt for smallholders, custom declaration, delivery note/packing list, bill of lading, Quarantine (phytosanitary) documents.
MARK AS DONE
Mitigation Option : Conduct non-linear supply chain mapping.
Request evidence of traceability and segregation measures to provide clarification on tracking and handling of the material within the facilities. Collect supply chain information and verify information provided is consistent with previous records. Relevant supply chain information is that which helps to confirm the supply chain, incl. origin, species and volume of the material sourced. Examples are, but not limited to: Forest Tenure Certificate, Harvesting permit, VAT Invoices or Self-billing invoice/receipt for smallholders, custom declaration, delivery note/packing list, bill of lading, Quarantine (phytosanitary) documents.
MARK AS DONE
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