Country Risk Profiles

Risk : Lack of Respect for the Protection Buffer Zones, where Cut is not Allowed; Slopes, Riverbanks

Mitigation Option : Verify Forest management plan

Verify logging area in the document

MARK AS DONE

Mitigation Option : Verify Forest management plan

Check that species classified in commercial invoices match the species listed in Forest Management Plan

MARK AS DONE

Risk : Evasion of Minimum Fiscal Fee (CMF) by Logging Companies

Mitigation Option : Verify Forest management plan

Check if trawling tracks are mentioned

MARK AS DONE

Risk : Lack of Planning to Establish Skidding Trails

Mitigation Option : Verify Forest management plan

Check if security measures for constructing roads and temporary bridges are mentioned

MARK AS DONE

Risk : Roads and Temporary Bridges are Constructed Without the Necessary Security Measures, Causing Accidents and Flooding by Blocking Rivers and Streams

Mitigation Option : Verify Forest management plan

Check if by any chance prohibited species are not included and mapped

MARK AS DONE

Risk : To Transport Illegally Harvested Prohibited and Protected Species Codes are Changed and Instead Using Codes of Similar Species

Mitigation Option : Verify Forest management plan

Review trade and transport documents and cross-check information to verify that information on species, quantities and qualities match, and no prohibited species are listed. Verify that products to be purchased correspond with the information provided in documents. This should be done during field verification

MARK AS DONE

Mitigation Option : Verify Forest management plan

MARK AS DONE

Risk : Classification of wood for export do not follow the legal requirements

Mitigation Option : Verify Forest management plan

MARK AS DONE

Risk : Companies present false specifications to reduce the volumes and the classification of the qualities

Favourable report from the Ministry for Agriculture, Livestock, Forests and the Environment

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Favourable report from the Ministry for Agriculture, Livestock, Forests and the

Ensure the documentation for the CAAF application process is complete and signed by the required authorities

MARK AS DONE

Risk : Forest Concessions (CAAF) Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Economic solvency

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Economic solvency

Ensure the documentation for the CAAF application process is complete and signed by the required authorities

MARK AS DONE

Risk : Forest Concessions (CAAF) Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Harvesting permit (Autorización de Apeo)

Source Types:Privately owned forests (continental region)Community Forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

Verify that a harvesting permit is in place, is granted by DGEFIM and signed by the President of the Republic Verify that it is valid and it contains the following: a. Personal Identification Document of the owner of the forest (DIP) b. Identification of the forest plot to be harvested c. Issue and expiration dates (valid 3 months from the date of issue) d. Species to extract and their diameters – it needs to be designated by a technical expert e. A guarantee of conservation and recovery of the forest

MARK AS DONE

Risk : Harvesting Permits for Privately Owned Forest are Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

Verify that a harvesting permit is in place, is granted by DGEFIM and signed by the President of the Republic. Verify the date (valid 1 year from the date of issue)

MARK AS DONE

Risk : Harvesting Permits for Community Forests are Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

Verify that chainsaw loggers have an approved Harvesting Permit appropriately processed by MAGBMA and signed by the President of the Republic. Review the application records of Harvesting permit to verify that the legal required procedure has been followed, and the records include the required legal documents

MARK AS DONE

Risk : Illegal Logging Done Through Verbal Agreements Between Chainsaw Operators and Villages or Individual Owners

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

Check that species classified in commercial invoices match the species listed in Harvesting Permit

MARK AS DONE

Risk : Lack of Respect for the Protection Buffer Zones, where Cut is not Allowed; Slopes, Riverbanks

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

Verify logging area in the document

MARK AS DONE

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

Check that species classified in commercial invoices match the species listed in Harvesting Permit

MARK AS DONE

Risk : Evasion of Minimum Fiscal Fee (CMF) by Logging Companies

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

Check if trawling tracks are mentioned

MARK AS DONE

Risk : Lack of Planning to Establish Skidding Trails

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

Check if security measures for constructing roads and temporary bridges are mentioned

MARK AS DONE

Risk : Roads and Temporary Bridges are Constructed Without the Necessary Security Measures, Causing Accidents and Flooding by Blocking Rivers and Streams

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

Check if by any chance prohibited species are not included and mapped

MARK AS DONE

Risk : To Transport Illegally Harvested Prohibited and Protected Species Codes are Changed and Instead Using Codes of Similar Species

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

Verify that the area harvested is within the limits established in the Measurement Certificate and within the map of the forest annexed in the Harvesting Permit or CAAF.

MARK AS DONE

Risk : Risk of Illegal Harvesting in Protected Areas

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

MARK AS DONE

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

MARK AS DONE

Risk : Classification of wood for export do not follow the legal requirements

Mitigation Option : Verify Harvesting permit (Autorización de Apeo)

MARK AS DONE

Risk : Companies present false specifications to reduce the volumes and the classification of the qualities

Property title of privately owned forests

Source Types:Privately owned forests (continental region)

Mitigation Option : Verify Property title of privately owned forests

Ensure the following documentation was complete and reviewed prior to issuing of the harvesting permit

MARK AS DONE

Risk : Harvesting Permits for Privately Owned Forest are Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Bond commitment (right of occupation) to be paid to the Public Treasury

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Bond commitment (right of occupation) to be paid to the Public Treasury

Ensure the documentation for the CAAF application process is complete and signed by the required authorities

MARK AS DONE

Risk : Forest Concessions (CAAF) Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Chainsaw registry

Source Types:Privately owned forests (continental region)

Mitigation Option : Verify Chainsaw registry

Ensure the following documentation was complete and reviewed prior to issuing of the harvesting permit

MARK AS DONE

Risk : Harvesting Permits for Privately Owned Forest are Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Feasibility study (the study must be completed by a technical expert recognized by the forest administration)

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Feasibility study (the study must be completed by a technical expert recognized

Ensure the documentation for the CAAF application process is complete and signed by the required authorities

MARK AS DONE

Risk : Forest Concessions (CAAF) Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Technical information about the commercial trees in the forest area

Source Types:Privately owned forests (continental region)

Mitigation Option : Verify Technical information about the commercial trees in the forest area

Ensure the following documentation was complete and reviewed prior to issuing of the harvesting permit

MARK AS DONE

Risk : Harvesting Permits for Privately Owned Forest are Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Authorization of local sale

Source Types:Privately owned forests (continental region)

Mitigation Option : Verify Authorization of local sale

Ensure the following documentation was complete and reviewed prior to issuing of the harvesting permit

MARK AS DONE

Risk : Harvesting Permits for Privately Owned Forest are Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Timber processing commitment- presented in the form of a Manifesto Act

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Timber processing commitment- presented in the form of a Manifesto Act

Ensure the documentation for the CAAF application process is complete and signed by the required authorities

MARK AS DONE

Risk : Forest Concessions (CAAF) Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Social works commitment

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Social works commitment

Ensure the documentation for the CAAF application process is complete and signed by the required authorities

MARK AS DONE

Risk : Forest Concessions (CAAF) Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Mitigation Option : Verify Social works commitment

The social works will be specified, with projects and budgets, in a contract signed by the government on the recommendation of the beneficiaries

MARK AS DONE

Risk : Lack of social works in the villages and municipalities surrounding the forest area harvested

Certificate of recognition of the communal forest (signed by the President of the Republic)

Source Types:Community Forests (continental region)

Mitigation Option : Verify Certificate of recognition of the communal forest (signed by the President of th

Verify that the documents is included in the Harvesting Permit

MARK AS DONE

Risk : Harvesting Permits for Community Forests are Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Testimony report from the government

Source Types:Community Forests (continental region)

Mitigation Option : Verify Testimony report from the government

Verify that the documents is included in the Harvesting Permit

MARK AS DONE

Risk : Harvesting Permits for Community Forests are Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Industrial Establishment Registry Book

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Industrial Establishment Registry Book

Verify the company beneficiary of the CAAF has a primary or secondary processing industry legally registered and operating in the country. This can be checked at the Industrial Establishment Registry Book, obtained at the Ministry of Industry as well as at the Registry of MAGBMA

MARK AS DONE

Risk : Forest Concessions (CAAF) Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Request to MAGBMA (stating the justification for harvesting of the communal forest, with such request signed by the community representative)

Source Types:Community Forests (continental region)

Mitigation Option : Verify Request to MAGBMA (stating the justification for harvesting of the communal fore

Verify that the documents is included in the Harvesting Permit

MARK AS DONE

Risk : Harvesting Permits for Community Forests are Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

List of priority works (Listado de Obras Sociales) for the community, agreed and signed by members of the council

Source Types:Community Forests (continental region)

Mitigation Option : Verify List of priority works (Listado de Obras Sociales) for the community, agreed and

Verify that the documents is included in the Harvesting Permit

MARK AS DONE

Risk : Harvesting Permits for Community Forests are Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Mitigation Option : Verify List of priority works (Listado de Obras Sociales) for the community, agreed and

Check that the document is agreed and signed by members of the village council. Verify that it includes a budget, and proof of payment of the social works carried out. Check that the cost of carrying out said works corresponds to what is paid according to the area used. This needs to be checked during field verification.

MARK AS DONE

Risk : The mechanisms for distributing the forest benefits between the parties are not applied in a way to ensure benefits to all communities.

Request to the Minister

Source Types:Community Forests (continental region)

Mitigation Option : Verify request addressed to the responsible minister - ensure the documentation is complete prior to issuing the permit

Ensure the documentation is complete prior to issuing the Harvesting permit. Request should clearly state the justification for harvesting of the communal forest, with such request signed by the community representative.

MARK AS DONE

Risk : Harvesting Permits for Community Forests are Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Proof of Payment of Conservation fee

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Proof of Payment of Conservation fee

Cross-check proof of taxes payments with the taxes payment requirements, to verify adequate levels of payment and that all payments have been paid to the State.

MARK AS DONE

Risk : Evasion of Payments of Forest Occupation Fees, Conservation Fees, and Compensation Fees

Purchase and sale invoices

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Purchase and sale invoices

Check that the purchase and sale invoices issued show 15% VAT

MARK AS DONE

Risk : Timber Processing Industries Do Not Report Their Total Production to Avoid Paying Value-Added Tax (VAT)

VAT summary declarations

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify VAT summary declarations

Verify that the declared VAT amount corresponds to the production data (sales) made by the company.

MARK AS DONE

Risk : Timber Processing Industries Do Not Report Their Total Production to Avoid Paying Value-Added Tax (VAT)

Proof of VAT payment

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Proof of VAT payment

Verify that the declared VAT amount corresponds to the production data (sales) made by the company.

MARK AS DONE

Risk : Timber Processing Industries Do Not Report Their Total Production to Avoid Paying Value-Added Tax (VAT)

Transport guide (Guía de Transporte)

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Transport guide (Guía de Transporte)

To be checked during field verification.

Transport Guide to identify if transported to the port, to verify if the species and the minimum diameters are transported.

MARK AS DONE

Risk : Risk of Not Conducting Selective Cutting when Harvesting

Mitigation Option : Verify Transport guide (Guía de Transporte)

To be checked during field verification.

Transport Guide to identify if transported to the port, to verify if the species and the minimum diameters are transported.

MARK AS DONE

Risk : Logging of Species with a Smaller Diameter than Authorized

Mitigation Option : Verify Transport guide (Guía de Transporte)

To be checked during field verification.

Transport Guide to identify if transported to the port, to verify if the species and the minimum diameters are transported.

MARK AS DONE

Risk : Logging of Forest Stands Prior to the Required 25 Years Rotation Cycle

Mitigation Option : Verify Transport guide (Guía de Transporte)

MARK AS DONE

Risk : To Transport Illegally Harvested Prohibited and Protected Species Codes are Changed and Instead Using Codes of Similar Species

Mitigation Option : Verify Transport guide (Guía de Transporte)

MARK AS DONE

Risk : Classification of wood for export do not follow the legal requirements

Mitigation Option : Verify Transport guide (Guía de Transporte)

MARK AS DONE

Risk : Companies present false specifications to reduce the volumes and the classification of the qualities

Mitigation Option : Verify Transport guide (Guía de Transporte)

Review transport guide and verify that all information is provided and valid as required. This should be done during field verification

MARK AS DONE

Risk : Change of Information in the Transport Guide During Transport – Required Information is Altered (Species, Volume or Quantity Transported, Date and Time of Commencement

Mitigation Option : Verify Transport guide (Guía de Transporte)

Review transport guide and verify that all information is provided and valid as required. This should be done during field verification

MARK AS DONE

Risk : Transport of Wood Without Transport Guide in Illegal Logging Zones and Bribe the Controlling Agents

Mitigation Option : Verify Transport guide (Guía de Transporte)

Review transport guide and verify that all information is provided and valid as required. This should be done during field verification

MARK AS DONE

Risk : Use of Expired Transport Guides and Repeated Use of a Guide When it is Lack of Required Information and to Bribe the Controlling Agents

Reports of ‘re-cubing’ and reclassification of wood

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Reports of ‘re-cubing’ and reclassification of wood

Check during field verification. Prior to that, check the tax and fees rates in applicable legislation to confirm the current legal vacuum on forest rates

MARK AS DONE

Mitigation Option : Verify Reports of ‘re-cubing’ and reclassification of wood

Check during field verification. Prior to that, check the tax and fees rates in applicable legislation to confirm the current legal vacuum on forest rates

MARK AS DONE

Risk : Evasion of Minimum Fiscal Fee (CMF) by Logging Companies

Commercial invoice

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Commercial invoice

Review of commercial invoices requesting the guides relating to the price list and species. Check that species classified in commercial invoices match the species listed in Forest Management Plan or Harvesting Permit

MARK AS DONE

Risk : Classification of wood for export do not follow the legal requirements

Mitigation Option : Verify Commercial invoice

MARK AS DONE

Risk : Evasion of Minimum Fiscal Fee (CMF) by Logging Companies

Mitigation Option : Verify Commercial invoice

MARK AS DONE

Mitigation Option : Verify Commercial invoice

MARK AS DONE

Risk : Companies present false specifications to reduce the volumes and the classification of the qualities

Mitigation Option : Verify Commercial invoice

MARK AS DONE

Risk : To Transport Illegally Harvested Prohibited and Protected Species Codes are Changed and Instead Using Codes of Similar Species

Mitigation Option : Verify Commercial invoice

Verify that the commercial invoice and the specification has been submitted to DGEFIM within a period not exceeding two weeks after export

MARK AS DONE

Risk : Illegal Export of Roundwood (valid for logs exported prior to 26 October, 2020)

CMF (Minimum Fiscal Fee)

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify CMF (Minimum Fiscal Fee)

Proof of CMF (Minimum Fiscal Fee) entered in the Public Treasury (should be provided by the company). Verify that the amount matches in the following databases: - in receipts by the officials at CMF and - the amount recorded in the Public Treasury an - actual turn-over

MARK AS DONE

Mitigation Option : Verify CMF (Minimum Fiscal Fee)

MARK AS DONE

Risk : Evasion of Minimum Fiscal Fee (CMF) by Logging Companies

Employment documents

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Employment documents

Check that formalized employment contracts for all workers are in place, and workers are registered in MAGBMA

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Mitigation Option : Verify Employment documents

Review employment contracts to verify that employees are local workers. This should be done during field verification

MARK AS DONE

Risk : Violation of health and safety requirements during harvesting activities

Formalization of the employment contract

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Formalization of the employment contract

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Records of employers' registration in INSESO

Source Types:National Forests (Forests concessions) (continental region)Community Forests (continental region)Privately owned forests (continental region)

Mitigation Option : Verify Records of employers' registration in INSESO

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Mitigation Option : Verify Records of employers' registration in INSESO

Review cases of accidents registered

MARK AS DONE

Mitigation Option : Verify Records of employers' registration in INSESO

Review cases of accidents registered

MARK AS DONE

Risk : Lack of fulfilment of health and safety requirements for the companies; lack of health and safety committees in the companies, no distribution, and no use of adequate safety equipment by employees, use of inadequate vehicles to transport employees

National Institute for Forest Development and Management of Protected Areas (INDEFOR)

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify National Institute for Forest Development and Management of Protected Areas (IND

Verify if there are recordings of the illegal entries of companies operating in protected areas

MARK AS DONE

Risk : Risk of Illegal Harvesting in Protected Areas

Workers’ social security affiliation documents

Source Types:National Forests (Forests concessions) (continental region)Community Forests (continental region)Privately owned forests (continental region)

Mitigation Option : Verify Workers’ social security affiliation documents

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Mitigation Option : Verify Workers’ social security affiliation documents

MARK AS DONE

Risk : Violation of health and safety requirements during harvesting activities

Mitigation Option : Verify Workers’ social security affiliation documents

MARK AS DONE

Insurance card

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Insurance card

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Job certificate

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Job certificate

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Wage registration book

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Wage registration book

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Special Harvesting permit

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Special Harvesting permit

In case of use of special species, verify that the special Harvesting permit granted by the responsible ministry is in place. Review the file for requesting special permit and compliance with the legal process requirements

MARK AS DONE

Risk : Guibourtia tessmannii - Illegal Logging Without Permit or With Fraudulent Permit

Mitigation Option : Verify Special Harvesting permit

MARK AS DONE

Risk : Diospyros crassiflora - Risk of Illegal Logging Without Permit or With Fraudulent Permit

Mitigation Option : Verify Special Harvesting permit

MARK AS DONE

Risk : Milletia laurentii - Risk of Illegal Logging Without Permit or With Fraudulent Permit

Work permits for foreigners

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Work permits for foreigners

Check if foreign workers have work permits - during field verification

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Work inspection book

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Work inspection book

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Environmental Impact Assessment (EIA)

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Environmental Impact Assessment (EIA)

Check if documents are approved by the MAGBMA

MARK AS DONE

Risk : Logging is done without Environmental Licenses and Environmental Impact Assessments

Mitigation Option : Verify Environmental Impact Assessment (EIA)

Check if documents are approved by the MAGBMA

MARK AS DONE

Risk : Installation of Industries without Conducting an Environmental and Social Impact Assessment, which Implies the Absence of an Environmental License

Social security cards

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Social security cards

Check workers are registered on the social security regime of the INSESO by reviewing their social security cards at the INSESO office

MARK AS DONE

Risk : Lack of Registration of the Workers in the National Social Security Institute (INSESO)

Environmental license

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Environmental license

Check if documents are approved by the MAGBMA

MARK AS DONE

Risk : Logging is done without Environmental Licenses and Environmental Impact Assessments

Mitigation Option : Verify Environmental license

Check if documents are approved by the MAGBMA

MARK AS DONE

Risk : Installation of Industries without Conducting an Environmental and Social Impact Assessment, which Implies the Absence of an Environmental License

Worker contributions to INSESO

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Worker contributions to INSESO

MARK AS DONE

Risk : Lack of Registration of the Workers in the National Social Security Institute (INSESO)

Company training records

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Company training records

MARK AS DONE

Risk : Lack of Training of Employees by the Forestry Companies

Internal regulations on safety and health, or a workplace risk and accident prevention plan

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Internal regulations on safety and health, or a workplace risk and accident prev

MARK AS DONE

Risk : Violation of health and safety requirements during harvesting activities

Mitigation Option : Verify Internal regulations on safety and health, or a workplace risk and accident prev

MARK AS DONE

Registration of personal protective equipment delivery

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Registration of personal protective equipment delivery

MARK AS DONE

Risk : Violation of health and safety requirements during harvesting activities

Mitigation Option : Verify Registration of personal protective equipment delivery

MARK AS DONE

Registration of training of workers with respect to health and safety

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Registration of training of workers with respect to health and safety

MARK AS DONE

Risk : Violation of health and safety requirements during harvesting activities

Mitigation Option : Verify Registration of training of workers with respect to health and safety

MARK AS DONE

Accident record/file

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Accident record/file

MARK AS DONE

Risk : Violation of health and safety requirements during harvesting activities

Mitigation Option : Verify Accident record/file

MARK AS DONE

Deposit to the local commercial bank

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Deposit to the local commercial bank

CAAF holder shall deposit a bond equivalent to 50% of the total cost of the works

MARK AS DONE

Risk : Lack of social works in the villages and municipalities surrounding the forest area harvested

Inspection reports

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Inspection reports

Review inspection reports on violations in relation to fruit trees of communities that may be affected by harvesting. The reports should be found in the Forest administration.

MARK AS DONE

Risk : There is a risk that fruit trees are harvested during the logging

Delivery note

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Delivery note

MARK AS DONE

Risk : To Transport Illegally Harvested Prohibited and Protected Species Codes are Changed and Instead Using Codes of Similar Species

Mitigation Option : Verify Delivery note

MARK AS DONE

Risk : Classification of wood for export do not follow the legal requirements

Mitigation Option : Verify Delivery note

MARK AS DONE

Risk : Companies present false specifications to reduce the volumes and the classification of the qualities

Mitigation Option : Verify Delivery note

MARK AS DONE

Risk : Illegal Export Without Documentation or the Approval of the Forest Administration

Wood classification sheet

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Wood classification sheet

MARK AS DONE

Risk : Classification of wood for export do not follow the legal requirements

Mitigation Option : Verify Wood classification sheet

MARK AS DONE

Risk : Companies present false specifications to reduce the volumes and the classification of the qualities

Mitigation Option : Verify Wood classification sheet

MARK AS DONE

Risk : To Transport Illegally Harvested Prohibited and Protected Species Codes are Changed and Instead Using Codes of Similar Species

Transport delivery notes

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Transport delivery notes

MARK AS DONE

Risk : Classification of wood for export do not follow the legal requirements

Mitigation Option : Verify Transport delivery notes

MARK AS DONE

Risk : Companies present false specifications to reduce the volumes and the classification of the qualities

Mitigation Option : Verify Transport delivery notes

MARK AS DONE

Risk : To Transport Illegally Harvested Prohibited and Protected Species Codes are Changed and Instead Using Codes of Similar Species

Customs

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Customs

Visit customs site to check if wood stackers have company’s logo.

MARK AS DONE

Risk : Wood in the stacks without the company’s logo—wood from unclear origin

Export License

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Export License

Verify that export company holds a valid Export License

MARK AS DONE

Risk : Illegal Export Without Documentation or the Approval of the Forest Administration

Control Act Loading Containers with Processed Wood

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Control Act Loading Containers with Processed Wood

Verify Control Act Loading Containers with Processed Wood is valid and signed by following authorities; 1. OCIPEF (Shipping Agency), 2. Port Police Body, 3. National security Body, Administration of the Port of Bata, 4. Customs (Export Section), 5. Consignee Agency of the Port of Bata (IMAGE SA).

MARK AS DONE

Risk : Illegal Export Without Documentation or the Approval of the Forest Administration

CITES certificate signed by the administrative authority

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify CITES certificate signed by the administrative authority

Verify CITES certificate to check if prohibited species are not included. 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.). Information (species, quantity, date, etc) on the Shipping Guide shall match the commercial invoice, packing list and phytosanitary certificate (if applicable).

MARK AS DONE

Risk : Prunus africana is Exported with CITES Certificate despite National Export Ban

Mitigation Option : Verify CITES certificate signed by the administrative authority

MARK AS DONE

Risk : Species Guibourtia tessmannii is Exported with CITES Certificate despite National Export Ban

Mitigation Option : Verify CITES certificate signed by the administrative authority

MARK AS DONE

Risk : Diospyros crassiflora is Exported with CITES Certificate despite National Export Ban

Mitigation Option : Verify CITES certificate signed by the administrative authority

MARK AS DONE

Risk : Milletia laurentii is exported with CITES certificate despite national export ban

Shipping Guide

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Shipping Guide

Verify that there is a valid Shipping Guide by OCIPEF. And revise the application dossier to ensure required application process is fulfilled.

MARK AS DONE

Risk : Illegal Export Without Documentation or the Approval of the Forest Administration

Receipt of the payment

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Receipt of the payment

Verify receipt of the payment of customs fees, and fees related to exporting timber

MARK AS DONE

Risk : Illegal Export Without Documentation or the Approval of the Forest Administration

Application for boarding permits

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Application for boarding permits

Verify the Application for boarding permits have been submitted and approved by the following authorities; 1. Customs, 2. Port Administration and; 3. Regional Delegation of the MAGBMA (Forest Governance Section)

MARK AS DONE

Risk : Illegal Export Without Documentation or the Approval of the Forest Administration

Do not buy

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Avoid importing CITES species from Eq. Guinea

CITES Conference of the Parties and the Standing Committee recommends to suspend trade of CITES species from the country.

The annual quota for CITES protected species is not developed as required, thus it is not possible to verify if permits for CITES do not exceed those limits.

MARK AS DONE

Risk : CITES certificates are Granted Without Availability Assessment and Without Annual Quotas

Legalization and Registration of the statutes of the company in the Notary

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Legalization and Registration of the statutes of the company in the Notary

Verify that the companies involved in the supply chain are properly registered and authorized to conduct their activities in the country

MARK AS DONE

Risk : Forestry and Wood Processing Companies Operating without Registration Documentation Required by The State Government

Shipment manifest

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Shipment manifest

Verify the shipment manifest (Manifiesto de Embarque), signed by 1. Customs Administration (Head of export and main administrator), 2. Captain of the ship, 3. Consignatory Agency (IMAGE SA).

MARK AS DONE

Risk : Illegal Export Without Documentation or the Approval of the Forest Administration

Registration in the corresponding Department (according to the company's corporate purpose)

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Registration in the corresponding Department (according to the company's corpora

Verify that the companies involved in the supply chain are properly registered and authorized to conduct their activities in the country

MARK AS DONE

Risk : Forestry and Wood Processing Companies Operating without Registration Documentation Required by The State Government

Forest concession application reports

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Forest concession application reports

Review forest concession application reports to see if industrialization projects are implemented.

MARK AS DONE

Risk : Companies Operate without Development of an Industry

Statistic reports covering forest processing industries

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Verify Statistic reports covering forest processing industries

Review statistic reports covering forest processing industries to verify the coefficient of use of the roundwood of each company.

MARK AS DONE

Risk : Companies Operate without Development of an Industry

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

Local villages authorities

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Consult Local villages authorities

Verify that there is no conflicts regarding land tenure; and in case of potential conflicts, how they have been resolved.

MARK AS DONE

Risk : Risk of Potential Overlap of Lands Under a Harvesting Permit or CAAF

Mitigation Option : Consult Local villages authorities

Verify that there is no conflicts regarding land tenure; and in case of potential conflicts, how they have been resolved.

MARK AS DONE

Risk : Risk that Logging Companies Harvest Timber within the 2km Buffer Zones around Villages that Have Been Included in the Concession Area

Mitigation Option : Consult Local villages authorities

Verify that there is no conflicts regarding land tenure; and in case of potential conflicts, how they have been resolved.

MARK AS DONE

Risk : Traditional Occupation and Land Use by Local Inhabitants Without Required Documentation, which Generate Property Conflicts when Forest Concessions are Awarded on the Same Land

Mitigation Option : Consult Local villages authorities

Interview stakeholders to ensure that people operating in the filed knows about logging requirements, minimum diameters. It is important to verify it specially with people who mark the trees before the chainsaw operators go to cut them to verify whether forest loggers implement selective cutting and minimum diameter rule was followed.

MARK AS DONE

Risk : Logging of Forest Stands Prior to the Required 25 Years Rotation Cycle

Mitigation Option : Consult Local villages authorities

MARK AS DONE

Risk : Risk of Not Conducting Selective Cutting when Harvesting

Mitigation Option : Consult Local villages authorities

MARK AS DONE

Risk : Logging of Species with a Smaller Diameter than Authorized

Mitigation Option : Consult Local villages authorities

Verify that trawling tracks are established

MARK AS DONE

Risk : Lack of Planning to Establish Skidding Trails

Mitigation Option : Consult Local villages authorities

Verify if security measures for constructing roads and temporary bridges are mentioned

MARK AS DONE

Risk : Roads and Temporary Bridges are Constructed Without the Necessary Security Measures, Causing Accidents and Flooding by Blocking Rivers and Streams

Mitigation Option : Consult Local villages authorities

Consult about how requirements for formalization of the work contracts for seasonal and discontinuous work has been followed.

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Mitigation Option : Consult Local villages authorities

Consult to verify the degree of compliance to implement social works

MARK AS DONE

Risk : Lack of social works in the villages and municipalities surrounding the forest area harvested

Mitigation Option : Consult Local villages authorities

Consult to verify that fruit trees were not harvested

MARK AS DONE

Risk : There is a risk that fruit trees are harvested during the logging

Mitigation Option : Consult Local villages authorities

Consult to verify that local workers were hired.

MARK AS DONE

Risk : Risk of Potential Overlap of Lands Under a Harvesting Permit or CAAF

Forest Administration

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Consult Forest Administration

Verify that there is no conflicts regarding land tenure; and in case of potential conflicts, how they have been resolved.

MARK AS DONE

Mitigation Option : Consult Forest Administration

Verify that there is no conflicts regarding land tenure; and in case of potential conflicts, how they have been resolved.

MARK AS DONE

Risk : Risk that Logging Companies Harvest Timber within the 2km Buffer Zones around Villages that Have Been Included in the Concession Area

Mitigation Option : Consult Forest Administration

Verify that there is no conflicts regarding land tenure; and in case of potential conflicts, how they have been resolved.

MARK AS DONE

Risk : Traditional Occupation and Land Use by Local Inhabitants Without Required Documentation, which Generate Property Conflicts when Forest Concessions are Awarded on the Same Land

Mitigation Option : Consult Forest Administration

Consult about level of compliance to the Forest Management Plans requirements

MARK AS DONE

Risk : Lack of Forest Management Plan Implementation by the Companies

Mitigation Option : Consult Forest Administration

Consult to verify that the Harvesting Permit for chainsaw operations has been granted in compliance with the legal requirements.

MARK AS DONE

Risk : Illegal Logging Done Through Verbal Agreements Between Chainsaw Operators and Villages or Individual Owners

Mitigation Option : Consult Forest Administration

MARK AS DONE

Risk : Logging of Forest Stands Prior to the Required 25 Years Rotation Cycle

Mitigation Option : Consult Forest Administration

Consult to verify that payment of the VAT has occurred as established by the tax law.

MARK AS DONE

Risk : Timber Processing Industries Do Not Report Their Total Production to Avoid Paying Value-Added Tax (VAT)

Mitigation Option : Consult Forest Administration

MARK AS DONE

Risk : Risk of Not Conducting Selective Cutting when Harvesting

Mitigation Option : Consult Forest Administration

MARK AS DONE

Risk : Logging of Species with a Smaller Diameter than Authorized

Mitigation Option : Consult Forest Administration

Verify that the Minimum Fiscal Fee (CMF) is paid as established by the tax law.

MARK AS DONE

Risk : Roads and Temporary Bridges are Constructed Without the Necessary Security Measures, Causing Accidents and Flooding by Blocking Rivers and Streams

Mitigation Option : Consult Forest Administration

Verify that trawling tracks are established

MARK AS DONE

Risk : Lack of Planning to Establish Skidding Trails

Mitigation Option : Consult Forest Administration

Verify that the Minimum Fiscal Fee (CMF) is paid as established by the tax law.

MARK AS DONE

Risk : Evasion of Minimum Fiscal Fee (CMF) by Logging Companies

Mitigation Option : Consult Forest Administration

Verify if security measures for constructing roads and temporary bridges are mentioned

MARK AS DONE

Mitigation Option : Consult Forest Administration

Consult about how requirements for formalization of the work contracts for seasonal and discontinuous work has been followed.

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Mitigation Option : Consult Forest Administration

Interview forest administration and control agent (person should be appointed by the forest administration to report monthly on the use and implementation of the planned communal works) about implementation of planned communal works.

MARK AS DONE

Risk : The mechanisms for distributing the forest benefits between the parties are not applied in a way to ensure benefits to all communities.

Mitigation Option : Consult Forest Administration

Consult to verify the degree of compliance to implement social works

MARK AS DONE

Risk : Lack of social works in the villages and municipalities surrounding the forest area harvested

Mitigation Option : Consult Forest Administration

Consult to verify that fruit trees were not harvested

MARK AS DONE

Risk : There is a risk that fruit trees are harvested during the logging

Mitigation Option : Consult Forest Administration

Consult on the processes applicable to the classification of wood and transportation.

MARK AS DONE

Risk : To Transport Illegally Harvested Prohibited and Protected Species Codes are Changed and Instead Using Codes of Similar Species

Mitigation Option : Consult Forest Administration

Consult to verify that local workers were hired.

MARK AS DONE

Risk : Classification of wood for export do not follow the legal requirements

Mitigation Option : Consult Forest Administration

Consult on the processes applicable to the classification of wood and transportation.

MARK AS DONE

Mitigation Option : Consult Forest Administration

Consult on the processes applicable to the classification of wood and transportation.

MARK AS DONE

Risk : Companies present false specifications to reduce the volumes and the classification of the qualities

INDEFOR-AP inspection report

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Consult INDEFOR-AP inspection report

Verify that there is no conflicts regarding land tenure; and in case of potential conflicts, how they have been resolved.

MARK AS DONE

Risk : Risk of Potential Overlap of Lands Under a Harvesting Permit or CAAF

Mitigation Option : Consult INDEFOR-AP inspection report

Verify that there is no conflicts regarding land tenure; and in case of potential conflicts, how they have been resolved.

MARK AS DONE

Risk : Risk that Logging Companies Harvest Timber within the 2km Buffer Zones around Villages that Have Been Included in the Concession Area

Mitigation Option : Consult INDEFOR-AP inspection report

Verify that there is no conflicts regarding land tenure; and in case of potential conflicts, how they have been resolved.

MARK AS DONE

Risk : Traditional Occupation and Land Use by Local Inhabitants Without Required Documentation, which Generate Property Conflicts when Forest Concessions are Awarded on the Same Land

Local communities

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Consult Local communities

Verify if any conflicts are ongoing, and what actions has been applied to deal with the potential conflict.

MARK AS DONE

Risk : Risk of Potential Overlap of Lands Under a Harvesting Permit or CAAF

Mitigation Option : Consult Local communities

Verify if any conflicts are ongoing, and what actions has been applied to deal with the potential conflict.

MARK AS DONE

Risk : Risk that Logging Companies Harvest Timber within the 2km Buffer Zones around Villages that Have Been Included in the Concession Area

Mitigation Option : Consult Local communities

Verify if any conflicts are ongoing, and what actions has been applied to deal with the potential conflict.

MARK AS DONE

Risk : Traditional Occupation and Land Use by Local Inhabitants Without Required Documentation, which Generate Property Conflicts when Forest Concessions are Awarded on the Same Land

Mitigation Option : Consult Local communities

Consult about level of compliance to the Forest Management Plans requirements

MARK AS DONE

Risk : Lack of Forest Management Plan Implementation by the Companies

Mitigation Option : Consult Local communities

Interview community members if the communal works were implemented

MARK AS DONE

Risk : The mechanisms for distributing the forest benefits between the parties are not applied in a way to ensure benefits to all communities.

Mitigation Option : Consult Local communities

Consult to verify that fruit trees were not harvested

MARK AS DONE

Risk : There is a risk that fruit trees are harvested during the logging

Mitigation Option : Consult Local communities

Consult to verify that fruit trees were not harvested

MARK AS DONE

Risk : There is a risk that fruit trees are harvested during the logging

Mitigation Option : Consult Local communities

Consult to verify that local workers were hired.

MARK AS DONE

Mitigation Option : Consult Local communities

Consult to verify that local workers were hired.

MARK AS DONE

Risk : Forest Concessions (CAAF) Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

National Institute for Forest Development and Management of Protected Areas (INDEFOR)

Source Types:National Forests (Forests concessions) (continental region)Community Forests (continental region)Privately owned forests (continental region)

Mitigation Option : Consult with responsible people in National Institute for Forest Development and Management of Protected Areas (INDEFOR)

Confirm the company has follow the correct procedures to obtain the CAAF

MARK AS DONE

Mitigation Option : Consult with INDEFOR technicians

Confirm/discuss if the level of the management plan is sufficient

MARK AS DONE

Risk : Development of Forest Management Plans Without the Required Contents

Mitigation Option : Consult National Institute for Forest Development and Management of Protected Areas (IND

Consult stakeholder regarding their perception of illegal activities by a specific company relating to harvesting in protected areas.

MARK AS DONE

Risk : Risk of Illegal Harvesting in Protected Areas

Mitigation Option : Consult National Institute for Forest Development and Management of Protected Areas (IND

Check with INDEFOR-AP for knowledge of protected species that suffer threats of exploitation without a special harvesting permit

MARK AS DONE

Risk : Guibourtia tessmannii - Illegal Logging Without Permit or With Fraudulent Permit

Mitigation Option : Consult National Institute for Forest Development and Management of Protected Areas (IND

Check with INDEFOR-AP for knowledge of protected species that suffer threats of exploitation without a special harvesting permit

MARK AS DONE

Risk : Diospyros crassiflora - Risk of Illegal Logging Without Permit or With Fraudulent Permit

Mitigation Option : Consult National Institute for Forest Development and Management of Protected Areas (IND

Check with INDEFOR-AP for knowledge of protected species that suffer threats of exploitation without a special harvesting permit

MARK AS DONE

Risk : Milletia laurentii - Risk of Illegal Logging Without Permit or With Fraudulent Permit

Ministry for Agriculture, Livestock, Forests and the Environment (MAGBMA)

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Consult with MAGBMA tehcnicians

Confirm/discuss if the level of the management plan is sufficient

MARK AS DONE

Risk : Development of Forest Management Plans Without the Required Contents

Mitigation Option : Consult with responsible people in the MAGBMA

Confirm the company has follow the correct procedures to obtain the CAAF

MARK AS DONE

Risk : Forest Concessions (CAAF) Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Logging company

Source Types:National Forests (Forests concessions) (continental region)Community Forests (continental region)Privately owned forests (continental region)

Mitigation Option : Consult Logging companies

Consult about level of compliance to the Forest Management Plans requirements

MARK AS DONE

Risk : Lack of Forest Management Plan Implementation by the Companies

Mitigation Option : Consult Logging companies

Talk with the logging companies which hold a CAAF to verify they understand the required process and documents required to obtain a CAAF - ensure they have followed the correct procedure

MARK AS DONE

Risk : Forest Concessions (CAAF) Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Mitigation Option : Consult Logging companies

Consult to verify that payment of the VAT has occurred as established by the tax law.

MARK AS DONE

Risk : Timber Processing Industries Do Not Report Their Total Production to Avoid Paying Value-Added Tax (VAT)

Mitigation Option : Consult Logging companies

Verify the accuracy of the documents delivered

MARK AS DONE

Risk : Lack of Respect for the Protection Buffer Zones, where Cut is not Allowed; Slopes, Riverbanks

Mitigation Option : Interview logging company workers

Interview with logging company workers in the field to ensure they understand logging restrictions, ensuring they know where the limits of the harvesting area are, as well as they know which are the key elements to be protected (riverbanks, slope areas, swamp areas,)

MARK AS DONE

Mitigation Option : Consult Logging companies

Verify the accuracy of the documents delivered

MARK AS DONE

Risk : Evasion of Minimum Fiscal Fee (CMF) by Logging Companies

Mitigation Option : Consult Logging company

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Mitigation Option : Consult Logging company

Consult on the processes applicable to the classification of wood and transportation.

MARK AS DONE

Risk : To Transport Illegally Harvested Prohibited and Protected Species Codes are Changed and Instead Using Codes of Similar Species

Mitigation Option : Consult Logging company

Consult on the processes applicable to the classification of wood and transportation.

MARK AS DONE

Risk : Classification of wood for export do not follow the legal requirements

Mitigation Option : Consult Logging company

Consult on the processes applicable to the classification of wood and transportation.

MARK AS DONE

Risk : Companies present false specifications to reduce the volumes and the classification of the qualities

Office of Control, Information and Promotion of Forest Species (OCIPEF)

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Consult Office of Control, Information and Promotion of Forest Species (OCIPEF)

Consult to verify that payment of the VAT has occurred as established by the tax law.

MARK AS DONE

Risk : Timber Processing Industries Do Not Report Their Total Production to Avoid Paying Value-Added Tax (VAT)

Mitigation Option : Consult Office of Control, Information and Promotion of Forest Species (OCIPEF)

Verify that the Minimum Fiscal Fee (CMF) is paid as established by the tax law.

MARK AS DONE

Risk : To Transport Illegally Harvested Prohibited and Protected Species Codes are Changed and Instead Using Codes of Similar Species

Mitigation Option : Consult Office of Control, Information and Promotion of Forest Species (OCIPEF)

Verify that the Minimum Fiscal Fee (CMF) is paid as established by the tax law.

MARK AS DONE

Risk : Evasion of Minimum Fiscal Fee (CMF) by Logging Companies

Mitigation Option : Consult Office of Control, Information and Promotion of Forest Species (OCIPEF)

Consult on the processes applicable to the classification of wood and transportation.

MARK AS DONE

Mitigation Option : Consult Office of Control, Information and Promotion of Forest Species (OCIPEF)

Consult on the processes applicable to the classification of wood and transportation.

MARK AS DONE

Risk : Classification of wood for export do not follow the legal requirements

Mitigation Option : Consult Office of Control, Information and Promotion of Forest Species (OCIPEF)

Consult on the processes applicable to the classification of wood and transportation.

MARK AS DONE

Risk : Companies present false specifications to reduce the volumes and the classification of the qualities

Forest company

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Consult Forest company

MARK AS DONE

Risk : Risk of Not Conducting Selective Cutting when Harvesting

Mitigation Option : Consult Forest company

MARK AS DONE

Risk : Logging of Species with a Smaller Diameter than Authorized

Mitigation Option : Consult Forest company

Verify that trawling tracks are established

MARK AS DONE

Risk : Lack of Planning to Establish Skidding Trails

Mitigation Option : Consult Forest company

Verify if security measures for constructing roads and temporary bridges are mentioned

MARK AS DONE

Risk : Roads and Temporary Bridges are Constructed Without the Necessary Security Measures, Causing Accidents and Flooding by Blocking Rivers and Streams

Mitigation Option : Consult Forest company

MARK AS DONE

Risk : Logging of Forest Stands Prior to the Required 25 Years Rotation Cycle

Customs

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Consult Customs

Verify the accuracy of the documents delivered

MARK AS DONE

Risk : To Transport Illegally Harvested Prohibited and Protected Species Codes are Changed and Instead Using Codes of Similar Species

Mitigation Option : Consult Customs

Verify the accuracy of the documents delivered

MARK AS DONE

Risk : Evasion of Minimum Fiscal Fee (CMF) by Logging Companies

Mitigation Option : Consult Customs

Consult on the processes applicable to the classification of wood and transportation.

MARK AS DONE

Mitigation Option : Consult Customs

Consult on the processes applicable to the classification of wood and transportation.

MARK AS DONE

Risk : Classification of wood for export do not follow the legal requirements

Mitigation Option : Consult Customs

Consult on the processes applicable to the classification of wood and transportation.

MARK AS DONE

Risk : Companies present false specifications to reduce the volumes and the classification of the qualities

Treasury and National Forest Development Fund (FONADEFO)

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Consult Treasury and National Forest Development Fund (FONADEFO)

Verify that the Minimum Fiscal Fee (CMF) is paid as established by the tax law.

MARK AS DONE

Mitigation Option : Consult Treasury and National Forest Development Fund (FONADEFO)

Verify that the Minimum Fiscal Fee (CMF) is paid as established by the tax law.

MARK AS DONE

Risk : Evasion of Minimum Fiscal Fee (CMF) by Logging Companies

Transporters and sellers

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Consult various stakeholders

Interview forest agents, military control points, hunters, transporters and sellers regarding their perception of illegal activities by a specific company relating to prohibited species

MARK AS DONE

Risk : Change of Information in the Transport Guide During Transport – Required Information is Altered (Species, Volume or Quantity Transported, Date and Time of Commencement

Mitigation Option : Consult various stakeholders

Consult stakeholder regarding their perception of illegal activities by a specific company relating to harvesting in protected areas.

MARK AS DONE

Risk : Risk of Illegal Harvesting in Protected Areas

Mitigation Option : Consult Transporters and sellers

Interviews with the different parties involved (entrepreneurs, control agents at forest barriers, in harvesting sections, and marketing of timber) on company’s compliance with legal requirements to transport wood

MARK AS DONE

Mitigation Option : Consult Transporters and sellers

MARK AS DONE

Risk : Transport of Wood Without Transport Guide in Illegal Logging Zones and Bribe the Controlling Agents

Mitigation Option : Consult Transporters and sellers

MARK AS DONE

Risk : Use of Expired Transport Guides and Repeated Use of a Guide When it is Lack of Required Information and to Bribe the Controlling Agents

Mitigation Option : Consult Transporters and sellers

Consult to check if forbidden species were not exported

MARK AS DONE

Risk : Prunus africana is Exported with CITES Certificate despite National Export Ban

Mitigation Option : Consult Transporters and sellers

Consult to check if forbidden species were not exported

MARK AS DONE

Risk : Species Guibourtia tessmannii is Exported with CITES Certificate despite National Export Ban

Mitigation Option : Consult Transporters and sellers

Consult to check if forbidden species were not exported

MARK AS DONE

Risk : Diospyros crassiflora is Exported with CITES Certificate despite National Export Ban

Mitigation Option : Consult Transporters and sellers

Consult to check if forbidden species were not exported

MARK AS DONE

Risk : Milletia laurentii is exported with CITES certificate despite national export ban

Logging company workers

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Consult Logging company workers

Interviews with forestry workers and management about the health and safety situation during logging activities.

MARK AS DONE

Risk : Violation of health and safety requirements during harvesting activities

Mitigation Option : Consult Logging company workers

Interview forest workers to confirm that they are aware of the forest concession boundaries.

MARK AS DONE

Risk : Risk of Illegal Harvesting in Protected Areas

Mitigation Option : Consult Logging company workers

Consult about how requirements for formalization of the work contracts for seasonal and discontinuous work has been followed.

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Mitigation Option : Consult Logging company workers

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, and have obtained the relevant level of qualification for the task they perform

MARK AS DONE

Risk : Lack of Training of Employees by the Forestry Companies

Mitigation Option : Consult Logging company workers

Interviews with forestry workers and management about the health and safety situation during logging activities.

MARK AS DONE

National Social Security Institute (INSESO)

Source Types:National Forests (Forests concessions) (continental region)Community Forests (continental region)Privately owned forests (continental region)

Mitigation Option : Consult National Social Security Institute (INSESO)

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Mitigation Option : Consult National Social Security Institute (INSESO)

Consult with INSESO about minimum wage requirements at the time of logging activities.

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Mitigation Option : Consult National Social Security Institute (INSESO)

Interviews with INSESO staff and workers to verify that registration of staff at INSESO is correct and valid

MARK AS DONE

Risk : Lack of Registration of the Workers in the National Social Security Institute (INSESO)

Port administration

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Consult Port administration

Consult to check if forbidden species were not exported

MARK AS DONE

Risk : Prunus africana is Exported with CITES Certificate despite National Export Ban

Mitigation Option : Consult Port administration

Consult to check if forbidden species were not exported

MARK AS DONE

Risk : Species Guibourtia tessmannii is Exported with CITES Certificate despite National Export Ban

Mitigation Option : Consult Port administration

Consult to check if forbidden species were not exported

MARK AS DONE

Risk : Diospyros crassiflora is Exported with CITES Certificate despite National Export Ban

Mitigation Option : Consult Port administration

Consult to check if forbidden species were not exported

MARK AS DONE

Risk : Milletia laurentii is exported with CITES certificate despite national export ban

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

Logging area

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Visit Logging area

Visit the forest area where logging is carried out, to examine the delimitation of the property boundaries on the land, their owners, and their accredited documentation. Crosscheck the documents with the following:

a. Location matches with the boundaries established in the harvesting permit or CAAF and their respective Measurement certificate.

b. Verify on the ground that there is no overlap with areas designated for national parks, or forests within 2 km around villages.

c. Boundaries of the Forest concession/or harvesting area are clearly marked on the ground. (NOTE: A 1-2 metres track around the area shall be in place to delimitate the boundaries).

d. Verify that logging operations are carried out within the boundary delimitation.

MARK AS DONE

Risk : Risk of Potential Overlap of Lands Under a Harvesting Permit or CAAF

Mitigation Option : Visit Logging area

a. Location matches with the boundaries established in the harvesting permit or CAAF and their respective Measurement certificate.

b. Verify on the ground that there is no overlap with areas designated for national parks, or forests within 2 km around villages.

c. Boundaries of the Forest concession/or harvesting area are clearly marked on the ground. (NOTE: A 1-2 metres track around the area shall be in place to delimitate the boundaries).

d. Verify that logging operations are carried out within the boundary delimitation.

MARK AS DONE

Risk : Risk that Logging Companies Harvest Timber within the 2km Buffer Zones around Villages that Have Been Included in the Concession Area

Mitigation Option : Visit Logging area

a. Location matches with the boundaries established in the harvesting permit or CAAF and their respective Measurement certificate.

b. Verify on the ground that there is no overlap with areas designated for national parks, or forests within 2 km around villages.

c. Boundaries of the Forest concession/or harvesting area are clearly marked on the ground. (NOTE: A 1-2 metres track around the area shall be in place to delimitate the boundaries).

d. Verify that logging operations are carried out within the boundary delimitation.

MARK AS DONE

Risk : Traditional Occupation and Land Use by Local Inhabitants Without Required Documentation, which Generate Property Conflicts when Forest Concessions are Awarded on the Same Land

Mitigation Option : Visit Logging area

Verify and cross-check that information in the above-mentioned documents correspond to the facts in the field

MARK AS DONE

Risk : Forest Concessions (CAAF) Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Mitigation Option : Visit Logging area

Verify and cross-check that information on Harvest Permit boundaries as included in the Measurement Certificate correspond with information on the ground.

MARK AS DONE

Risk : Harvesting Permits for Community Forests are Awarded Without the Required Documents or Without Complete Evaluation by the Authorities.

Mitigation Option : Visit Logging area

Visits to the forest area to verify if the area is regenerating and if selective cutting was done. Ensuring the company harvests only species with a commercial interest on that moment, and all logs meet minimum diameter requirements

MARK AS DONE

Risk : Risk of Not Conducting Selective Cutting when Harvesting

Mitigation Option : Visit Logging area

MARK AS DONE

Risk : Logging of Species with a Smaller Diameter than Authorized

Mitigation Option : Visit Logging area

Verify that areas where logging is restricted (i.e: riverbanks slope areas) have been identified and marked and trees are not cut on those areas.

MARK AS DONE

Risk : Lack of Respect for the Protection Buffer Zones, where Cut is not Allowed; Slopes, Riverbanks

Mitigation Option : Visit Logging area

Visits to the logging area to verify that skidding trails are established

MARK AS DONE

Risk : Lack of Planning to Establish Skidding Trails

Mitigation Option : Visit Logging area

Verify that roads and temporary bridges are constructed using security measures

MARK AS DONE

Risk : Roads and Temporary Bridges are Constructed Without the Necessary Security Measures, Causing Accidents and Flooding by Blocking Rivers and Streams

Mitigation Option : Visit Logging area

MARK AS DONE

Risk : Logging of Forest Stands Prior to the Required 25 Years Rotation Cycle

Mitigation Option : Visit Logging area

Visit logging area to verify that prohibited species were not harvested

MARK AS DONE

Risk : Guibourtia tessmannii - Illegal Logging Without Permit or With Fraudulent Permit

Mitigation Option : Visit Logging area

Verify that timber is not originating from protected areas by tracking timber to the harvesting site:

• Identify logging site by marked codes. All logs are marked with a code which include code assigned for the logging company + logging site code + species code.

• Verify that species and volumes of timber under assessment correspond with the stumps at logging site.

• Verify that the area harvested is within the limits established in the Measurement Certificate and within the map of the forest annexed in the Harvesting Permit or CAAF.

• If relevant, boundaries between harvesting area and Protected area are clearly indicated in the field (1-2 metres of clear line around the forest area).

MARK AS DONE

Risk : Risk of Illegal Harvesting in Protected Areas

Mitigation Option : Visit Logging area

Verify that species and volumes of timber under assessment correspond with the stumps at logging site.

MARK AS DONE

Mitigation Option : Visit Logging area

Check in the field (visit harvesting sites) that workers who are working correspond to those declared by the company.

MARK AS DONE

Risk : Lack of Work Contracts for Seasonal and Discontinuous Work

Mitigation Option : Visit Logging area

Verify that species and volumes of timber under assessment correspond with the stumps at logging site.

MARK AS DONE

Risk : Diospyros crassiflora - Risk of Illegal Logging Without Permit or With Fraudulent Permit

Mitigation Option : Visit Logging area

Verify that species and volumes of timber under assessment correspond with the stumps at logging site.

MARK AS DONE

Risk : Milletia laurentii - Risk of Illegal Logging Without Permit or With Fraudulent Permit

Mitigation Option : Visit Logging area

Verify that the EIA is accurately reflecting the situation on the ground

MARK AS DONE

Risk : Logging is done without Environmental Licenses and Environmental Impact Assessments

Mitigation Option : Visit Logging area

Visit the harvesting site and observe use of personal protective equipment and adequate hygiene and safety measures.

MARK AS DONE

Risk : Violation of health and safety requirements during harvesting activities

Mitigation Option : Visit Logging area

Visits to the logging area, to verify the degree of compliance to implement works stated in “A list of Priority Works”

MARK AS DONE

Risk : The mechanisms for distributing the forest benefits between the parties are not applied in a way to ensure benefits to all communities.

Mitigation Option : Visit Logging area

Field verification of the logging area to check that fruit trees were not harvested

MARK AS DONE

Risk : There is a risk that fruit trees are harvested during the logging

Mitigation Option : Visit Logging area

Visit the logging site to observe what species and quantities were harvested and compare with the information on the documents mentioned above.

MARK AS DONE

Risk : To Transport Illegally Harvested Prohibited and Protected Species Codes are Changed and Instead Using Codes of Similar Species

Mitigation Option : Visit Logging area

Visit the logging site to observe what species and quantities were harvested and compare with the information on the documents mentioned above.

MARK AS DONE

Risk : Classification of wood for export do not follow the legal requirements

Mitigation Option : Visit Logging area

Visit the logging site to observe what species and quantities were harvested and compare with the information on the documents mentioned above.

MARK AS DONE

Risk : Companies present false specifications to reduce the volumes and the classification of the qualities

Forest concession

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Visit Forest concession

Visit forest concessions to verify the compliance of legally required management standards as specified in the Forest Management Plan.

MARK AS DONE

Risk : Lack of Forest Management Plan Implementation by the Companies

Town councils

Source Types:Community Forests (continental region)

Mitigation Option : Visit Town councils

Visits to the town councils, to verify the degree of compliance to implement works stated in “A list of Priority Works”

MARK AS DONE

Risk : The mechanisms for distributing the forest benefits between the parties are not applied in a way to ensure benefits to all communities.

Local communities

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Visit Local communities

Visit villages and municipalities and observe that social works have been or are in the process of being implemented.

Consult to verify the degree of compliance to implement social works

MARK AS DONE

Risk : Lack of social works in the villages and municipalities surrounding the forest area harvested

Logging company

Source Types:National Forests (Forests concessions) (continental region)

Mitigation Option : Visit Logging company

Verify that the company recruits local labour in the areas where the exploitation is carried out.

MARK AS DONE

Risk : Change of Information in the Transport Guide During Transport – Required Information is Altered (Species, Volume or Quantity Transported, Date and Time of Commencement

Checkpoint used to control transport

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Visit Checkpoint used to control transport

Visit of checkpoint used to control transport, to verify the transport information of a truck. Compared that to what is legally required

MARK AS DONE

Mitigation Option : Visit Checkpoint used to control transport

Visit of checkpoint used to control transport, to verify the transport information of a truck. Compared that to what is legally required

MARK AS DONE

Risk : Transport of Wood Without Transport Guide in Illegal Logging Zones and Bribe the Controlling Agents

Mitigation Option : Visit Checkpoint used to control transport

Visit of checkpoint used to control transport, to verify the transport information of a truck. Compared that to what is legally required

MARK AS DONE

Risk : Use of Expired Transport Guides and Repeated Use of a Guide When it is Lack of Required Information and to Bribe the Controlling Agents

Processing industries

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Visit Processing industries

Visits to industries to observe excessive waste utilization

MARK AS DONE

Risk : There is an excessive waste of wood during the processing, which is burned

Mitigation Option : Visit Processing site

Verify that the EIA is accurately reflecting the situation on the ground

MARK AS DONE

Risk : Installation of Industries without Conducting an Environmental and Social Impact Assessment, which Implies the Absence of an Environmental License

Mitigation Option : Visit Processing industries

Visit to forest processing industries and their wood stacks to check the volume transformed and the machinery used

MARK AS DONE

Risk : Companies Operate without Development of an Industry

Mitigation Option : Visit Logging area

Visit the harvesting site and observe use of personal protective equipment and adequate hygiene and safety measures.

MARK AS DONE

Shipping area

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Visit Shipping area

Participate in the loading of the containers and observe the procedure. Verify that all required bodies are present:

One representative of the exporting company
One representative of MAGBMA
Representative of Customs (Export Section)
One representative of the Ministry of National Security
One representative of the Port Commission
One representative of OCIPEF (Shipping Agency)
Administration of the Port of Bata
Shipping Agency of the Port of Bata (IMAGE SA).

Check the procedure for processed wood products: merchandise must be presented in bags or packages, clearly stating the following technical information: the measurements, the code, the number of the package, the initials of the company that owns the merchandise, and the code of origin.

MARK AS DONE

Risk : Illegal Export Without Documentation or the Approval of the Forest Administration

Scientific testing

Scientific testing can be used to identify species and verify the source of origin.

Risk mitigation options

Scientific testing

Source Types:Community Forests (continental region)Privately owned forests (continental region)National Forests (Forests concessions) (continental region)

Mitigation Option : Conduct targeted timber testing

MARK AS DONE