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Standards and Guidelines

The SmartWood program standards, policies, Advice Notes and other documents linked to below are organized by our various certification and verification services.

Once an organization becomes a SmartWood client, it via the Certified Company Web Site is given access to additional materials: informative PowerPoint presentations, more tools that help organizations understand the requirements and navigate the certification or verification process, and example templates to help organizations effectively implement procedures to meet the requirements.

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Forest Stewardship Council Forest Management

	Standards
	FSC Forest Management Principles and Criteria: FSC-STD-01-001 V4-0		There are 10 principles and 56 criteria that form the basis for all FSC Forest Management standards. These principle and criteria describe how the forests have to be managed to meet the strict social, economic, and ecological requirements related to FSC Forest Management certification.
	FSC-Endorsed Regional Forest Management Standards [En  Español]		A number of regional or country specific FSC Forest Management standards have been developed and endorsed by the FSC International Center. These FSC endorsed standards serve as the basis for evaluation for Forest Management Enterprises in these countries.
	SmartWood Generic Forest Management Standard		This standard shall be the basis for SmartWood FSC Forest Management certification of Forest Management Enterprises in countries for which FSC has not endorsed or SmartWood has not developed a regional standard.
	SmartWood Regional Forest Management Standards [En  Español]		In countries and regions where there is not yet a Forest Stewardship Council-accredited forest stewardship standard, the Rainforest Alliance's SmartWood program carries out forest management certification with "interim" standards based on our generic standards but adapted to account for the local conditions and consultation with stakeholders. We actively solicit comments on all certification standards.
	SmartWood CoC Standard for Forest Management Enterprises (FMEs) [En Español]		This standard details the requirements for Forest management Enterprises with joint FSC Forest Management and Chain of Custody certificates for controlling FSC certified products from the stump to the forest gate, including requirements for use of FSC and Rainforest Alliance/SmartWood trademarks for on product labeling or promotion.

	Advice Notes and Guidance
	SLIMF Eligibility Criteria: FSC-STD-01-003 V1-0		FSC definition and certification requirements for Small and Low Intensity Managed Forests (SLIMFs).
	FSC Pesticides Policy: FSC-POL-30-001_2005		FSC Policy regarding the identification and avoidance of "highly hazardous" chemicals, the promotion of non-chemical pesticides, and appropriate use of pesticides.
	FSC Pesticides Policy: Guidance on Implementation: FSC-GUI-30-001 V2-0		FSC guidance on implanting the FSC Pesticides Policy, FSC-POL-30-001.
	Partial Certification of Large Landowners: FSC-POL-20-001_2000		Policy detailing FSC position regarding partial certification and compliance with the requirements of Criterion 1.6 as they apply to FSC members and non-members.
	Excision of Areas from the Scope of the Certification: FSC-POL-20-003_2004		This Policy was developed to provide a clear, internationally consistent approach to the conditions which excision may be permitted. The Policy details under what circumstances excision is permissible and under what conditions, and provides criteria to be used by certification bodies to evaluate compliance.
	FSC Certification and ILO Conventions: FSC-POL-30-401_2002		FSC's policy detailing mandatory compliance with all ILO conventions that have an impact on forestry operations and practices.

Forest Stewardship Council Chain-of-Custody

	Standards and Policies
	FSC Standard for Chain-of-Custody Certification: FSC-STD-40-004 V2-0 [En  Español]		The FSC CoC standard that applies to all company types including manufacturers, brokers, distributors, wholesalers, retailers, printers, and paper merchants. This standard is required for all FSC CoC certificate holders including single, multi-site and group certificates, but does not include project certification (see below).
	FSC Standard for Controlled Wood (CW): FSC-STD-40-005 V2-1 [En  Español]		The FSC standard required for all certified companies that use non-FSC certified virgin materials in FSC product groups as well as companies wishing to sell "FSC Controlled Wood" products. The Controlled Wood standard supplements the FSC Chain-of-Custody Standard (40-004) above.
	FSC Standard for Sourcing Reclaimed Materials: FSC-STD-40-007 V1-0		The FSC standard required for all certified companies that source reclaimed materials for use in FSC product groups. This standard supplements the FSC Chain-of-Custody Standard (40-004) above.
	FSC Standard for Product "Type" Classification: FSC-STD-40-004a V1-0		An FSC CoC supplementary standard that provides universal product classification terms and codes. This is necessary for certified companies to use for assigning a product "type" for each product sold with FSC claims, which is required in the company's 'FSC Product Group Schedule.'
	FSC Standard for Species Terminology: FSC-STD-40-004b V1-0		The FSC CoC supplementary standard that is used by certified companies to define species in products sold with FSC claims. This terminology is to be used in the company's 'FSC Product Group Schedule' as applicable for certification.
	FSC Standard for Multi-Site Chain-of-Custody Certification: FSC-STD-40-003 V1-0		Requirements for companies that would like to obtain one FSC Chain-of-Custody certificate that covers several facilities; this standard includes the multi-site requirements that supplement the FSC Chain-of-Custody Standard (40-004) above.
	FSC Policy for Group Chain-of-Custody Certification: FSC-POL-40-002_2004		Requirements for small businesses of all types that would like to join together to obtain one FSC Chain-of-Custody certificate that covers several companies; this policy includes group requirements that supplement the FSC Chain-of-Custody Standard (40-004) above. The document linked to on the left is FSC's official policy document; see the section below for SmartWood's summary of requirements fact sheet (CoC-34).
	FSC Standard for Project Certification: FSC-STD-40-006 V1-0		Information for builders and project managers seeking one-off certification for a specific building project.

	Advice Notes and Guidance
	Implementation of FSC Controlled Wood Requirements in 40-005: FSC-ADV-40-016 V2-0		This FSC Advice Note provides clarifications and guidance for implementation of the FSC Controlled Wood requirements applicable to non-FSC, virgin inputs per requirements in FSC-STD-40-005V2-1. Update 8th April 2009.
	FSC Minor Components Derogation Applications: FSC-PRO-40-004 V2-1		The FSC procedural document for companies that would like to use "minor components" in their FSC product groups for which they cannot source the input as FSC-Certified, FSC Controlled Wood, or reclaimed. This includes procedures for certification body review and approval of derogation applications. The derogation application form and this document are only applicable to minor components between one and five percent of the total product volume.
	FSC Minor Components Derogation: Application Form: FSC-PRO-40-004b V1-1		Derogation application form required for companies to use when requesting approval of a minor component between one and five percent.
	Chain-of-Custody Audit Process Description		This SmartWood guidance document explains the certification assessment process and what to expect for CoC initial assessments and annual audits.
	Chain-of-Custody Certification Pre-requisites Checklist: CoC-47 May 08		An internal checklist available to certification applicants in order to understand what needs to be in place prior to being awarded an FSC Chain-of-Custody certificate. It is strongly recommended that these areas be addressed prior to a SmartWood assessment.
	Outsourcing Requirements: SmartWood Summary Fact Sheet: CoC-51 Aug 07 [En  Español]		A SmartWood document that summarizes the requirements to include outsourcing for the processing of FSC product materials by a subcontractor in an FSC Chain-of-Custody certificate scope. This document includes a sample outsourcing agreement.
	Group Chain-of-Custody Certification Requirements: SmartWood Summary Fact Sheet: CoC-34 Aug 07		A SmartWood document that summarizes the requirements for Group Chain-of-Custody certification, based on FSC-POL-40-002. This document includes a summary of the SmartWood assessment process.
	Group Certification Prerequisites Checklist: CoC-49 Aug 07		An internal checklist available to Group certification applicants in order to understand what needs to be in place prior to being awarded an FSC Group Chain-of-Custody certificate. This checklist supplements the full FSC CoC prerequisites checklist.
	FSC Transitory Requirements Until 31 December 2009: FSC-ADV-40-004 V1-0		This FSC Advice Note addresses two specific areas that may apply to certificate holders: 1) use of co-products sourced from primary manufacturing in FSC product groups; and 2) the minimum thresholds for labeling chip/fiber-based FSC mixed products in the percentage system.

Forest Stewardship Council Controlled Wood for Forest Enterprises

	Standards
	FSC Controlled Wood Standard for Forest Management Enterprises: FSC-STD-30-010 V2-0 [En  Español]		This standard is for forestry operations that are pursuing certification only against the FSC Controlled Wood requirements. FSC Controlled Wood can only be sold to other FSC Certified Companies.

	Advice Notes and Guidance
	Controlled Wood and Windthrow: FSC-ADV-20-008_2005		An FSC Advice Note that provides guidance regarding if Windthrow can be categorized as FSC Controlled Wood. This Advice Note may relate to forest management enterprises (30-010) as well as CoC certificate holders implementing CW verification (40-005).

Forest Stewardship Council Non Timber Forest Products (NTFP)

	SmartWood Generic NTFP Certification Addendum		The intent of this standard is to outline certification requirements/indicators which pertain to non-timber forest products (NTFP) and which complement the FSC certification requirements for forest management based on the FSC Principles and Criteria. Certified operations wishing to include NTFPs in the scope of their FSC forest management certificate shall demonstrate conformance to the NTFP indicators outlined in this document.

Forest Stewardship Council Trademark Use

	Standards and Policies
	FSC On-Product Labeling Standard: FSC-STD-40-201 V2-0 [En Français]		The FSC Standard applicable to all on-product FSC claims. These requirements apply to all certificate holders using the FSC trademarks on their products.
	FSC Policy for Promotional Use of the FSC Trademarks: FSC-TMK-50-201 V1-0		The FSC requirements applicable to the promotional (off-product) use of the FSC trademarks. These requirements apply to all certificate holders using the FSC trademarks promotionally.

	Advice Notes and Guidance
	Printers - CoC and Labeling Specifics: FSC-ADV-40-012 V1-1		This FSC Advice Note is specific to printers and FSC labeling requirements for printed materials.

Verification of Legal Origin (VLO)

	Standards and Policies
	Generic Standard for VLO		Third-party verification that establishes the legality of forest products traced to their source. Legal origin is about meeting the administrative requirements of permitting, planning, taxes or fees, and harvesting in defined areas.
	Country and Regional Legality Standards		Legality verification services are available both to companies producing and selling products and to companies wishing to verify the sources of products they purchase. These verification services will involve audits of forest areas, but do not result in certification.

	Advice Notes and Guidance
	VLO-VLC Client Guide to Services [中文]		A short guide for existing and potential clients describing the background and procedures of VLO and VLC verification.
	VLO-VLC Service Summary		A short summary introducing the Rainforest Alliance Legality Verification program.

Verification of Legal Compliance (VLC)

	Standards and Policies
	Rainforest Alliance Generic Standard for VLC		Third-party verification that establishes the legality of forest products traced to their source. Legal compliance encompasses all the laws on environmental protection, wildlife, water and soil conservation, harvesting codes and practices, worker health and safety, and fairness to communities.
	Country and Regional Legality Standards		Legality verification services are available both to companies producing and selling products and to companies wishing to verify the sources of products they purchase. These verification services will involve audits of forest areas, but do not result in certification.

	Advice Notes and Guidance
	VLO-VLC Client Guide to Services [中文]		A short guide for existing and potential clients describing the background and procedures of VLO and VLC verification.
	VLO-VLC Service Summary		A short summary introducing the Rainforest Alliance Legality Verification program.

Forest Carbon Validation and Verification

	Climate, Community and Biodiversity Alliance Standards		A project design standard for evaluation of land-based carbon mitigation projects in the early stages of development. The Climate, Community and Biodiversity (CCB) Standards foster the integration of best-practice and multiple-benefit approaches into project design and evolution.
	Chicago Climate Exchange		The Chicago Climate Exchange (CCX) provides standardized rules for creating offsets from: Reducing deforestation and degradation; Afforestation/reforestation; Forest management to increase stand- and landscape-level carbon density; and Increasing off-site carbon stocks in wood products and enhancing product and fuel substitution.
	Plan Vivo Standards		Plan Vivo offers a system for managing the supply of verifiable emission reductions from rural communities in a way that promotes sustainable livelihoods. Afforestation and agroforestry, forest conservation, restoration and avoided deforestation projects implemented by small-holders or communities are eligible.
	Voluntary Carbon Standard		A robust, global standard for approval of voluntary offsets. Qualifying activities include: Afforestation, Reforestation and Revegetation; Agricultural Land Management; Improved Forest Management; and Reduced Emissions from Deforestation and Degradation.

Monitoring of High Conservation Value Forests (HCFV)

SmartLogging

	SmartLogging Generic Certification Performance Standard: SL-02 Dec 06		This standard presents the basic requirements to be implemented by entities who whish to be evaluated to Rainforest Alliance's SmartLogging certification. The purpose of the program is performance-based, third party logger certification. The end goal will be to insure a more sustainable supply of environmentally harvested forest products from the world's working forests. The SmartLogging program is, with multi-stakeholder consultation, developing best practice logging standards and assessment procedures.
	SmartLogging Group Certification Standards: SL-03 Sep 06		This standard presents the basic requirements to be implemented by entities who wish to apply to SmartWood for SmartLogging Group Certification. The standard applies to an entity representing multiple harvesters (logging companies), known as the Group Manager, for inclusion under a single certificate.

Rediscovered Wood

	Rainforest Alliance Standard for Rediscovered Wood Certification: RW-01 Oct 07		The Rainforest Alliance's certification standard for companies that would like third-party certification of products made from recovered, reclaimed, salvaged materials. This certification does not include post-consumer reclaimed materials; see FSC CoC for this category.
	Rainforest Alliance Standard for Underwater Salvage: RW-03 Nov 07		The Rainforest Alliance's certification standard for companies that would like third-party certification of products made from wood recovered from water sources.
	RW Source Information Form: RW-04 Oct 07		This is a required form that provides details regarding sources for Rediscovered Wood-certified products.

Generic Chain-of-Custody

	SmartWood Standard for General Applications: CoC-36 Jun 06		Rainforest Alliance's standard for companies that would like third-party verification of products that carry claims regarding origin, verification, or certification programs.