CSA PLUS 1134-2003 Guidelines for Sustainable Forest Management Qualification Criteria for Sustainable Forest Management Auditors (Second Edition).pdf

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1、PLUS 1134Guidelines for SustainableForest Management Qualification Criteria forSustainable ForestManagement AuditorsCSA Special PublicationPLUS 1134Guidelines for Sustainable ForestManagement Qualification Criteria forSustainable Forest Management AuditorsRegistered trade-mark of Canadian Standards

2、AssociationPublished in March 2003 by Canadian Standards AssociationA not-for-profit private sector organization5060 Spectrum Way, Suite 100, Mississauga, Ontario, Canada L4W 5N61-800-463-6727 416-747-4044Visit our Online Store at www.csa.caISBN 1-55397-138-8Technical Editor: Katie Altoft Canadian S

3、tandards Association 2003All rights reserved. No part of this publication may be reproduced in any form whatsoeverwithout the prior permission of the publisher.Guidelines for Sustainable Forest Management Qualification Canadian Standards Association Criteria for Sustainable Forest Management Auditor

4、sMarch 2003 iiiContentsPreface iv1 Scope 12 Reference Publications 13 Definitions and Abbreviations 13.1 Definitions 13.2 Abbreviations 14 Education and Work Experience 25 Auditor Training 3 5.1 General 35.2 Formal Training 35.3 On-the-Job Training 35.4 Professional Affiliation 35.5 Certified Manage

5、ment System Auditor 36 Objective Evidence of Education, Training, and Experience 37 Personal Attributes and Skills 48 Lead Auditor 49 Maintenance of Competence 410 Due Professional Care 411 Language 4PLUS 1134 Canadian Standards Associationiv March 2003PrefaceThis is the second edition of CSA Specia

6、l Publication PLUS 1134, Guidelines for Sustainable ForestManagement Qualification Criteria for Sustainable Forest Management Auditors. It supersedes the firstedition published in 1997 under the title Guidelines for Sustainable Forest Management Systems Qualification Criteria for Sustainable Forest

7、Management System Auditors.This Special Publication provides guidance on qualification criteria for sustainable forest management(SFM) auditors to support the application of SFM and SFM auditing.Internal auditors need the same set of competencies as external auditors but may not meet in allrespects

8、the detailed criteria described in this Special Publication, depending on such factors as the sizeand complexity of both the defined forest area (DFA) and its managing organization and the rate ofdevelopment of the relevant expertise and experience within the organization.The content of this publica

9、tion is consistent with the ISO (International Organization forStandardization) Standard on quality and environmental systems auditing, now approved as a NationalStandard of Canada by the Standards Council of Canada and published by CSA as CAN/CSA-ISO 19011-03, Guidelines for quality and/or environm

10、ental management systems auditing.March 2003Notes:(1) Use of the singular does not exclude the plural (and vice versa) when the sense allows.(2) Although the intended primary application of this Special Publication is stated in its Scope, it is important to note thatit remains the responsibility of

11、the users of this Special Publication to judge its suitability for their particular purpose.(3) All enquiries regarding this Special Publication should be addressed to Canadian Standards Association,5060 Spectrum Way, Suite 100, Mississauga, Ontario, Canada L4W 5N6.Guidelines for Sustainable Forest

12、Management Qualification Canadian Standards Association Criteria for Sustainable Forest Management AuditorsMarch 2003 1PLUS 1134Guidelines for Sustainable ForestManagement QualificationCriteria for Sustainable ForestManagement Auditors 1 ScopeThis Special Publication provides guidance on qualificati

13、on criteria for SFM auditors and lead auditors. Criteria for the selection and composition of audit teams are not included; reference should be made toCSA PLUS 1133 for further information on these subjects.2 Reference PublicationsThis Special Publication refers to the following publications, and wh

14、ere such reference is made, it is to theedition listed below, including all amendments published thereto. These publications contain provisionsthat, through reference in this text, constitute provisions of CSA PLUS 1134.Note: The editions listed below may be replaced by newer editions during the lif

15、e of this referencing publication. Users ofthis Special Publication are encouraged to investigate the possibility of applying the most recent editions.CSA (Canadian Standards Association) CAN/CSA-ISO 19011-03Guidelines for quality and/or environmental management systems auditingPLUS 1133Guidelines f

16、or Sustainable Forest Management General Audit Principles and Audit Procedures for AuditingSustainable Forest ManagementZ809-02Sustainable Forest Management: Requirements and Guidance3 Definitions and Abbreviations3.1 DefinitionsThe definitions given in CSA Z809 and PLUS 1133 apply in this Special P

17、ublication.3.2 AbbreviationsThe following abbreviations apply in this Special Publication:AAC allowable annual cutsDFA defined forest areaRPF Registered Professional ForesterSFM sustainable forest managementPLUS 1134 Canadian Standards Association2 March 20034 Education and Work Experience4.1Auditor

18、s should have completed at least post-secondary education at the community college level orequivalent (e.g., ranger school, technical college, Collge denseignement gnral et professionel(CEGEP) in Qubec).4.2Auditors should have appropriate education and work experience that contribute to the developm

19、ent ofskills and understanding in some or all of the following areas:(a) Management, including(i) environmental management and standards;(ii) forest management and standards;(iii) policy;(iv) organization;(v) human resources;(vi) communications;(vii) public participation; and(viii) documentation;(b)

20、 Management auditing, including(i) audit procedures, processes, and techniques;(ii) sampling;(iii) reporting;(iv) internal/external audit programs; and(v) continual improvement;(c) Strategic planning, including(i) forest management;(ii) silvicultural planning;(iii) allowable annual cuts (AAC);(iv) l

21、ong-term site productivity;(v) resource stewardship, e.g., ecology, fish and wildlife, protected areas, aesthetic values, water quality;(vi) economic considerations; and(vii) social aspects; and(d) Operations:(i) forest harvesting;(ii) forest renewal;(iii) forest tending;(iv) forest protection;(v) f

22、orest access;(vi) forest/resource inventories; and(vii) habitat management.4.3Auditors who have completed post-secondary education at the community college level or equivalentshould have a minimum of five years of appropriate work experience. This criterion may be reduced bysatisfactory completion o

23、f additional post-secondary full-time or part-time education that addresses someor all of the topics listed in Clause 4.2. Any reduction should not exceed the total period of sucheducation addressing those topics, and the total reduction should not exceed one year.4.4Auditors who have obtained a uni

24、versity degree in an appropriate field should have a minimum of fouryears of appropriate work experience. This criterion may be reduced by satisfactory completion ofGuidelines for Sustainable Forest Management Qualification Canadian Standards Association Criteria for Sustainable Forest Management Au

25、ditorsMarch 2003 3additional post-secondary full-time or part-time education that addresses some or all of the topics listedin Clause 4.2. Any reduction should not exceed the total period of such education addressing thosetopics, and the total reduction should not exceed two years.5 Auditor Training

26、5.1 GeneralIn addition to the criteria described in Clause 4, auditors should have completed both formal trainingand on-the-job training to develop competence in carrying out management system audits. Suchtraining may be provided by the auditors organization or by an external organization (see CAN/C

27、SA-ISO 19011, Clause 7.4).5.2 Formal TrainingFormal training should address the subjects outlined in Clause 4.2, i.e., topics related to management,management auditing, strategic planning, and operations.The criterion for formal training in some or all of these areas may be waived if competence can

28、bedemonstrated through accredited examinations or relevant professional qualifications.Applicant auditors should have completed a period of formal training specific to SFM. Formal trainingmay include both group (classroom) and individual learning activities. Such training may be provided bythe audit

29、ors organization or by an external organization. Formal training should address(a) SFM and SFM Standards (including CSA Z809); and(b) different types of SFM audits, audit procedures, and audit techniques (including the material coveredin this publication and in CSA PLUS 1133).5.3 On-the-Job Training

30、An auditor should have completed a period of on-the-job auditing training for a total of twenty workingdays or equivalent on a minimum of four quality management system, sustainable forest managementsystem, or environmental management system audits. This should include involvement in the entireaudit

31、 process under the supervision and guidance of the lead auditor. This on-the-job training shouldoccur within a three-year period prior to the application for auditor status.5.4 Professional AffiliationIt is desirable for auditors to have a professional or scientific affiliation, e.g., Registered Pro

32、fessionalForester (RPF) or equivalent.At least one member of the audit team shall be an RPF or equivalent.5.5 Certified Management System AuditorSFM auditors are certified according to national or international standards in quality or environmentalmanagement systems, e.g., CAN/CSA-ISO 19011.6 Object

33、ive Evidence of Education, Training, and ExperienceIndividuals should keep objective evidence of their education, training, and experience (seeCAN/CSA-ISO 19011, Clause 7.4).PLUS 1134 Canadian Standards Association4 March 20037 Personal Attributes and SkillsAuditors should possess personal attribute

34、s and skills that include, but are not limited to, those listed inCAN/CSA-ISO 19011, Clauses 7.2 and 7.3.8 Lead AuditorThe lead auditor should demonstrate a thorough understanding and application of those personalattributes and skills necessary to ensure effective and efficient management and leader

35、ship of the auditprocess. The auditor should demonstrate those attributes and skills to the audit program managementand other interested parties, by means such as interviews, observation, references, and/or assessments ofSFM auditing performance made under established audit programs using recognized

36、 audit protocol andprocedures.The auditor should also have participated in the entire audit process for a total of fifteen additionalworking days or equivalent of SFM auditing, for a minimum of three additional complete SFM audits. This should include participating as acting lead auditor, under the

37、supervision and guidance of a leadauditor, for at least one of these three audits.These criteria for lead auditor should be met within a three-year period prior to the application for leadauditor status.9 Maintenance of CompetenceAuditors should maintain their competence by ensuring the currency of

38、their knowledge in the subjectareas outlined in Clause 4.2 and referenced in Clauses 5.1 and 5.2 of this publication.Auditors should ensure that their experience in the execution of audits is current and should participatein refresher training as necessary.10 Due Professional CareAuditors should exe

39、rcise due professional care, as addressed in CSA PLUS 1133, and adhere to a relevantcode of ethics.11 LanguageAny auditor who is unable to communicate effectively in the language necessary for performing his orher responsibilities should not participate unsupported in an audit. When necessary, suppo

40、rt should beobtained from a person with the necessary language skills, who is not subject to pressures that wouldaffect the performance of the audit.Proposition de Proposal modification for changeNhsitez pas nous faire part de vossuggestions et de vos commentaires. Aumoment de soumettre des proposit

41、ions demodification aux normes CSA et autrespublications CSA prire de fournir lesrenseignements demands ci-dessous et deformuler les propositions sur une feuillevolante. Il est recommand dinclurele numro de la norme/publicationle numro de larticle, du tableau ou de lafigure visla formulation propose

42、la raison de cette modification.CSA welcomes your suggestions andcomments. To submit your proposals forchanges to CSA Standards and other CSApublications, please supply the informationrequested below and attach your proposalfor change on a separate page(s). Be sure toinclude theStandard/publication

43、numberrelevant Clause, Table, and/or Figure number(s)wording of the proposed changerationale for the change.Nom/Name: Affiliation: Adresse/Address: Ville/City: tat/Province/State: Pays/Country: Code postal/Postal/Zip code: Tlphone/Telephone: Tlcopieur/Fax: Date: PRINTEDINCANADAIMPRIMEAU CANADAISBN 1-55397-138-8