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Timber Legality Framework

K
khanh-itims

The document outlines the principles, criteria, and indicators for assessing the legality of forestry operations in Vietnam, including requirements for land use rights, environmental protection, and compliance with harvesting regulations. It details specific documentation required for companies and householders to demonstrate legal status and adherence to various laws, including land allocation and environmental assessments. The document provides a comprehensive framework intended to ensure sustainable and legal forestry practices.

Government & Nonprofit
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1 WWF GFTN: CommonFrameworkfor Assessing Legality ofForestry Operations,Timber Processing and Trade - Principles,CriteriaandIndicators for Vietnam Indicator Guidance note/verifier PRINCIPLE 1: HARVESTING OF DOMESTICTIMBERCOMPLIES WITH REGULATIONS ONLAND USE RIGHTS,FOREST USE RIGHTS, MANAGEMENT, ENVIRONMENT AND SOCIETY Criterion 1.1: Compliance with regulations on main harvesting ofnatural forest timber Indicator 1.1.1: Company: Complying with legal regulations on land use right and forest use right, one of the following documents must be in place: Verify that documentation held by the householder includes:  Decision on land allocation (Prior to 15/10/1993)  Decision on forest allocation (From 15/10/1993 to 1/7/2004)  Land use right certificate (Since 15/10/1993 to date)  Decision on land allocation (since 15/10/1993 to date)  Decision on land leasing  Decision on forest allocation together with land allocation, land leasing (since 2011 to date)  Decision on forest allocation Legal references:  No specific legislation prior to 1993 on land allocation  Article 5, 13, 14 Decree 02. CP; Article 16, 17 Decree No. 163/1999/NĐ-CP  Article 48, 49, 51 Land Law 2003; Article 102 Land Law 2013  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT- BTNMT  Section II Circular 38/2007/TT-BNN
2 Indicator 1.1.2. Company: Having legal status harvesting forest, one of the following documents must be in place: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprise in which 51% of charter capital is held by foreign investors )  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 1.1.3. Company: Having approved Sustainable Forest Management Plan, the following document must be in place: Verify that documentation held by the company includes:  Decision on approving Sustainable Forest Management Plan Legal references:  Article 11 Circular No. 38/2014/TT-BNNPTNT; Indicator 1.1.4. Company: Complying with regulations on archiving harvesting documents, all the following documents must be in place: Verify that documentation held by the company includes:  Harvesting design statement  Map of harvesting area  List of tree marked for harvesting  Minutes on appraising harvesting design in the field  Decision on approving harvesting design  Harvesting Permit  Minute of acceptance of harvested timber Legal references for companies:  Article 22 Circular No. 87/2009/TT-BNNPTNT  Article 21, Circular No. 87/2009/TT-BNNPTNT;
3  Article 14, Circular No. 87/2009/TT-BNNPTNT;  Article 24, Circular No. 87/2009/TT-BNNPTNT;  Article 25, Circular No. 87/2009/TT-BNNPTNT;  Article 4 Circular No. 21/2016/TT-BNNPTNT Indicator 1.1.5. Company: Round timber with the large end diameter >= 25cm, length >= 1m and timber sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks on timber products and the following documents: Verify that documentation held by the company includes:  Packing list  Minutes of placing forest hammer marks Legal references:  Article 7, 8 Decision 44/2006/QĐ-BNN; Article 9, Circular 01/2012/TT-BNNPTNT  Article 7, 8 Decision 44/2006/QĐ-BNN; Article 9, Circular 01/2012/TT-BNNPTNT Indicator 1.1.6. Company: Timber harvested not subject to place forest hammer marks as regulated in the Indicator 1.1.5 the following documents must be in place: Verify that documentation held by the company includes:  Packing list of timber Legal references:  Article 7, 8 Decision 44/2006/QĐ-BNN; Article 9, Circular 01/2012/TT-BNNPTNT Indicator 1.1.7 Company: Harvesting forest complies with regulations on environmental protection as required by laws, one of the following documents must be in place: Verify that documentation held by the company includes:  Decision on approving environmental impact assessment report for projects harvesting in natural production forest involving clear-cut harvesting in concentration area at least 50 ha in size  Environmental protection plan for projects harvesting in natural production forest involving clear-cut harvesting in concentration area less than 50 ha in size Legal references:  Article 12 Decree 18/2015/NĐ-CP  Article 18 Decree 18/2015/NĐ-CP Criterion 1.2: Compliance with regulations on main harvesting,salvaged harvesting and salvaged collection from planted protection forests
4 Indicator 1.2.1: Company and householder: Complying with legal regulations on land use right and forest use right, one of the following types of documents are required: Verify that documentation held by the company and householder includes:  Decision on land allocation (Prior to 15/10/1993)  Decision on forest allocation (From 15/10/1993 to 1/7/2004)  Land use right certificate (Since 15/10/1993 to date)  Decision on land allocation (Since 15/10/1993 to date)  Decision on land leasing (since 15/10/1993 to date)  Decision on forest allocation together with land allocation, land leasing (Since 2011 to date)  Decision on forest allocation Verify that documentation held by the householder includes (in addition to the documentation mentioned above) :  Decision on land allocation, forest allocation (Since 15/10/1993 to 1/7/2004)  Forestry book  One of the types of papers on land use rights as stipulated in Article 100 Land Law 2013  Confirmation of the Commune People’s Committee that land is currently used and free to dispute subject to the cases regulated in Article 101 Land Law 2013  Forest protection contracts with other holders Legal references for the company and the householder:  No specific legislation prior to 1993 on land allocation  Article 5, 13, 14 Decree No. 02/NĐ-CP; Article 9, 12, 17 Decree No. 163/1999/NĐ-CP  Article 48, 49, 51 Land Law 2003; Article 100, 101, 102 Land Law 2013  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT- BTNMT
5  Section II, Circular No. 38/2007/TT-BNN Legal references for householder (in addition to the legal referencesmentioned above):  Article 5, 13, 14 Decree No. 02/NĐ-CP  Article 100 Land Law 2013  Article 101 Land Law 2013  Article 5, Decree 01/1995;Article 8, Decree 135/2005 Indicator 1.2.2: Company: Having legal status for harvesting forest,the following documents are required: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references for the company:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 1.2.3: Company and householder: Harvesting forest complies with regulations on environmental protection as required by laws, one of the following documents must be in place: Verify that documentation held by the company and householder includes:  Decision on approving environmental impact assessment report for projects on cleared-cut harvesting for concentrated harvesting area of 200ha or more  Environmental protection plan for projects on cleared-cut harvesting for concentrated harvesting area less than 200ha Legal references:  Article 12 Decree No. 18/2015/NĐ-CP  Article 18 Decree No. 18/2015/NĐ-CP
6 Indicator 1.2.4: Company and householder: Complying with regulations on archiving harvesting documents, the following documents must be in place: Verify that the company and the company and householder holds:  Harvesting design statement  Map of harvesting area  Harvesting permit Legal references:  Article 6 Circular No. 21/2016/TT-BNNPTNT; Article 9 Circular 01/2012/TT-BNNPTNT Indicator 1.2.5 Company and householder: Round timber with diameter of large end >=25cm and the length >= 1m and timber that are sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm, subject to rare, precious and endangered timber must be placed with forest hammer marks in compliance with regulations Verify that documentation held by the company and householder includes:  Packing list  Minutes of placing forest hammer marks Legal references:  Article 7, 8 Decision No. 44/2006/QĐ-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT Indicator 1.2.6 Company and householder: Timber harvested that not subject for forest hammer marks as regulated in Indicator 2.5, the following document is required: Verify that documentation held by the company and the householder includes:  Packing list Legal references:  Article 7, 8 Decision No.44/2006/QĐ-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT; Article 1, Circular 42/2012/TT-BNNPTNT Criterion 1.3: Compliance with regulations on main harvesting,salvaged harvesting and salvaged collection from planted production forests Indicator 1.3.1: Company and householder Complying with legal regulations on land use right and forest use right, one of the following documents are required: Verify that documentation held by the company and householder includes:  Decision on land allocation (Prior to 15/10/1993)  Land use right certificate (Since 15/10/1993 to date)  Decision on land allocation (since 15/10/1993 to date)  Decision on land leasing (since 15/10/1993 to date)
7  Decision on land allocation, forest allocation (Since 15/10/1993 to 1/7/2004)  Decision on land allocation, land leasing (Since 2011 to date) Verify that documentation held by the householder includes (in addition to the documentation mentioned above) :  Forestry book  One of the types of papers on land use rights as stipulated Article 100 Land Law 2013  Confirmation of the Commune People’s Committee that land is currently used and free to dispute subject to the cases regulated in Article 101 Land Law 2013  Forest protection contracts with other holders Legal references for the company and the householder:  No specific legislation prior to 1993 on land allocation  Article 48, 49, 51 Land Law 2003; Article 100, 101,102 Land Law 2013  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013  Article 5, 13, 14 Decree No. 02/NĐ-CP; Article 9, 12, 17 Decree No. 163/1999/NĐ-CP  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT- BTNMT Legal references for the household (in addition to the references mentioned above):  Article 100 Land Law 2013  Article 101 Land Law 2013  Article 5, Decree 01/1995/NĐ-CP; Article 8, Decree 135/2005/NĐ-CP
8 Indicator 1.3.2 Company: Having legal status for harvesting forest,one of the following documents is required: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 1.3.3 Company and householder: Harvesting forest complies with legal regulations on environmental protection, one of the following documents is required: Verify that documentation held by the company and the householder:  Decision on approving environmental impact assessment report for projects on cleare-cut harvesting for concentrated harvesting area of 200ha or more;  Environmental protection plan for projects on cleare-cut harvesting for concentrated harvesting area less than 200ha. Legal references:  Article 12 Decree No. 18/2015/NĐ-CP  Article 18 Decree No. 18/2015/NĐ-CP Indicator 1.3.4. Company and householder: Complying with regulations on archiving harvesting documents, all the following documents must be in place: Verify that documentation held by the company and the householder includes:  List of anticipated timber to be harvested Legal references:  Article 8 Circular No. 21/2016/TT-BNNPTNT
9 Indicator 1.3.5 Company and householder: Round timber with diameter of large end >=25cm and the length >= 1m and timber that are sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm, subject to rare, precious and endangered timber must be placed with forest hammer marks in compliance with regulations Verify that documentation held by the company and the householder includes:  Packing list  Minutes of placing forest hammer marks made by District Forest Protection Department. Legal references:  Article 7, 8 Decision No. 44/2006/QĐ-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT Indicator 1.3.6. Company and householder: Timber harvested are not subject for placing forest hammer marks as regulated in Indicator 1.3.5, the following document are required: Verify that documentation held by the company and the householder includes:  Packing list Legal references:  Article 7, 8 Decision No.44/2006/QĐ-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT; Criterion 1.4: Compliance with regulations on salvaged harvesting on natural forested areas converted from forest land use to other land uses. Indicator 1.4.1 Company and householder: Complying with legal regulations on changing land use from forest use into other uses, environmental protection, site clearance,the following documents must be in place: Verify that documentation held by the company and householder:  Decision on approving Measure on compensation for site clearance,including maps of converted forest area,status of converted forest.  Decision on allowing forest land conversion to other land uses  Decision on approving environmental assessment report for projects that change purposes for forest utility: 5ha or more for protection forests,special use forests; 10ha or more for natural forests; 50ha or more for other types of forests.  Environmental protection plan for projects that change purposes of the area less than area as specified above.
10 Legal references:  Article 29 Decree 23/2006/NĐ-CP; Article 8 Circular 21/2016/TT-BNNPTNT  Article 3, Resolution 49; Article 29 Decree 23/2006/NĐ- CP  Article 29 Decree 23/2006/NĐ-CP; Article 12 Decree No. 18/2015/NĐ-CP  Article 18 Decree No. 18/2015/NĐ-CP Indicator 1.4.2 Company: Having legal status for harvesting forest,one of the following documents must be in place: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprises Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 1.4.3 Company and householder: Complying with regulations on archiving harvesting documents, all the following documents must be in place: Verify that documentation held by the company and the householder includes:  List of anticipated timber to be harvested Legal references:  Article 8 Circular No. 21/2016/TT-BNNPTNT Indicator 1.4.4 Company and householder: Round timber with diameter of large end >=25cm and the length >= 1m and timber that are sawn or squared in the forest, with the length of >= Verify that documentation held by the company and the householder includes:  Packing list  Minutes of placing forest hammer marks made by District Forest Protection Department.
11 1m, thickness of >= 5cm and the width of >= 20cm, harvested in natural forests and timber subject to rare,precious and endangered timber harvested in plantation forests must be placed with forest hammer marks in compliance with regulations Legal references:  Article 7, 8 Decision No. 44/2006/QĐ-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT Indicator 1.4.5 Company and householder: Timber harvested not subject for placing forest hammer marks as indicated in Indicator 1.4.4, the following document is required: Verify that documentation held by the company and the householder includes:  Packing list Legal references:  Article 7, 8 Decision 44/2006/QĐ-BNN; Article 9 Circular 01/2012/TT-BNNPTNT; Criterion 1.5: Compliance with regulations on salvaged harvesting ofnatural forest while implementing sivilculture measures scientific researches and training Indicator 1.5.1. Company and householder: Complying with legal regulations on land use right and forest use right, one of the following documents is required: Verify that documentation held by the company and the householder includes:  Decision on land allocation (Prior to 15/10/1993)  Decision on land allocation, forest allocation (Since 15/10/1993 to 1/7/2004)  Land use right certificate (Since 15/10/1993 to date )  Decision on land allocation (Since 15/10/1993 to date )  Decision on land leasing (since 15/10/1993 to date)  Decision on forest allocation together with land allocation, land leasing (Since 2011 to date)  Decision on forest allocation Verify that documentation held by the householder includes (in addition to the documentation mentioned above):  Forestry book  One of the types of papers on land use rights as stipulated in Article 100 Land Law 2013  Confirmation of the Commune People’s Committee that land is currently used and free to dispute subject to the cases regulated in Article 101 Land law 2013  Forest protection contracts with other holders
12 Legal references for the company and the householder:  No specific legislation prior to 1993 on land allocation  Article 5, 13, 14 Decree No. 02. CP; Article 9, 12, 17 Decree No. 163/1999/NĐ-CP  Article 48, 49, 51 Land Law 2003  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT- BTNMT  Section II Circular No. 38/2007/TT-BNN Legal references for the company (in addition to the references mentioned above):  Article 102 Land Law 2013 Legal references for the household (in addition to the references mentioned above):  Article 100, 101 Land Law 2013  Article 5, Decree 01/1995;Article 8, Decree 135/2005 Indicator 1.5.2 Company: Having legal status for harvesting forest,one of the following documents is required: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014
13 Indicator 1.5.3 Company and householder: Complying with legal regulations prior to be permitted for salvage harvesting, one of the following documents is required: Verify that documentation held by the company and the householder includes:  Sivilculture project  Training plan  Scientific research proposal Legal references:  Article 8 Circular No. 21/2016/TT-BNNPTNT Indicator 1.5.4 Company and householder: Complying with regulations on archiving harvesting documents, the following document must be in place: Verify that documentation held by the company and the householder includes:  List of anticipated timber to be harvested Legal references:  Article 8 Circular No. 21/2016/TT-BNNPTNT Indicator 1.5.5 Company: Round timber with diameter of larger end >=25cm and the length >= 1m and timber that are sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks in compliance with regulations Householder: Round timber with diameter of large end >= 25cm and the length >= 1m and timber sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm, must be placed with forest hammer marks Verify that documentation held by the company includes:  Packing list made by forest title holders or harvesting entities, and validated by District Forest Protection Department;  Minutes of placing forest hammer marks made by District Forest Protection Department. Verify that documentation held by the householder includes:  Packing list  Minutes of placing forest hammer marks Legal references:  Article 7, 8 Decision No. 44/2006/QĐ-BNN ;Article 9 Circular No. 01/2012/TT-BNNPTNT; Indicator 1.5.6 Company and householder: Timber not subject for placing forest hammer marks as indicated in Indicator 1.5.5, the following document is required: Verify that documentation held by the company and the householder includes:  Packing list Legal references  Article 7, 8 Decision 44/2006/QĐ-BNN; Article 9 Circular 01/2012/TT-BNNPTNT.
14 Criterion 1.6 Compliance with regulations on salvaged collection ofstump, roots, branches in natural forests Indicator 1.6.1 Company and householder: Complying with legal regulations on land use right and forest use right, one of the following documents is required: Verify that documentation held by the company and the householder includes:  Decision on land allocation (Prior to 15/10/1993)  Land use right certificate (Since 15/10/1993 to date)  Decision on land allocation (Since 15/10/1993 to date)  Decision on land leasing (since 15/10/1993 to date)  Decision on forest allocation together with land allocation and land leasing (Since 2011 to date)  Decision on forest allocation Verify that documentation held by the company includes (in addition to the documentation mentioned above):  Decision on forest allocation (Since 15/10/1993 to 1/7/2004) Verify that documentation held by the householder includes (in addition to the documentation mentioned above):  Decision on land allocation, forest allocation (Since 15/10/1993 to 1/7/2004)  Forestry book  One of the types of papers on land use rights as stipulated in Article 100 Land Law 2013  Confirmation of the Commune People’s Committee that land is currently used and free to dispute subject to the cases regulated in Article 101 Land Law 2013  Forest protection contracts with other holders
15 Legal references  No specific legislation prior to 1993 on land allocation  Article 5, 13, 14 Decree No. 02/NĐ-CP; Article 9, 12, 17 Decree No. 163/1999/NĐ-CP  Article 48, 49, 51 Land Law 2003  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT-BTNMT  Section II Circular No. 38/2007/TT-BNN Legal references for the company (in addition to the references mentioned above):  Article 102 Land Law 2013 Legal references for the householder (in addition to the references mentioned above):  Article 5, 13, 14 Decree No. 02/NĐ-CP  Article 100 Land Law 2013  Article 101 Land Law 2013  Article 5, Decree 01/1995; Article 8, Decree 135/2005 Indicator 1.6.2 Company: Having legal status for harvesting forest,one of the following documents must be in place: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014
16 Indicator 1.6.3 Company and householder: Complying with regulations on archiving harvesting documents, the following document must be in place: Verify that documentation held by the company and householder includes:  List of anticipated timber to be harvested Legal references:  Article 9 Circular No. 21/2016/TT-BNNPTNT Legal references for the householder (in addition to the reference mentioned above):  Article 9 Circular No. 01/2012/TT-BNNPTNT Indicator 1.6.4 Company: Round timber with diameter of larger end >=25cm and the length >= 1m and timber that are sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks in compliance with regulations Householder: Round timber with the large end’s diameter >= 25cm and the length >= 1m and timber sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cmmust be placed with forest hammer marks Verify that documentation held by the company includes:  Packing list made by forest title holders or harvesting entities, and validated by District Forest Protection Department;  Minutes of placing forest hammer marks made by District Forest Protection Department. Verify that documentation held by the householder includes:  Packing list  Minutes of placing forest hammer marks Legal references  Article 7, 8 Decision 44/2006/QĐ-BNN; Article 9 Circular 01/2012/TT-BNNPTNT; Indicator 1.6.5 Company and householder: Timber harvested not subject for placing forest hammer marks as regulated in Indicator 6.4, the following document is required: Verify that documentation held by the company and the householder includes:  Packing list Legal references:  Article 7, 8 Decision No. 44/2006/QĐ-BNN ;Article 9 Circular No. 01/2012/TT-BNNPTNT; 1.7 Criterion: Compliance with regulations on salvaged collection ofstump, roots, branches in plantation forests
17 Indicator 1.7.1 Complying with legal regulations on land use right and forest use right, one of the following documents is required: Verify that documentation held by the company and the householder includes:  Decision on land allocation (prior to 15/10/1993)  Land use right certificate (since 15/10/1993 to date)  Decision on land allocation (since 15/10/1993 to date)  Decision on land leasing (since 15/10/1993 to date) Verify that documentation held by the householder includes (in addition to the documents mentioned above):  Decision on land allocation, forest allocation (Since 15/10/1993 to 1/7/2004).  Decision on forest allocation together with land allocation, land leasing (Since 2011 to date).  Forestry book.  One of the types of papers on land use rights as required in Article 100 Land Law 2013.  Confirmation of the Commune People’s Committee that land is currently used and free to dispute subject to the cases regulated in Article 101 Land Law 2013.  Forest protection contracts with other holders. Legal references:  No specific legislation prior to 1993 on land allocation  Article 48, 49, 51 Land Law  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013 Legal references for the company (in addition to the references mentioned above):  Article 102 Land Law 2013 Legal references for the householder (in addition to the references mentioned above):
18  Article 5, 13, 14 Decree No. 02/NĐ-CP; Article 9, 12, 17 Decree No. 163/1999/NĐ-CP  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT-BTNMT  Article 5, 13, 14 Decree No. 02/NĐ-CP  Article 100 Land Law 2013  Article 101 Land Law 2013  Article 5, Decree 01/1995;Article 8, Decree 135/2005 Indicator 1.7.2 Company: Having legal status for harvesting forest,one of the following documents must be in place: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investor)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 1.7.3 Company and householder: Complying with regulations on archiving harvesting documents, all the following documents must be in place: Verify that documentation held by the company and the householder includes:  Report on harvesting location and volume Legal references:  Article 6 Circular No. 21/2016/TT-BNNPTNT; Indicator 1.7.4 Company and householder: Verify that documentation held by the company and the householder includes:  Packing list  Minutes of placing forest hammer marks
19 Round timber with diameter of large end >=25cm and the length >= 1m and timber that are sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm, subject to rare,precious and endangered timber must be placed with forest hammer marks in compliance with regulations Legal references for the organization and the householder:  Article 7, 8 Decision No. 44/2006/QĐ-BNN; Article 9, Circular 01/2012/TT-BNNPTNT Legal references for the organization (in addition to the references mentioned above):  Article 1, Circular 42/2012/TT-BNNPTNT Indicator 1.7.5 Company and householder: Timber not subject for placing forest hammer marks as indicated in Indicator 7.4, the following document is required: Verify that documentation held by the company and the householder includes:  Packing list Legal references for the organization and the householder:  Article 7, 8 Decision No. 44/2006/QĐ-BNN; Article 9, Circular 01/2012/TT-BNNPTNT. Legal references for the organization (in addition to the reference mentioned above):  Article 1, Circular 42/2012/TT-BNNPTNT Criterion 8: Compliance with regulations on harvesting timber from plantations in home gardens, farms and dispersed trees (Only applies to householder) Indicator 1.8.1: Householder: Compliance with regulation on harvesting documents, all the following documents must be in place: Verify that documentation held by the householder includes:  Report on harvesting location and volume Legal references:  Article 7 Circular No. 21/2016/TT-BNNPTNT; Article 9, Circular No. 01/2012/TT-BNNPTNT
20 Indicator 1.8.2: Householder: Round timber with diameter of larger end >=25cm and the length >= 1m and timber that are sawn or squared in the forest, has the length of 1 m or more, thickness of 5cm or more and width of 20 cm or more, harvested from plantation forest and subject to rare,precious and endangered timber must be placed with forest hammer marks in accordance with regulations and the following documents must be in place: Verify that documentation held by the householder includes:  Packing list  Minutes on placing forest hammer marks Legal references:  Article 7, 8 Decision No. 44/2006/QD-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT Indicator 1.8.3: Householder: Timber harvested are not subject for placing forest hammer marks as regulated in Indicator 8.2, the following document must be in place: Verify that documentation held by the householder includes:  Packing list Legal references:  Article 7, 8 Decision No. 44/2006/QD-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT Criterion 1.9: Compliance with regulations on harvesting rubber wood.
21 Indicator 1.9.1: Company and householder: Complying with legal regulations on land use right and forest use right, one of the following documents is required: Verify that documentation held by the company and householder includes:  Decision on land allocation (Prior to 15/10/1993)  Land use right certificate (Since 15/10/1993 to date)  Decision on land allocation (since 15/10/1993 to date)  Decision on land leasing (since 15/10/1993 to date)  Decision on land allocation (Since 15/10/1993 to 1/7/2004)  Decision on land allocation, land leasing (Since 2011 to date) Verify that documentation held by the householder includes (in addition to the documentation mentioned above):  One of the types of papers on land use rights as stipulated in Article 100 Land Law 2013  Confirmation of the Commune People’s Committee that land is currently used and free to dispute subject to the cases regulated in Article 101 Land Law 2013 Legal references:  No specific legislation prior to 1993 on land allocation  Article 48, 49, 51 Land Law 2003  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013  Article 5, 13, 14 Decree No. 02. CP; Article 9, 12, 17 Decree No. 163/1999/NĐ-CP  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT-BTNMT Legal references for the company (in addition to the references mentioned above):  Article 102 Land Law 2013 Legal references for the householder (in addition to the references mentioned above):  Article 100 Land Law 2013  Article 101 Land Law 2013
22 Indicator 1.9.2: Company: Having legal status for harvesting forest,one of the following documents is required: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 1.9.3: Company and householder: Complying with regulations on archiving harvesting documents, all the following documents must be in place: Verify that documentation held by the company and the householder includes:  Report on harvesting location and volume  Packing list Legal references:  Article 7 Circular 21/2016/TT-BNNPTNT;  Article 5, Circular 01/2012/TT-BNNPTNT; Article 1, Circular 40/2012/TT-BNNPTNT
23 PRINCIPLE 2: COMPLIANCE WITH REGULATIONS ON HANDLING CONFISCATED TIMBER Criterion 2.1. Compliance with regulation on archiving documents ofhandled confiscated timber Indicator 2.1. 1 Company and householder: Compliance with regulations on handled confiscated timber, the following documents must be in place: Verify that documentation held by the company and householder includes:  Sales contract/Contract on purchase and sale of property put up for auction  Certificates of ownership or use right of auctioned property  Invoice in compliance with regulations of Ministry of Finance  Packing list Legal references:  Article 35, Decree 17/2010/ND-CP  Article 46 Decree 17/2010/NĐ-CP  Article 16 Circular 01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Indicator 2.1.2 Company and householder: Round timber with the large end’s diameter >= 25cm and the length >= 1m and timber sawn or squared in forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks on timber products and the following documents: Verify that documentation held by the company and householder includes:  Minutes of placing forest hammer marks Legal references:  Article 7, 8 Decision No.44/2006/QĐ-BNN, Article 1, Decision 107/2007/QĐ-BNN
24 PRINCIPLE 3: COMPLIANCE WITH REGULATIONS ON IMPORTING TIMBER Criterion 3.1: Compliance with regulations on customs procedures Indicator 3.1. 1 Company and householder: Complying with legal regulations on customs procedures,the following documents are required: Verify that documentation held by the company and householder includes:  Declaration for imported timber products  Sales contract (if export timber and timber products are not imposed export tax)  Trading invoice in case of commercial transaction;  Bill of lading (or other shipping document of equivalent value in accordance with legal regulations);  Packing list of imported timber products  Depending on timber sources of imported timber, one of the following documents is required:  CITES Permit of export country for the case of timber under Appendix I, II, and III of CITES.  FLEGT license  A Self-declaration demonstrating due diligence on the legality of timber  Depending on the risk category (as specified in Table 2 of Annex V), one of the following documents shall be attached to a Self- declaration:  Voluntary certification or national certification schemes recognized by VNTLAS  Legal harvesting document in line with law and regulations of country of harvest (HS 4403, 4406, 4407)  Alternative additional documentation demonstrating legality of timber in accordance with legislation of country of harvest (in case the harvesting document is not required in the country of harvest for primary products, or importers cannot obtain harvesting document for complex products) Legal references:  Article 24 Customs Law 2014; Article 25, Decree 08/2015/NĐ- CP; Article 10 Circular 01/2012/TT-BNNPTNT; Article 16 Circular 38/2015/TT-BTC  Article 16 Circular 38/2015/TT-BTC
25  Article 10, Circular01/2012/BNNPTNT  Decree 82/2006/NĐ-CP; Article 5 Decree 98/2011/NĐ-CP; Circular 04/2015/TT-BNNPTNT  Further legalization to be issued by VN Government Criterion 3.2: Compliance with regulations on plant quarantine and forest hammer mark Indicator 3.2. 1 Company and householder: Compliance with regulations on plant quarantine for timber and timber products, the following document is required: Verify that documentation held by the company and householder includes:  Plant quarantine certificate for round timber, sawn timber, Pallet and sawdust Legal references:  Article 1 Circular No. 30/2014/TT-BNNPTNT; Article 7 Circular 33/2014/TT-BNNPTNT Indicator 3.2. 2 Company and householder: Round timber with the diameter of larger ends >= 25 cm and the length >= 1m must be placed with hammer marks or other special signs of exporting countries. Otherwise, there must be forest hammer marks in accordance with regulations Verify that documentation held by the company and householder includes:  Minutes of placing forest hammer marks  Packing list Legal references:  Article 7, 8, Decision No. 44/2006/QĐ-BNN
26 PRINCIPLE 4: COMPLIANCE WITH REGULATIONS ON TIMBERTRANSPORTATION ANDTRADE Criterion 4.1. Compliance with regulations on enterprises establishment (Criteria 4.1 only applies to companies) Indicator 4.1.1 Company: To obtain legal status, one of the following documents are required: Verify that documentation held by the company includes:  Business Registration Certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Criterion 4.2 Compliance with regulations on transporting, trading unprocessed timber that are main harvesting, salvaged harvesting and salvaged collection from domestic natural forests Indicator 4.2.1 Company and householder: Compliance with regulations on legal timber product dossier, the following documents must be in place: Verify that documentation held by the company and the householder includes:  Invoice as required by the Ministry of Finance (in the case of purchasing timber from organizations)  Packing list Legal references:  Article 12, Circular 01/2012/TT-BNNPTNT; Article 1, Circular 40/2015/TT-BNNPTNT Indicator 4.2.2 Company and householder: Round timber with the large end diameter >= 25cm, length >= 1m and timber sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks and accompanied with the following documents: Verify that documentation held by the company and the householder includes:  Packing list  Minutes of placing forest hammer marks Legal references:  Article 7, 8, Decision No.44/2006/QĐ-BNN
27 Criteria 4.3. Compliance with regulations on transporting, trading unprocessed timber that are harvested from concentrated plantation forests, home gardens,farms, scattered trees Indicator 4.3.1 Company and householder: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Invoice as required by the Ministry of Finance (if purchasing timber from organizations)  Packing list Legal references:  Article 13 Circular No.01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Indicator 4.3.2 Company and householder: For rare,precious, endangered timber harvested in plantation forests, round timber with the large end’s diameter >= 25cm and the length >= 1m and timber sawn or squared in forest with the length of >= 1m, thickness >= 5cm, width of >= 20 cm, forest hammer marks and the following documents are required: Verify that documentation held by the company and the householder includes:  Packing list  Minutes of placing forest hammer marks Legal references:  Article 7, 8, Decision No.44/2006/QĐ-BNN Legal references for the company (in addition to the reference mentioned above):  Article 13 Circular No.01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT
28 Criteria 4.4 Compliance with regulations on transporting, trading imported timber and timber products that are not domestically processed Indicator 4.4.1 Company and householder: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Invoice as required by Ministry of Finance  Packing list Legal references for the company:  Article 14 Circular No.01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Legal references for the householder:  Article 16 Circular 01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Indicator 4.4.2 Company: Imported round timber with diameter of large end of >= 25cm and length >= 1m if there is no hammer mark or special signs of exporting countries, it must be placed with forest hammer marks and the following documents: Householder: Round timber with the diameter of larger end >= 25cm and the length >= 1m, and timber sawn or squared in forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks and accompanied with the following documents: Verify that documentation held by the company and the householder includes:  Packing list  Minutes on placing forest hammer marks Legal references for the company and householder:  Article 7, 8, Decision No. 44/2006/QĐ-BNN
29 Criterion 4.5: Compliance with regulations on transporting and trading unprocessed confiscated timber and timber products that have been handled Indicator 4.5.1 Company and householder: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Invoice as regulated by Ministry of Finance (if timber is purchased from organizations)  Packing list Legal references:  Article 16 Circular No.01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Indicator 4.5.2 Company and householder: Round timber with the diameter of larger end >= 25cm and the length >= 1m, and timber sawn or squared in forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks and accompanied with the following documents: Verify that documentation held by the company and the householder includes:  Packing list  Minutes on placing forest hammer marks Legal references:  Article 7, 8, Decision No. 44/2006/QĐ-BNN Criterion 4.6: Compliance with regulations on transporting and trading of processed timber and timber products (including round timber cross-cutting) from natural timber, imported timber and handled confiscated timber Indicator 4.6.1 Company and householder: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Invoice as regulated by Ministry of Finance (if timber is purchased from organizations)  Packing list
30 Legal references:  Article 17 Circular No.01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Legal references for the company (in addition to the references mentioned above):  Article 17, 26 Circular No.01/2012/TT-BNNPTNT; Indicator 4.6.2 Company and householder: Round timber with the large end diameter >= 25 cm and the length >= 1m must be placed with forest hammer marks and accompanied with the following documents: Verify that documentation held by the company and the householder includes:  Packing list  Minutes on placing forest hammer marks made Legal references:  Article 7, 8, Decision No44/2006/QĐ-BNN Criterion 4.7: Compliance with regulations on transporting and trading of processed timber and timber products (including round timber cross-cutting) from concentrated plantation forests,home gardens,scattered trees Indicator 4.7.1 Company and householder: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Invoice as regulated by Ministry of Finance (if timber is purchased from organizations)  Packing list Legal references:  Article 17 Circular No.01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Indicator 4.7.1 Company and householder: Verify that documentation held by the company and the householder includes:  Packing list  Minutes on placing forest hammer marks made
31 Round timber with diameter of larger end >= 25 cm and the length >= 1m must be placed with forest hammer marks and accompanied with the following documents: Legal references:  Article 7, 8, Decision No44/2006/QĐ-BNN Criterion 4.8: Compliance with regulations on timber product dossier for export (work in progress) Indicator 4.8.1 Company and householder: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Sale contract (if export timber and timber products are imposed export tax)  Trading invoice  Packing list of forest products for export  One or more additional documents subject to specific stages of the supply chain of different timber sources (e.g. minutes of placing forest hammer marks) providing evidences on timber legality for such shipment Legal references for the company and the householder:  Article 5 Circular 01/2012/TT-BNNPTNT Legal references for the company (in addition to the reference mentioned above):  Article 2 Circular 40/2015/TT-BNNPTNT Legal references for the householder (in addition to the reference mentioned above):  Circular No. 38/2015/TT-BTC
32 Criteria 4.9: Compliance with regulations on internal transportation oftimber and timber products within a province (Criteria only applies to companies) Indicator 4.9.1 Company: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company includes:  Internal delivery bill  Packing list Legal references:  Article 18 Circular No.01/2012/TT-BNNPTNT Indicator 4.9.2 Company: Round timber with the large end diameter >= 25cm and the length >= 1m and timber that are sawn or squared in the forest, length >= 1, thickness >= 5 cm, width >= 20cm, harvested in natural forests and subject to rare,precious and endangered timber harvested in plantation forests,shall be placed with forest hammer marks in compliance with regulations. Verify that documentation held by the company includes:  Packing list  Minutes on placing forest hammer marks Legal references:  Article 7, 8 Decision 44/2006/QD-BNN; Article 7, 9 Circular 01/2012/TT-BNNPTNT; Criteria 4.10. Compliance with regulations on internal transportation oftimber and timber products between provinces (Criteria only applies to companies) Indicator 4.10.1 Company: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company includes:  Internal delivery bill  Packing list Legal references:  Article 18 Circular No.01/2012/TT-BNNPTNT Indicator 4.10.2 Company: Round timber with the large end diameter >= 25cm and the length >= 1m and timber that are sawn or squared in the forest, length >= 1m, thickness >= 5cm, width >= 20cm, harvested in natural forests and subject to rare,precious and endangered timber harvested in plantation Verify that documentation held by the company includes:  Packing list  Minutes on placing forest hammer marks
33 forests,shall be placed with forest hammer marks in compliance with regulations. Legal references:  Article 7, Article 9 Circular No. 01/2012/TT-BNNPTNT;  Article 7, 8 Decision No44/2006/QĐ-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT
34 PRINCIPLE 5: COMPLIANCE WITH THE REGULATIONS ON TIMBER PROCESSING Criterion 5.1. Compliance with regulations on enterprisesestablishment (Criteria only applies to companies) Indicator 5.1.1 Company: Having legal status, one of the following documents is required: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Investment registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 5.1.2 Company: Processing of timber complies with regulations on environmental protection, one of the following documents must be in place: Verify that documentation held by the company includes:  Decision on approving environmental impact assessment report for processing facilities of timber and woodchips from natural forests with capacity of from 3,000 m3 product/year or more;  Decision on approving environmental impact assessment report for plywood processing facilities with capacity of from 100,000 m2 product/year or more;  Decision on approving the environmental impact assessment report for furniture producing facilities with total area of warehouses,factories from 10,000 m2 or more;  Environmental protection plan by processing facilities of timber, plywood, particle board which are not subject to environmental impact assessment.
35 Legal references:  Article 12 Decree No. 18/2015/NĐ-CP  Article 18 Decree No. 18/2015/NĐ-CP Indicator 5.1.3 Company: Compliance with regulations on fire prevention and firefight Verify that documentation held by the company includes:  Approved design on fire prevention and firefight Legal references:  Article 15 and Annex 4, Decree 79/2014/ND-CP Indicator 5.1.4 Company: Compliance with regulation on making monitoring entry and exit books Verify that documentation held by the company includes:  Monitoring entry and exit books Legal references:  Article 20 Circular 01/2012/TT-BNNPTNT Criteria 5.2: Complying with regulations on timber processing facilities (Criteria only applies to householders) Indicator 5.2.1 Householder: Compliance with regulations on fire prevention and firefight Verify that documentation held by the householder includes:  Approved design on fire prevention and firefight Legal references:  Article 15 and Annex 4, Decree 79/2014/ND-CP Indicator 5.2.2 Householder: Complying with regulation on safety-hygiene. Verify that documentation held by the householder includes:  Rules on safety-hygiene are in place. Legal references:  Labour Code 2012: Chapter IX, Clause 1 Article 137, Article 138 Labour Code 10/2012/QH 13
36 Criterion 5.3: Compliance with regulations on legal origin oftimber which are going to be processed Indicator 5.3.1 Company and householder: Compliance with regulations on legal dossiers for timber harvested from forests of households or organizations, the following documents must be in place: Verify that documentation held by the company and householder includes:  Packing list Legal references:  Article 20 Circular 01/2012/TT-BNNPTNT Indicator 5.3.2 Company and householder: Complying with regulations on legal dossiers for timber purchased from organizations, the following documents are required: Verify that documentation held by the company and householder includes:  Invoice as required by the Ministry of Finance  Packing list Legal references:  Article 20 Circular No. 01/2012/TT-BNNPTNT; Article 1 Circular No. 40/2015/TT-BNNPTNT Indicator 5.3.3 Company and householder: Complying with regulation on legal timber dossier for timber purchased from households the following document is required: Verify that documentation held by the company and householder includes:  Packing list Legal references:  Article 20 Circular No. 01/2012/TT-BNNPTNT Indicator 5.3.4 Company and householder: Round timber with the large end diameter >= 25cm and the length >= 1m harvested in natural forests and timber subject to rare,precious and endanger species harvested from plantation forests,imported timber without hammer marks or special signs of exporting countries, handled confiscated timber must be marked with forest hammer marks in compliance with regulations. Verify that documentation held by the company and householder includes:  Packing list  Minutes on placing forest hammer marks Legal references:  Article 7, 8, Decision No. 44/2006/QĐ-BNN; Article 9 Circular No. 01/2012/TT-BNNPTNT
37 Indicator 5.3.5 Company: Timber sawn or squared in forests and confiscated timber sawn were handled but not further processed,having the length of >= 1m, thickness >= 5cm, width of >= 20 cm harvested in natural forests and timber subject to rare,precious and endanger species harvested from plantation forests must be marked with forest hammer marks in compliance with regulations. Verify that documentation held by the company includes:  Packing list  Minutes on placing forest hammer marks Legal references:  Article 7, 8, Decision 44/2006/QĐ-BNN; Article 9, Circular 01/2012/TT-BNNPTNT; Article, Decision 107/2007/QĐ-BNN
38 PRINCIPLE 6: COMPLIANCE WITH REGULATIONS ON CUSTOMS PROCEDURES FOR EXPORT Criterion 6.1: Complying with regulations on customs procedures Indicator 6.1.1 Company and householder: Complying with legal regulations on legal export dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Customs clearance declaration for export timber products (original)  Sales contract (if export timber and timber products are imposed export tax)  Trading invoice (if export timber and timber products are imposed export tax)  Packing list  Permit of CITES MA of Viet Nam for products made from timber which must be licensed under CITES  FLEGT license for EU market Legal references:  Article 24, Law on Customs 2014, Article 25 Decree 08/2015/ND-CP, Article 16 Circular 38/2015/TT-BTC  Article 16 Circular 38/2015/TT-BTC  Circular no. 38/2015/TT-BTC  Article 5 Circular 01/2012/TT-BNNPTNT  Article 8, Circular 04/2015/TT-BNNPTNT, Article 16 Circular 38/2015/TT-BTC  Further legalization to be issued by VN Government Criterion 6.2: Compliance with regulations on plant quarantine Indicator 6.2.1 Company and householder: Complying with regulations on plant quarantine for timber and timber products, the following document is required: Verify that documentation held by the company and the householder includes:  Quarantine certificate issued by Viet Nam’s Quarantine Authority for round timber, sawn timber, Pallet, sawdust Legal references for the company and the householder:  Article 1 Circular No. 30/2014/TT-BNNPTNT; Article 8 Circular 33/2014/TT-BNNPTNT
39 Legal references for the company (in addition to the references mentioned above):  Article 8, 12 Decree 02/2007/ND-CP,Article 10 Circular 33/2014/TT-BNNPTNT PRINCIPLE 7: COMPLIANCE WITH REGULATIONS ON TAXAND EMPLOYEES Criterion 7.1: Compliance with regulations on tax Indicator 7.1.1 Company and householder: Compliance with regulations on tax declaration, registration and payment Verify that documentation held by the company and the householder includes:  Organizations or persons, or business are not included in the public list of tax risk Legal references:  Article 70, Circular 156/2013/TT-BTC; Document 815/TCT-KK Criterion 7.2: Compliance with Labour Code Indicator 7.2.1 Company: Labour Contract between enterprises and employees Contract requirement:  Their names are included in the payroll of the organisations Legal references:  Article 15, 16, 17 Labour Code 2012 Indicator 7.2.2 Company: Employees are engaged into the enterprise's Trade Union Requirement:  Their names are included in the list of payment for Trade Union fee Legal references:  Article 5, Trade Union Law 2012
40 Indicator 7.2.3 Company: Implementing regulations on labour safety and labour hygiene Verify that documentation held by the company includes:  Labour hygiene plan made by the enterprise Legal references:  Article 148, Labour Code 2012 Criterion 7.3: Compliance with Social Insurance Lawand Health Insurance Law Indicator 7.3.1 Company: Having social insurance books for employees whose labour contract duration is from 1 month or more Requirement:  Public information on social insurance contribution Legal references:  Article 2, 21, Social Insurance Law 2014 Indicator 7.3.2 Company: Having health insurance for employees whose labour contract duration are 3 months or more Requirement:  Payroll of the organization to demonstrate the health insurance contribution Legal references:  Article 12, Health Insurance Law 2008; Article 1 Law on amending and supplementing a number of articles of the Health Insurance Law 2014 Indicator 7.3.3 Company: Have unemployment insurance for employees whose contracts are for a full of 03 months or more Requirement:  Payroll of the organization to demonstrate the payment of monthly unemployment insurance Legal references:  Article 52, Law on Employment 2013

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Timber Legality Framework

  • 1. 1 WWF GFTN: CommonFrameworkfor Assessing Legality ofForestry Operations,Timber Processing and Trade - Principles,CriteriaandIndicators for Vietnam Indicator Guidance note/verifier PRINCIPLE 1: HARVESTING OF DOMESTICTIMBERCOMPLIES WITH REGULATIONS ONLAND USE RIGHTS,FOREST USE RIGHTS, MANAGEMENT, ENVIRONMENT AND SOCIETY Criterion 1.1: Compliance with regulations on main harvesting ofnatural forest timber Indicator 1.1.1: Company: Complying with legal regulations on land use right and forest use right, one of the following documents must be in place: Verify that documentation held by the householder includes:  Decision on land allocation (Prior to 15/10/1993)  Decision on forest allocation (From 15/10/1993 to 1/7/2004)  Land use right certificate (Since 15/10/1993 to date)  Decision on land allocation (since 15/10/1993 to date)  Decision on land leasing  Decision on forest allocation together with land allocation, land leasing (since 2011 to date)  Decision on forest allocation Legal references:  No specific legislation prior to 1993 on land allocation  Article 5, 13, 14 Decree 02. CP; Article 16, 17 Decree No. 163/1999/NĐ-CP  Article 48, 49, 51 Land Law 2003; Article 102 Land Law 2013  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT- BTNMT  Section II Circular 38/2007/TT-BNN
  • 2. 2 Indicator 1.1.2. Company: Having legal status harvesting forest, one of the following documents must be in place: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprise in which 51% of charter capital is held by foreign investors )  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 1.1.3. Company: Having approved Sustainable Forest Management Plan, the following document must be in place: Verify that documentation held by the company includes:  Decision on approving Sustainable Forest Management Plan Legal references:  Article 11 Circular No. 38/2014/TT-BNNPTNT; Indicator 1.1.4. Company: Complying with regulations on archiving harvesting documents, all the following documents must be in place: Verify that documentation held by the company includes:  Harvesting design statement  Map of harvesting area  List of tree marked for harvesting  Minutes on appraising harvesting design in the field  Decision on approving harvesting design  Harvesting Permit  Minute of acceptance of harvested timber Legal references for companies:  Article 22 Circular No. 87/2009/TT-BNNPTNT  Article 21, Circular No. 87/2009/TT-BNNPTNT;
  • 3. 3  Article 14, Circular No. 87/2009/TT-BNNPTNT;  Article 24, Circular No. 87/2009/TT-BNNPTNT;  Article 25, Circular No. 87/2009/TT-BNNPTNT;  Article 4 Circular No. 21/2016/TT-BNNPTNT Indicator 1.1.5. Company: Round timber with the large end diameter >= 25cm, length >= 1m and timber sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks on timber products and the following documents: Verify that documentation held by the company includes:  Packing list  Minutes of placing forest hammer marks Legal references:  Article 7, 8 Decision 44/2006/QĐ-BNN; Article 9, Circular 01/2012/TT-BNNPTNT  Article 7, 8 Decision 44/2006/QĐ-BNN; Article 9, Circular 01/2012/TT-BNNPTNT Indicator 1.1.6. Company: Timber harvested not subject to place forest hammer marks as regulated in the Indicator 1.1.5 the following documents must be in place: Verify that documentation held by the company includes:  Packing list of timber Legal references:  Article 7, 8 Decision 44/2006/QĐ-BNN; Article 9, Circular 01/2012/TT-BNNPTNT Indicator 1.1.7 Company: Harvesting forest complies with regulations on environmental protection as required by laws, one of the following documents must be in place: Verify that documentation held by the company includes:  Decision on approving environmental impact assessment report for projects harvesting in natural production forest involving clear-cut harvesting in concentration area at least 50 ha in size  Environmental protection plan for projects harvesting in natural production forest involving clear-cut harvesting in concentration area less than 50 ha in size Legal references:  Article 12 Decree 18/2015/NĐ-CP  Article 18 Decree 18/2015/NĐ-CP Criterion 1.2: Compliance with regulations on main harvesting,salvaged harvesting and salvaged collection from planted protection forests
  • 4. 4 Indicator 1.2.1: Company and householder: Complying with legal regulations on land use right and forest use right, one of the following types of documents are required: Verify that documentation held by the company and householder includes:  Decision on land allocation (Prior to 15/10/1993)  Decision on forest allocation (From 15/10/1993 to 1/7/2004)  Land use right certificate (Since 15/10/1993 to date)  Decision on land allocation (Since 15/10/1993 to date)  Decision on land leasing (since 15/10/1993 to date)  Decision on forest allocation together with land allocation, land leasing (Since 2011 to date)  Decision on forest allocation Verify that documentation held by the householder includes (in addition to the documentation mentioned above) :  Decision on land allocation, forest allocation (Since 15/10/1993 to 1/7/2004)  Forestry book  One of the types of papers on land use rights as stipulated in Article 100 Land Law 2013  Confirmation of the Commune People’s Committee that land is currently used and free to dispute subject to the cases regulated in Article 101 Land Law 2013  Forest protection contracts with other holders Legal references for the company and the householder:  No specific legislation prior to 1993 on land allocation  Article 5, 13, 14 Decree No. 02/NĐ-CP; Article 9, 12, 17 Decree No. 163/1999/NĐ-CP  Article 48, 49, 51 Land Law 2003; Article 100, 101, 102 Land Law 2013  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT- BTNMT
  • 5. 5  Section II, Circular No. 38/2007/TT-BNN Legal references for householder (in addition to the legal referencesmentioned above):  Article 5, 13, 14 Decree No. 02/NĐ-CP  Article 100 Land Law 2013  Article 101 Land Law 2013  Article 5, Decree 01/1995;Article 8, Decree 135/2005 Indicator 1.2.2: Company: Having legal status for harvesting forest,the following documents are required: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references for the company:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 1.2.3: Company and householder: Harvesting forest complies with regulations on environmental protection as required by laws, one of the following documents must be in place: Verify that documentation held by the company and householder includes:  Decision on approving environmental impact assessment report for projects on cleared-cut harvesting for concentrated harvesting area of 200ha or more  Environmental protection plan for projects on cleared-cut harvesting for concentrated harvesting area less than 200ha Legal references:  Article 12 Decree No. 18/2015/NĐ-CP  Article 18 Decree No. 18/2015/NĐ-CP
  • 6. 6 Indicator 1.2.4: Company and householder: Complying with regulations on archiving harvesting documents, the following documents must be in place: Verify that the company and the company and householder holds:  Harvesting design statement  Map of harvesting area  Harvesting permit Legal references:  Article 6 Circular No. 21/2016/TT-BNNPTNT; Article 9 Circular 01/2012/TT-BNNPTNT Indicator 1.2.5 Company and householder: Round timber with diameter of large end >=25cm and the length >= 1m and timber that are sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm, subject to rare, precious and endangered timber must be placed with forest hammer marks in compliance with regulations Verify that documentation held by the company and householder includes:  Packing list  Minutes of placing forest hammer marks Legal references:  Article 7, 8 Decision No. 44/2006/QĐ-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT Indicator 1.2.6 Company and householder: Timber harvested that not subject for forest hammer marks as regulated in Indicator 2.5, the following document is required: Verify that documentation held by the company and the householder includes:  Packing list Legal references:  Article 7, 8 Decision No.44/2006/QĐ-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT; Article 1, Circular 42/2012/TT-BNNPTNT Criterion 1.3: Compliance with regulations on main harvesting,salvaged harvesting and salvaged collection from planted production forests Indicator 1.3.1: Company and householder Complying with legal regulations on land use right and forest use right, one of the following documents are required: Verify that documentation held by the company and householder includes:  Decision on land allocation (Prior to 15/10/1993)  Land use right certificate (Since 15/10/1993 to date)  Decision on land allocation (since 15/10/1993 to date)  Decision on land leasing (since 15/10/1993 to date)
  • 7. 7  Decision on land allocation, forest allocation (Since 15/10/1993 to 1/7/2004)  Decision on land allocation, land leasing (Since 2011 to date) Verify that documentation held by the householder includes (in addition to the documentation mentioned above) :  Forestry book  One of the types of papers on land use rights as stipulated Article 100 Land Law 2013  Confirmation of the Commune People’s Committee that land is currently used and free to dispute subject to the cases regulated in Article 101 Land Law 2013  Forest protection contracts with other holders Legal references for the company and the householder:  No specific legislation prior to 1993 on land allocation  Article 48, 49, 51 Land Law 2003; Article 100, 101,102 Land Law 2013  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013  Article 5, 13, 14 Decree No. 02/NĐ-CP; Article 9, 12, 17 Decree No. 163/1999/NĐ-CP  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT- BTNMT Legal references for the household (in addition to the references mentioned above):  Article 100 Land Law 2013  Article 101 Land Law 2013  Article 5, Decree 01/1995/NĐ-CP; Article 8, Decree 135/2005/NĐ-CP
  • 8. 8 Indicator 1.3.2 Company: Having legal status for harvesting forest,one of the following documents is required: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 1.3.3 Company and householder: Harvesting forest complies with legal regulations on environmental protection, one of the following documents is required: Verify that documentation held by the company and the householder:  Decision on approving environmental impact assessment report for projects on cleare-cut harvesting for concentrated harvesting area of 200ha or more;  Environmental protection plan for projects on cleare-cut harvesting for concentrated harvesting area less than 200ha. Legal references:  Article 12 Decree No. 18/2015/NĐ-CP  Article 18 Decree No. 18/2015/NĐ-CP Indicator 1.3.4. Company and householder: Complying with regulations on archiving harvesting documents, all the following documents must be in place: Verify that documentation held by the company and the householder includes:  List of anticipated timber to be harvested Legal references:  Article 8 Circular No. 21/2016/TT-BNNPTNT
  • 9. 9 Indicator 1.3.5 Company and householder: Round timber with diameter of large end >=25cm and the length >= 1m and timber that are sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm, subject to rare, precious and endangered timber must be placed with forest hammer marks in compliance with regulations Verify that documentation held by the company and the householder includes:  Packing list  Minutes of placing forest hammer marks made by District Forest Protection Department. Legal references:  Article 7, 8 Decision No. 44/2006/QĐ-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT Indicator 1.3.6. Company and householder: Timber harvested are not subject for placing forest hammer marks as regulated in Indicator 1.3.5, the following document are required: Verify that documentation held by the company and the householder includes:  Packing list Legal references:  Article 7, 8 Decision No.44/2006/QĐ-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT; Criterion 1.4: Compliance with regulations on salvaged harvesting on natural forested areas converted from forest land use to other land uses. Indicator 1.4.1 Company and householder: Complying with legal regulations on changing land use from forest use into other uses, environmental protection, site clearance,the following documents must be in place: Verify that documentation held by the company and householder:  Decision on approving Measure on compensation for site clearance,including maps of converted forest area,status of converted forest.  Decision on allowing forest land conversion to other land uses  Decision on approving environmental assessment report for projects that change purposes for forest utility: 5ha or more for protection forests,special use forests; 10ha or more for natural forests; 50ha or more for other types of forests.  Environmental protection plan for projects that change purposes of the area less than area as specified above.
  • 10. 10 Legal references:  Article 29 Decree 23/2006/NĐ-CP; Article 8 Circular 21/2016/TT-BNNPTNT  Article 3, Resolution 49; Article 29 Decree 23/2006/NĐ- CP  Article 29 Decree 23/2006/NĐ-CP; Article 12 Decree No. 18/2015/NĐ-CP  Article 18 Decree No. 18/2015/NĐ-CP Indicator 1.4.2 Company: Having legal status for harvesting forest,one of the following documents must be in place: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprises Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 1.4.3 Company and householder: Complying with regulations on archiving harvesting documents, all the following documents must be in place: Verify that documentation held by the company and the householder includes:  List of anticipated timber to be harvested Legal references:  Article 8 Circular No. 21/2016/TT-BNNPTNT Indicator 1.4.4 Company and householder: Round timber with diameter of large end >=25cm and the length >= 1m and timber that are sawn or squared in the forest, with the length of >= Verify that documentation held by the company and the householder includes:  Packing list  Minutes of placing forest hammer marks made by District Forest Protection Department.
  • 11. 11 1m, thickness of >= 5cm and the width of >= 20cm, harvested in natural forests and timber subject to rare,precious and endangered timber harvested in plantation forests must be placed with forest hammer marks in compliance with regulations Legal references:  Article 7, 8 Decision No. 44/2006/QĐ-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT Indicator 1.4.5 Company and householder: Timber harvested not subject for placing forest hammer marks as indicated in Indicator 1.4.4, the following document is required: Verify that documentation held by the company and the householder includes:  Packing list Legal references:  Article 7, 8 Decision 44/2006/QĐ-BNN; Article 9 Circular 01/2012/TT-BNNPTNT; Criterion 1.5: Compliance with regulations on salvaged harvesting ofnatural forest while implementing sivilculture measures scientific researches and training Indicator 1.5.1. Company and householder: Complying with legal regulations on land use right and forest use right, one of the following documents is required: Verify that documentation held by the company and the householder includes:  Decision on land allocation (Prior to 15/10/1993)  Decision on land allocation, forest allocation (Since 15/10/1993 to 1/7/2004)  Land use right certificate (Since 15/10/1993 to date )  Decision on land allocation (Since 15/10/1993 to date )  Decision on land leasing (since 15/10/1993 to date)  Decision on forest allocation together with land allocation, land leasing (Since 2011 to date)  Decision on forest allocation Verify that documentation held by the householder includes (in addition to the documentation mentioned above):  Forestry book  One of the types of papers on land use rights as stipulated in Article 100 Land Law 2013  Confirmation of the Commune People’s Committee that land is currently used and free to dispute subject to the cases regulated in Article 101 Land law 2013  Forest protection contracts with other holders
  • 12. 12 Legal references for the company and the householder:  No specific legislation prior to 1993 on land allocation  Article 5, 13, 14 Decree No. 02. CP; Article 9, 12, 17 Decree No. 163/1999/NĐ-CP  Article 48, 49, 51 Land Law 2003  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT- BTNMT  Section II Circular No. 38/2007/TT-BNN Legal references for the company (in addition to the references mentioned above):  Article 102 Land Law 2013 Legal references for the household (in addition to the references mentioned above):  Article 100, 101 Land Law 2013  Article 5, Decree 01/1995;Article 8, Decree 135/2005 Indicator 1.5.2 Company: Having legal status for harvesting forest,one of the following documents is required: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014
  • 13. 13 Indicator 1.5.3 Company and householder: Complying with legal regulations prior to be permitted for salvage harvesting, one of the following documents is required: Verify that documentation held by the company and the householder includes:  Sivilculture project  Training plan  Scientific research proposal Legal references:  Article 8 Circular No. 21/2016/TT-BNNPTNT Indicator 1.5.4 Company and householder: Complying with regulations on archiving harvesting documents, the following document must be in place: Verify that documentation held by the company and the householder includes:  List of anticipated timber to be harvested Legal references:  Article 8 Circular No. 21/2016/TT-BNNPTNT Indicator 1.5.5 Company: Round timber with diameter of larger end >=25cm and the length >= 1m and timber that are sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks in compliance with regulations Householder: Round timber with diameter of large end >= 25cm and the length >= 1m and timber sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm, must be placed with forest hammer marks Verify that documentation held by the company includes:  Packing list made by forest title holders or harvesting entities, and validated by District Forest Protection Department;  Minutes of placing forest hammer marks made by District Forest Protection Department. Verify that documentation held by the householder includes:  Packing list  Minutes of placing forest hammer marks Legal references:  Article 7, 8 Decision No. 44/2006/QĐ-BNN ;Article 9 Circular No. 01/2012/TT-BNNPTNT; Indicator 1.5.6 Company and householder: Timber not subject for placing forest hammer marks as indicated in Indicator 1.5.5, the following document is required: Verify that documentation held by the company and the householder includes:  Packing list Legal references  Article 7, 8 Decision 44/2006/QĐ-BNN; Article 9 Circular 01/2012/TT-BNNPTNT.
  • 14. 14 Criterion 1.6 Compliance with regulations on salvaged collection ofstump, roots, branches in natural forests Indicator 1.6.1 Company and householder: Complying with legal regulations on land use right and forest use right, one of the following documents is required: Verify that documentation held by the company and the householder includes:  Decision on land allocation (Prior to 15/10/1993)  Land use right certificate (Since 15/10/1993 to date)  Decision on land allocation (Since 15/10/1993 to date)  Decision on land leasing (since 15/10/1993 to date)  Decision on forest allocation together with land allocation and land leasing (Since 2011 to date)  Decision on forest allocation Verify that documentation held by the company includes (in addition to the documentation mentioned above):  Decision on forest allocation (Since 15/10/1993 to 1/7/2004) Verify that documentation held by the householder includes (in addition to the documentation mentioned above):  Decision on land allocation, forest allocation (Since 15/10/1993 to 1/7/2004)  Forestry book  One of the types of papers on land use rights as stipulated in Article 100 Land Law 2013  Confirmation of the Commune People’s Committee that land is currently used and free to dispute subject to the cases regulated in Article 101 Land Law 2013  Forest protection contracts with other holders
  • 15. 15 Legal references  No specific legislation prior to 1993 on land allocation  Article 5, 13, 14 Decree No. 02/NĐ-CP; Article 9, 12, 17 Decree No. 163/1999/NĐ-CP  Article 48, 49, 51 Land Law 2003  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT-BTNMT  Section II Circular No. 38/2007/TT-BNN Legal references for the company (in addition to the references mentioned above):  Article 102 Land Law 2013 Legal references for the householder (in addition to the references mentioned above):  Article 5, 13, 14 Decree No. 02/NĐ-CP  Article 100 Land Law 2013  Article 101 Land Law 2013  Article 5, Decree 01/1995; Article 8, Decree 135/2005 Indicator 1.6.2 Company: Having legal status for harvesting forest,one of the following documents must be in place: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014
  • 16. 16 Indicator 1.6.3 Company and householder: Complying with regulations on archiving harvesting documents, the following document must be in place: Verify that documentation held by the company and householder includes:  List of anticipated timber to be harvested Legal references:  Article 9 Circular No. 21/2016/TT-BNNPTNT Legal references for the householder (in addition to the reference mentioned above):  Article 9 Circular No. 01/2012/TT-BNNPTNT Indicator 1.6.4 Company: Round timber with diameter of larger end >=25cm and the length >= 1m and timber that are sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks in compliance with regulations Householder: Round timber with the large end’s diameter >= 25cm and the length >= 1m and timber sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cmmust be placed with forest hammer marks Verify that documentation held by the company includes:  Packing list made by forest title holders or harvesting entities, and validated by District Forest Protection Department;  Minutes of placing forest hammer marks made by District Forest Protection Department. Verify that documentation held by the householder includes:  Packing list  Minutes of placing forest hammer marks Legal references  Article 7, 8 Decision 44/2006/QĐ-BNN; Article 9 Circular 01/2012/TT-BNNPTNT; Indicator 1.6.5 Company and householder: Timber harvested not subject for placing forest hammer marks as regulated in Indicator 6.4, the following document is required: Verify that documentation held by the company and the householder includes:  Packing list Legal references:  Article 7, 8 Decision No. 44/2006/QĐ-BNN ;Article 9 Circular No. 01/2012/TT-BNNPTNT; 1.7 Criterion: Compliance with regulations on salvaged collection ofstump, roots, branches in plantation forests
  • 17. 17 Indicator 1.7.1 Complying with legal regulations on land use right and forest use right, one of the following documents is required: Verify that documentation held by the company and the householder includes:  Decision on land allocation (prior to 15/10/1993)  Land use right certificate (since 15/10/1993 to date)  Decision on land allocation (since 15/10/1993 to date)  Decision on land leasing (since 15/10/1993 to date) Verify that documentation held by the householder includes (in addition to the documents mentioned above):  Decision on land allocation, forest allocation (Since 15/10/1993 to 1/7/2004).  Decision on forest allocation together with land allocation, land leasing (Since 2011 to date).  Forestry book.  One of the types of papers on land use rights as required in Article 100 Land Law 2013.  Confirmation of the Commune People’s Committee that land is currently used and free to dispute subject to the cases regulated in Article 101 Land Law 2013.  Forest protection contracts with other holders. Legal references:  No specific legislation prior to 1993 on land allocation  Article 48, 49, 51 Land Law  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013 Legal references for the company (in addition to the references mentioned above):  Article 102 Land Law 2013 Legal references for the householder (in addition to the references mentioned above):
  • 18. 18  Article 5, 13, 14 Decree No. 02/NĐ-CP; Article 9, 12, 17 Decree No. 163/1999/NĐ-CP  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT-BTNMT  Article 5, 13, 14 Decree No. 02/NĐ-CP  Article 100 Land Law 2013  Article 101 Land Law 2013  Article 5, Decree 01/1995;Article 8, Decree 135/2005 Indicator 1.7.2 Company: Having legal status for harvesting forest,one of the following documents must be in place: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investor)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 1.7.3 Company and householder: Complying with regulations on archiving harvesting documents, all the following documents must be in place: Verify that documentation held by the company and the householder includes:  Report on harvesting location and volume Legal references:  Article 6 Circular No. 21/2016/TT-BNNPTNT; Indicator 1.7.4 Company and householder: Verify that documentation held by the company and the householder includes:  Packing list  Minutes of placing forest hammer marks
  • 19. 19 Round timber with diameter of large end >=25cm and the length >= 1m and timber that are sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm, subject to rare,precious and endangered timber must be placed with forest hammer marks in compliance with regulations Legal references for the organization and the householder:  Article 7, 8 Decision No. 44/2006/QĐ-BNN; Article 9, Circular 01/2012/TT-BNNPTNT Legal references for the organization (in addition to the references mentioned above):  Article 1, Circular 42/2012/TT-BNNPTNT Indicator 1.7.5 Company and householder: Timber not subject for placing forest hammer marks as indicated in Indicator 7.4, the following document is required: Verify that documentation held by the company and the householder includes:  Packing list Legal references for the organization and the householder:  Article 7, 8 Decision No. 44/2006/QĐ-BNN; Article 9, Circular 01/2012/TT-BNNPTNT. Legal references for the organization (in addition to the reference mentioned above):  Article 1, Circular 42/2012/TT-BNNPTNT Criterion 8: Compliance with regulations on harvesting timber from plantations in home gardens, farms and dispersed trees (Only applies to householder) Indicator 1.8.1: Householder: Compliance with regulation on harvesting documents, all the following documents must be in place: Verify that documentation held by the householder includes:  Report on harvesting location and volume Legal references:  Article 7 Circular No. 21/2016/TT-BNNPTNT; Article 9, Circular No. 01/2012/TT-BNNPTNT
  • 20. 20 Indicator 1.8.2: Householder: Round timber with diameter of larger end >=25cm and the length >= 1m and timber that are sawn or squared in the forest, has the length of 1 m or more, thickness of 5cm or more and width of 20 cm or more, harvested from plantation forest and subject to rare,precious and endangered timber must be placed with forest hammer marks in accordance with regulations and the following documents must be in place: Verify that documentation held by the householder includes:  Packing list  Minutes on placing forest hammer marks Legal references:  Article 7, 8 Decision No. 44/2006/QD-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT Indicator 1.8.3: Householder: Timber harvested are not subject for placing forest hammer marks as regulated in Indicator 8.2, the following document must be in place: Verify that documentation held by the householder includes:  Packing list Legal references:  Article 7, 8 Decision No. 44/2006/QD-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT Criterion 1.9: Compliance with regulations on harvesting rubber wood.
  • 21. 21 Indicator 1.9.1: Company and householder: Complying with legal regulations on land use right and forest use right, one of the following documents is required: Verify that documentation held by the company and householder includes:  Decision on land allocation (Prior to 15/10/1993)  Land use right certificate (Since 15/10/1993 to date)  Decision on land allocation (since 15/10/1993 to date)  Decision on land leasing (since 15/10/1993 to date)  Decision on land allocation (Since 15/10/1993 to 1/7/2004)  Decision on land allocation, land leasing (Since 2011 to date) Verify that documentation held by the householder includes (in addition to the documentation mentioned above):  One of the types of papers on land use rights as stipulated in Article 100 Land Law 2013  Confirmation of the Commune People’s Committee that land is currently used and free to dispute subject to the cases regulated in Article 101 Land Law 2013 Legal references:  No specific legislation prior to 1993 on land allocation  Article 48, 49, 51 Land Law 2003  Article 32, 33, 34 Land Law 2003; Article 53, 54, 55 Land Law 2013  Article 35 Land Law 2003; Article 56 Land Law 2013  Article 5, 13, 14 Decree No. 02. CP; Article 9, 12, 17 Decree No. 163/1999/NĐ-CP  Article 5, 9, 11 Circular 07/2011/TTLT-BNNPTNT-BTNMT Legal references for the company (in addition to the references mentioned above):  Article 102 Land Law 2013 Legal references for the householder (in addition to the references mentioned above):  Article 100 Land Law 2013  Article 101 Land Law 2013
  • 22. 22 Indicator 1.9.2: Company: Having legal status for harvesting forest,one of the following documents is required: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 1.9.3: Company and householder: Complying with regulations on archiving harvesting documents, all the following documents must be in place: Verify that documentation held by the company and the householder includes:  Report on harvesting location and volume  Packing list Legal references:  Article 7 Circular 21/2016/TT-BNNPTNT;  Article 5, Circular 01/2012/TT-BNNPTNT; Article 1, Circular 40/2012/TT-BNNPTNT
  • 23. 23 PRINCIPLE 2: COMPLIANCE WITH REGULATIONS ON HANDLING CONFISCATED TIMBER Criterion 2.1. Compliance with regulation on archiving documents ofhandled confiscated timber Indicator 2.1. 1 Company and householder: Compliance with regulations on handled confiscated timber, the following documents must be in place: Verify that documentation held by the company and householder includes:  Sales contract/Contract on purchase and sale of property put up for auction  Certificates of ownership or use right of auctioned property  Invoice in compliance with regulations of Ministry of Finance  Packing list Legal references:  Article 35, Decree 17/2010/ND-CP  Article 46 Decree 17/2010/NĐ-CP  Article 16 Circular 01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Indicator 2.1.2 Company and householder: Round timber with the large end’s diameter >= 25cm and the length >= 1m and timber sawn or squared in forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks on timber products and the following documents: Verify that documentation held by the company and householder includes:  Minutes of placing forest hammer marks Legal references:  Article 7, 8 Decision No.44/2006/QĐ-BNN, Article 1, Decision 107/2007/QĐ-BNN
  • 24. 24 PRINCIPLE 3: COMPLIANCE WITH REGULATIONS ON IMPORTING TIMBER Criterion 3.1: Compliance with regulations on customs procedures Indicator 3.1. 1 Company and householder: Complying with legal regulations on customs procedures,the following documents are required: Verify that documentation held by the company and householder includes:  Declaration for imported timber products  Sales contract (if export timber and timber products are not imposed export tax)  Trading invoice in case of commercial transaction;  Bill of lading (or other shipping document of equivalent value in accordance with legal regulations);  Packing list of imported timber products  Depending on timber sources of imported timber, one of the following documents is required:  CITES Permit of export country for the case of timber under Appendix I, II, and III of CITES.  FLEGT license  A Self-declaration demonstrating due diligence on the legality of timber  Depending on the risk category (as specified in Table 2 of Annex V), one of the following documents shall be attached to a Self- declaration:  Voluntary certification or national certification schemes recognized by VNTLAS  Legal harvesting document in line with law and regulations of country of harvest (HS 4403, 4406, 4407)  Alternative additional documentation demonstrating legality of timber in accordance with legislation of country of harvest (in case the harvesting document is not required in the country of harvest for primary products, or importers cannot obtain harvesting document for complex products) Legal references:  Article 24 Customs Law 2014; Article 25, Decree 08/2015/NĐ- CP; Article 10 Circular 01/2012/TT-BNNPTNT; Article 16 Circular 38/2015/TT-BTC  Article 16 Circular 38/2015/TT-BTC
  • 25. 25  Article 10, Circular01/2012/BNNPTNT  Decree 82/2006/NĐ-CP; Article 5 Decree 98/2011/NĐ-CP; Circular 04/2015/TT-BNNPTNT  Further legalization to be issued by VN Government Criterion 3.2: Compliance with regulations on plant quarantine and forest hammer mark Indicator 3.2. 1 Company and householder: Compliance with regulations on plant quarantine for timber and timber products, the following document is required: Verify that documentation held by the company and householder includes:  Plant quarantine certificate for round timber, sawn timber, Pallet and sawdust Legal references:  Article 1 Circular No. 30/2014/TT-BNNPTNT; Article 7 Circular 33/2014/TT-BNNPTNT Indicator 3.2. 2 Company and householder: Round timber with the diameter of larger ends >= 25 cm and the length >= 1m must be placed with hammer marks or other special signs of exporting countries. Otherwise, there must be forest hammer marks in accordance with regulations Verify that documentation held by the company and householder includes:  Minutes of placing forest hammer marks  Packing list Legal references:  Article 7, 8, Decision No. 44/2006/QĐ-BNN
  • 26. 26 PRINCIPLE 4: COMPLIANCE WITH REGULATIONS ON TIMBERTRANSPORTATION ANDTRADE Criterion 4.1. Compliance with regulations on enterprises establishment (Criteria 4.1 only applies to companies) Indicator 4.1.1 Company: To obtain legal status, one of the following documents are required: Verify that documentation held by the company includes:  Business Registration Certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Business registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Criterion 4.2 Compliance with regulations on transporting, trading unprocessed timber that are main harvesting, salvaged harvesting and salvaged collection from domestic natural forests Indicator 4.2.1 Company and householder: Compliance with regulations on legal timber product dossier, the following documents must be in place: Verify that documentation held by the company and the householder includes:  Invoice as required by the Ministry of Finance (in the case of purchasing timber from organizations)  Packing list Legal references:  Article 12, Circular 01/2012/TT-BNNPTNT; Article 1, Circular 40/2015/TT-BNNPTNT Indicator 4.2.2 Company and householder: Round timber with the large end diameter >= 25cm, length >= 1m and timber sawn or squared in the forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks and accompanied with the following documents: Verify that documentation held by the company and the householder includes:  Packing list  Minutes of placing forest hammer marks Legal references:  Article 7, 8, Decision No.44/2006/QĐ-BNN
  • 27. 27 Criteria 4.3. Compliance with regulations on transporting, trading unprocessed timber that are harvested from concentrated plantation forests, home gardens,farms, scattered trees Indicator 4.3.1 Company and householder: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Invoice as required by the Ministry of Finance (if purchasing timber from organizations)  Packing list Legal references:  Article 13 Circular No.01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Indicator 4.3.2 Company and householder: For rare,precious, endangered timber harvested in plantation forests, round timber with the large end’s diameter >= 25cm and the length >= 1m and timber sawn or squared in forest with the length of >= 1m, thickness >= 5cm, width of >= 20 cm, forest hammer marks and the following documents are required: Verify that documentation held by the company and the householder includes:  Packing list  Minutes of placing forest hammer marks Legal references:  Article 7, 8, Decision No.44/2006/QĐ-BNN Legal references for the company (in addition to the reference mentioned above):  Article 13 Circular No.01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT
  • 28. 28 Criteria 4.4 Compliance with regulations on transporting, trading imported timber and timber products that are not domestically processed Indicator 4.4.1 Company and householder: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Invoice as required by Ministry of Finance  Packing list Legal references for the company:  Article 14 Circular No.01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Legal references for the householder:  Article 16 Circular 01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Indicator 4.4.2 Company: Imported round timber with diameter of large end of >= 25cm and length >= 1m if there is no hammer mark or special signs of exporting countries, it must be placed with forest hammer marks and the following documents: Householder: Round timber with the diameter of larger end >= 25cm and the length >= 1m, and timber sawn or squared in forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks and accompanied with the following documents: Verify that documentation held by the company and the householder includes:  Packing list  Minutes on placing forest hammer marks Legal references for the company and householder:  Article 7, 8, Decision No. 44/2006/QĐ-BNN
  • 29. 29 Criterion 4.5: Compliance with regulations on transporting and trading unprocessed confiscated timber and timber products that have been handled Indicator 4.5.1 Company and householder: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Invoice as regulated by Ministry of Finance (if timber is purchased from organizations)  Packing list Legal references:  Article 16 Circular No.01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Indicator 4.5.2 Company and householder: Round timber with the diameter of larger end >= 25cm and the length >= 1m, and timber sawn or squared in forest with the length of >= 1m, thickness of >= 5cm and the width of >= 20cm must be placed with forest hammer marks and accompanied with the following documents: Verify that documentation held by the company and the householder includes:  Packing list  Minutes on placing forest hammer marks Legal references:  Article 7, 8, Decision No. 44/2006/QĐ-BNN Criterion 4.6: Compliance with regulations on transporting and trading of processed timber and timber products (including round timber cross-cutting) from natural timber, imported timber and handled confiscated timber Indicator 4.6.1 Company and householder: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Invoice as regulated by Ministry of Finance (if timber is purchased from organizations)  Packing list
  • 30. 30 Legal references:  Article 17 Circular No.01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Legal references for the company (in addition to the references mentioned above):  Article 17, 26 Circular No.01/2012/TT-BNNPTNT; Indicator 4.6.2 Company and householder: Round timber with the large end diameter >= 25 cm and the length >= 1m must be placed with forest hammer marks and accompanied with the following documents: Verify that documentation held by the company and the householder includes:  Packing list  Minutes on placing forest hammer marks made Legal references:  Article 7, 8, Decision No44/2006/QĐ-BNN Criterion 4.7: Compliance with regulations on transporting and trading of processed timber and timber products (including round timber cross-cutting) from concentrated plantation forests,home gardens,scattered trees Indicator 4.7.1 Company and householder: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Invoice as regulated by Ministry of Finance (if timber is purchased from organizations)  Packing list Legal references:  Article 17 Circular No.01/2012/TT-BNNPTNT; Article 1 Circular 40/2015/TT-BNNPTNT Indicator 4.7.1 Company and householder: Verify that documentation held by the company and the householder includes:  Packing list  Minutes on placing forest hammer marks made
  • 31. 31 Round timber with diameter of larger end >= 25 cm and the length >= 1m must be placed with forest hammer marks and accompanied with the following documents: Legal references:  Article 7, 8, Decision No44/2006/QĐ-BNN Criterion 4.8: Compliance with regulations on timber product dossier for export (work in progress) Indicator 4.8.1 Company and householder: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Sale contract (if export timber and timber products are imposed export tax)  Trading invoice  Packing list of forest products for export  One or more additional documents subject to specific stages of the supply chain of different timber sources (e.g. minutes of placing forest hammer marks) providing evidences on timber legality for such shipment Legal references for the company and the householder:  Article 5 Circular 01/2012/TT-BNNPTNT Legal references for the company (in addition to the reference mentioned above):  Article 2 Circular 40/2015/TT-BNNPTNT Legal references for the householder (in addition to the reference mentioned above):  Circular No. 38/2015/TT-BTC
  • 32. 32 Criteria 4.9: Compliance with regulations on internal transportation oftimber and timber products within a province (Criteria only applies to companies) Indicator 4.9.1 Company: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company includes:  Internal delivery bill  Packing list Legal references:  Article 18 Circular No.01/2012/TT-BNNPTNT Indicator 4.9.2 Company: Round timber with the large end diameter >= 25cm and the length >= 1m and timber that are sawn or squared in the forest, length >= 1, thickness >= 5 cm, width >= 20cm, harvested in natural forests and subject to rare,precious and endangered timber harvested in plantation forests,shall be placed with forest hammer marks in compliance with regulations. Verify that documentation held by the company includes:  Packing list  Minutes on placing forest hammer marks Legal references:  Article 7, 8 Decision 44/2006/QD-BNN; Article 7, 9 Circular 01/2012/TT-BNNPTNT; Criteria 4.10. Compliance with regulations on internal transportation oftimber and timber products between provinces (Criteria only applies to companies) Indicator 4.10.1 Company: Complying with regulations on legal timber product dossier, the following documents are required: Verify that documentation held by the company includes:  Internal delivery bill  Packing list Legal references:  Article 18 Circular No.01/2012/TT-BNNPTNT Indicator 4.10.2 Company: Round timber with the large end diameter >= 25cm and the length >= 1m and timber that are sawn or squared in the forest, length >= 1m, thickness >= 5cm, width >= 20cm, harvested in natural forests and subject to rare,precious and endangered timber harvested in plantation Verify that documentation held by the company includes:  Packing list  Minutes on placing forest hammer marks
  • 33. 33 forests,shall be placed with forest hammer marks in compliance with regulations. Legal references:  Article 7, Article 9 Circular No. 01/2012/TT-BNNPTNT;  Article 7, 8 Decision No44/2006/QĐ-BNN; Article 9, Circular No. 01/2012/TT-BNNPTNT
  • 34. 34 PRINCIPLE 5: COMPLIANCE WITH THE REGULATIONS ON TIMBER PROCESSING Criterion 5.1. Compliance with regulations on enterprisesestablishment (Criteria only applies to companies) Indicator 5.1.1 Company: Having legal status, one of the following documents is required: Verify that documentation held by the company includes:  Business registration certificate  Investment registration certificate (for foreign investors or enterprises in which 51% of charter capital is held by foreign investors)  Investment registration certificate (for enterprise operating in industry parks, export processing zones) Legal references:  Article 28, 29 Enterprise Law 2014  Article 36 Investment Law 2014  Article 39, Decree 108/2006/ND-CP; Article 13 Investment Law 2005, Article 74 Investment Law 2014 Indicator 5.1.2 Company: Processing of timber complies with regulations on environmental protection, one of the following documents must be in place: Verify that documentation held by the company includes:  Decision on approving environmental impact assessment report for processing facilities of timber and woodchips from natural forests with capacity of from 3,000 m3 product/year or more;  Decision on approving environmental impact assessment report for plywood processing facilities with capacity of from 100,000 m2 product/year or more;  Decision on approving the environmental impact assessment report for furniture producing facilities with total area of warehouses,factories from 10,000 m2 or more;  Environmental protection plan by processing facilities of timber, plywood, particle board which are not subject to environmental impact assessment.
  • 35. 35 Legal references:  Article 12 Decree No. 18/2015/NĐ-CP  Article 18 Decree No. 18/2015/NĐ-CP Indicator 5.1.3 Company: Compliance with regulations on fire prevention and firefight Verify that documentation held by the company includes:  Approved design on fire prevention and firefight Legal references:  Article 15 and Annex 4, Decree 79/2014/ND-CP Indicator 5.1.4 Company: Compliance with regulation on making monitoring entry and exit books Verify that documentation held by the company includes:  Monitoring entry and exit books Legal references:  Article 20 Circular 01/2012/TT-BNNPTNT Criteria 5.2: Complying with regulations on timber processing facilities (Criteria only applies to householders) Indicator 5.2.1 Householder: Compliance with regulations on fire prevention and firefight Verify that documentation held by the householder includes:  Approved design on fire prevention and firefight Legal references:  Article 15 and Annex 4, Decree 79/2014/ND-CP Indicator 5.2.2 Householder: Complying with regulation on safety-hygiene. Verify that documentation held by the householder includes:  Rules on safety-hygiene are in place. Legal references:  Labour Code 2012: Chapter IX, Clause 1 Article 137, Article 138 Labour Code 10/2012/QH 13
  • 36. 36 Criterion 5.3: Compliance with regulations on legal origin oftimber which are going to be processed Indicator 5.3.1 Company and householder: Compliance with regulations on legal dossiers for timber harvested from forests of households or organizations, the following documents must be in place: Verify that documentation held by the company and householder includes:  Packing list Legal references:  Article 20 Circular 01/2012/TT-BNNPTNT Indicator 5.3.2 Company and householder: Complying with regulations on legal dossiers for timber purchased from organizations, the following documents are required: Verify that documentation held by the company and householder includes:  Invoice as required by the Ministry of Finance  Packing list Legal references:  Article 20 Circular No. 01/2012/TT-BNNPTNT; Article 1 Circular No. 40/2015/TT-BNNPTNT Indicator 5.3.3 Company and householder: Complying with regulation on legal timber dossier for timber purchased from households the following document is required: Verify that documentation held by the company and householder includes:  Packing list Legal references:  Article 20 Circular No. 01/2012/TT-BNNPTNT Indicator 5.3.4 Company and householder: Round timber with the large end diameter >= 25cm and the length >= 1m harvested in natural forests and timber subject to rare,precious and endanger species harvested from plantation forests,imported timber without hammer marks or special signs of exporting countries, handled confiscated timber must be marked with forest hammer marks in compliance with regulations. Verify that documentation held by the company and householder includes:  Packing list  Minutes on placing forest hammer marks Legal references:  Article 7, 8, Decision No. 44/2006/QĐ-BNN; Article 9 Circular No. 01/2012/TT-BNNPTNT
  • 37. 37 Indicator 5.3.5 Company: Timber sawn or squared in forests and confiscated timber sawn were handled but not further processed,having the length of >= 1m, thickness >= 5cm, width of >= 20 cm harvested in natural forests and timber subject to rare,precious and endanger species harvested from plantation forests must be marked with forest hammer marks in compliance with regulations. Verify that documentation held by the company includes:  Packing list  Minutes on placing forest hammer marks Legal references:  Article 7, 8, Decision 44/2006/QĐ-BNN; Article 9, Circular 01/2012/TT-BNNPTNT; Article, Decision 107/2007/QĐ-BNN
  • 38. 38 PRINCIPLE 6: COMPLIANCE WITH REGULATIONS ON CUSTOMS PROCEDURES FOR EXPORT Criterion 6.1: Complying with regulations on customs procedures Indicator 6.1.1 Company and householder: Complying with legal regulations on legal export dossier, the following documents are required: Verify that documentation held by the company and the householder includes:  Customs clearance declaration for export timber products (original)  Sales contract (if export timber and timber products are imposed export tax)  Trading invoice (if export timber and timber products are imposed export tax)  Packing list  Permit of CITES MA of Viet Nam for products made from timber which must be licensed under CITES  FLEGT license for EU market Legal references:  Article 24, Law on Customs 2014, Article 25 Decree 08/2015/ND-CP, Article 16 Circular 38/2015/TT-BTC  Article 16 Circular 38/2015/TT-BTC  Circular no. 38/2015/TT-BTC  Article 5 Circular 01/2012/TT-BNNPTNT  Article 8, Circular 04/2015/TT-BNNPTNT, Article 16 Circular 38/2015/TT-BTC  Further legalization to be issued by VN Government Criterion 6.2: Compliance with regulations on plant quarantine Indicator 6.2.1 Company and householder: Complying with regulations on plant quarantine for timber and timber products, the following document is required: Verify that documentation held by the company and the householder includes:  Quarantine certificate issued by Viet Nam’s Quarantine Authority for round timber, sawn timber, Pallet, sawdust Legal references for the company and the householder:  Article 1 Circular No. 30/2014/TT-BNNPTNT; Article 8 Circular 33/2014/TT-BNNPTNT
  • 39. 39 Legal references for the company (in addition to the references mentioned above):  Article 8, 12 Decree 02/2007/ND-CP,Article 10 Circular 33/2014/TT-BNNPTNT PRINCIPLE 7: COMPLIANCE WITH REGULATIONS ON TAXAND EMPLOYEES Criterion 7.1: Compliance with regulations on tax Indicator 7.1.1 Company and householder: Compliance with regulations on tax declaration, registration and payment Verify that documentation held by the company and the householder includes:  Organizations or persons, or business are not included in the public list of tax risk Legal references:  Article 70, Circular 156/2013/TT-BTC; Document 815/TCT-KK Criterion 7.2: Compliance with Labour Code Indicator 7.2.1 Company: Labour Contract between enterprises and employees Contract requirement:  Their names are included in the payroll of the organisations Legal references:  Article 15, 16, 17 Labour Code 2012 Indicator 7.2.2 Company: Employees are engaged into the enterprise's Trade Union Requirement:  Their names are included in the list of payment for Trade Union fee Legal references:  Article 5, Trade Union Law 2012
  • 40. 40 Indicator 7.2.3 Company: Implementing regulations on labour safety and labour hygiene Verify that documentation held by the company includes:  Labour hygiene plan made by the enterprise Legal references:  Article 148, Labour Code 2012 Criterion 7.3: Compliance with Social Insurance Lawand Health Insurance Law Indicator 7.3.1 Company: Having social insurance books for employees whose labour contract duration is from 1 month or more Requirement:  Public information on social insurance contribution Legal references:  Article 2, 21, Social Insurance Law 2014 Indicator 7.3.2 Company: Having health insurance for employees whose labour contract duration are 3 months or more Requirement:  Payroll of the organization to demonstrate the health insurance contribution Legal references:  Article 12, Health Insurance Law 2008; Article 1 Law on amending and supplementing a number of articles of the Health Insurance Law 2014 Indicator 7.3.3 Company: Have unemployment insurance for employees whose contracts are for a full of 03 months or more Requirement:  Payroll of the organization to demonstrate the payment of monthly unemployment insurance Legal references:  Article 52, Law on Employment 2013