Risk assessment and mitigation

PURPOSE

Update on risk assessment associated with illegal harvesting of wood, in contradiction of national and international legislation, as well as to identify the best measures to mitigate them, considering the evolution of the legislative framework and the current realities in the Romanian forestry sector.
This update will support operators and stakeholders in order to better implement the (EU) Timber Regulation No 995/2010 (EUTR).r și factorilor interesați, în vederea unei mai bune implementări a Regulamentului (UE) privind Lemnul nr. 995/2010 (EUTR).

PROCESS DEVELOPMENT

The analysis uses the framework proposed by FSC® (Forest Stewardship Council) for the National Risk Assessment (FSC-PRO-60-002 V3-0). According to this best practice model and based on the Centralised National Risk Assessment (FSC-CNRA-RO V1-0 RO), published in September 2017, an updated analysis of specific indicators regarding the risks of illegal wood harvesting was carried out.
The analysis was conducted within a participatory process consisting of 3 working groups attended by representatives of forest administrators, competent authority, operators and academia, followed by submission of the resulting document to public consultations between 16/07/2020-31/07/2020.

DEFINITIONS

The risk assessment associated with illegal harvesting of wood is an obligation imposed on operators1 by (EU) Timber Regulation No. 995/2010 (EUTR) in the process of purchasing wood materials. The assessment of the origin of timber and the fulfilment of legal obligations in the wood harvesting process must be carried out at the level of the wood purchase unit for each product placed on the market. The process of assessing the risks associated with illegal harvesting of wood will be based on the following concepts:

Assessment of legality (general approach) systematic and/or large-scale infringements of applicable law.

Illegally harvested timber means harvested in contravention of the applicable legislation in the country of harvest;

Applicable legislation means the legislation in force in the country of harvest covering the following matters (EUTR, Article 2 (h)):
rights to harvest timber within legally gazetted boundaries;
payments for harvest rights and timber including duties related to timber harvesting,
timber harvesting, including environmental and forest legislation including forest management and biodiversity conservation, where directly related to timber harvesting,
third parties’ legal rights concerning use and tenure that are affected by timber harvesting;
trade and customs, in so far as the forest sector is concerned.

Sources of information relevant for establishing the level of compliance (level of governance):
Official governmental reports
Non-governmental reports (relevant, verifiable by third parties)
Independent scientific studies and articles
Evidence resulting from the involvement of stakeholders

National Geographical Scale (RO)

Functional scale Spatial delimitation based on non-geographical characteristics (e.g. functional category, property type, type of administration, scale, intensity and risk of forest operations)
helps to correctly identify risks and mitigation measures, thus avoiding unnecessary administrative burdens (e.g. for national forest fund areas only, which are privately owned – by individuals)

Risk designation

Threshold (1) Low risk The legislation identified is respected. Violations of laws/regulations are effectively monitored through prevention measures taken by competent authorities and/or entities.

Threshold (2) Specified risk The identified legislation is not consistently respected by all entities and/or is often ignored, and/or not implemented by competent authorities.

Risk management involves procedures to identify and mitigate specific risks. The assessment is made in relation to the risk that timber will be harvested, transported or marketed illegally or mixed with material of illegal origin.

SMART mitigation measure Specific, Measurable, Achievable, Realistic, Time-Bound.

RISK DESCRIPTION & MITIGATION MEASURES

1. Land tenure and management rights

2. Management and harvesting planning

3. Harvesting permits

4. Payment of harvesting fees and forest-specific fees

5. Timber harvesting regulations

6. Protected sites and species

7. Environmental requirements

8. Health and safety

9. Legal employment

10. Determination of species, quantities and qualities

11. Trade and transport

12. Legislation establishing due diligence / due care procedures (DDS)

Indicator	Applicable legislation	Description of risk	Risk mitigation measures
Rights to harvest
1. Land tenure and management rights	Legislation on ownership rights, including customary and administration rights, including the use of legal methods of obtaining rights, registration of the business for legal/fiscal purposes, including licenses/authorisations required by law.	The intention of this indicator is to confirm that the land ownership and management rights were granted according to legal requirements.	SMART: Specific Measurable Achievable Relevant Time-bond.
	Civil Code of 2009 (Law no. 287/2009) - republished, Article 956 Forest Code of 2008 (Law no. 46/2008) – republished, Article 20, par. 3 Methodology of 2018 on the approval of exceeding the annual possibility/possibility for harvesting accidental products I, Articles 3~1, par. 1 (approved by Order 766/2018)	As over 1 mil. ha are not included in forest management planning and in the absence of a national cadastre, in many cases the limits of the properties are not clear neither on maps nor physically in the field. The lack of a physical demarcation of properties in the field may lead to the violation of limits, and thus to harvesting of wood from nearby properties, without right. The property restitution process has been going on for almost 3 decades, many of the owners included in the ownership titles are deceased and in many cases their descendants have not yet initiated legal formalities for succession. A risk of succession forms is identified in the case of natural persons who have not initiated the succession procedure with a view to obtaining the heir certificate. More specifically, successors have the right to inherit, but they are not the legal owners until they have obtained the heir certificate or other legal document attesting ownership. In practice, at the request of concluding an administration/forestry service contract, some forestry administrations are satisfied with an affidavit from one of the successors (in cases with several successors) as proof of the right of usufruct. Thus, a certain successor may benefit from the advantages of the inheritance at the expense of the other potential legal successors of the same inheritance. Although there have been clear specifications in the legislation on the status of beneficiary, quality that must be demonstrated in accordance with the provisions of Law 287/2009 - Civil Code, the level of enforcement has not assessed yet. For areas included in the national forest fund (NFF) for which there is no forest management planning (including forest management maps), as well as in the situation of over 500,000 hectares of land covered with forest vegetation outside the national forest fund, listed in the National Forest Inventory (NFI) for which no silvo-pastoral studies are developed, there is also a specified risk of infringement of the ownership right justified by to the lack of clear delimitation of properties. In these situations (unmanaged forests and for which there are no clear forms and limits of ownership), there is a high risk of trespassing, both from the perspective of legal successors and wood harvesting. Threshold (2) Specified risk Functional scale: Wood from areas for which there is no forest management plan or silvopastoral studies.	Mitigation measures (M): Verification as appropriate of the limits of the property and of harvesting sites; Verifiers (V), as applicable: Site maps accompanied by an affidavit, in accordance with the provisions of Article 326 of the Criminal Code on perjury. Plan of the harvesting site Harvesting site handover protocol M: Access to additional documents attesting the legal ownership in situations specified by the functional scale (lack of forest management plan and missing cadastre); V: Ownership document; Sale and purchase contract; Extract from the Land Registry; Heir certificate; Final court judgment relating to splittings; Power of attorney (in the case of multiple beneficiaries).
2. Management and harvesting planning	Legislation related to management planning, including forest inventory, existence of a forest management unit, related planning and monitoring, impact assessment, consultation with other entities, as well as their approval by competent authorities.	Consideration will be given to situations in which management planning documents required by law do not exist or are not approved by the competent authorities. Another risk factor for this indicator may be the poor quality of the management plan that results in illegal activities	SMART: Specific Measurable Achievable Relevant Time-bond.
	Forest Code, Article 21, paras. 2~1 Emergency Ordinance 195/2005 on environmental protection Decision 1076/2004 establishing the procedure to carry out the environmental assessment of plans and programmes, Article 3	Under environmental legislation, forest management plans are subject to environmental assessment. One of the principles governing environmental protection is the precautionary principle in decision-making, which is mentioned by: “the carrying out of the environmental assessment prior to the approval of plans and programmes likely to have a significant effect on the environment” (GEO 195, Article 4(d), “1. Requesting and obtaining the environmental approval for plans and programmes shall be mandatory for the adoption of plans and programmes which may have significant effects on the environment, (2) The environmental assessment shall aim at integrating environmental protection objectives and requirements into the preparation and adoption of plans and programmes, (4) Approval of plans and programmes at any hierarchical level shall be conditional on the existence of the environmental approval for that plan or programme.” – (GEO 195, Article 9). In practice, the environmental regulatory act is obtained after the notice meeting, respectively the opinion of the Technical Commission for Approvasl in Forestry (CTAS), and sometimes, even after the approval of the forest management plan by ministerial order. During this time (CTAS approval – Ministerial Order), “the provisions of meeting for preliminary approval of solutions shall apply” - (Law 46/2008, Article 21, paras. 2 ~ 1), which are not subject to any assessment in terms of environmental protection. These issues were also raised by the European Commission in the letter of formal notice – Case No 20202033 https://ec.europa.eu/commission/presscorner/detail/EN/INF_20_202 Thus, there is a risk that many of the valid forest management plans hold no environmental approval nor have started the procedures necessary for obtaining environmental approvals. For these situations, the risk is considered to be specified. Threshold (2) Specified risk Functional scale: Wood originating from areas with forest management plans for which an environmental assessment has not been carried out according to the legal provisions	M: Assessment of the existence of environmental approvals for forest management plan or the start of assessment procedures; Harvesting will start once the environmental assessment is obtained If the owner/manager has internal environmental impact assessment and stakeholder consultation procedures, the risk is considered to be low V: Environmental report Environmental approval
3. Harvesting permits	Procedures for regulating national or sub-national laws and norms concerning the issuance of harvesting permits, licences or any other documents required by law for specific harvesting operations. This also includes the use of legal methods for obtaining harvesting permits. Corruption is a well-known problem in the process of issuing harvesting permits	The risk relates to situations where the harvesting is carried out without valid authorisations or with authorisations obtained by illegal means such as bribery. In some areas, bribes may be a common means of obtaining harvesting permits for areas and species for which harvesting is prohibited by law (e.g. protected areas, areas where minimum age or minimum diameter requirements are not met, tree species the harvesting of which is prohibited, etc.). Where harvesting permits classify species and qualities for estimating fees, corruption and bribery may be used to classify products so as to lead to a lower fee. The level of corruption at the level of the country or sub-national region is considered to play an important role, so corruption indicators must be taken into account in the risk assessment. In cases of illegal cuts, harvesting permits for other harvesting sites, not for the one where the harvesting is carried out, may be presented as false evidence of the lawfulness of the material harvested.	SMART: Specific Measurable Achievable Relevant Time-bond.
	Forest Code, Article 20, para. 10 GD 470/2014 approving the Rules relating to the origin, circulation and marketing of wood materials (…) Order 837/2014 approving the Methodology for the organization and functioning of SUMAL, the obligations of SUMAL users, as well as the structure and the method of transmitting the standardized information (Article 35, para. 3) Order 767/2018, Annex 1, Article 1, para. 2	The harvesting permit is issued on the basis of the Volume Estimation Document (APV), which is an estimation of the volume of standing wood volume, with a standard error of only the dendrometric model of more than 12 %, plus the measurement errors. There are also differences that may exceed 20 % in terms of the volume of wood calculated by different dendrometric methods, depending on the particularities of APVs. As it is an obviously estimative document (according to the Forest Code, Article 60, para. 2), there may be situations where the volume of marked trees, as a result of harvesting, differs from the total volume referred to in the APV. The current procedures on the harvesting of standing timber through which the payment of wood is made on the basis of estimates generate conflicts of systemic interest and no longer respond to socio-economic realities. In practice, there are situations where, during the inventory of standing trees, the volume is abusively underestimated and not only due to legal measurement errors, thus violating the APV-drafting rules. Moreover, the legal procedures for checking APVs by sampling are not followed, and in many cases the verification is carried out only on paper, not in the field. Moreover, although the procedure for selling the wood mass harvested from public forests allows verification of APVs before auctioning, this requires too much effort in the absence of certainty about the batches to be purchased by auction. In some cases, in order to avoid a number of administrative burdens in relation to the forestry management, the operator no longer carries out the verification of APVs. It is thus considered that the harvesting authorisation of standing timber entails a specified risk related to the estimated volume referred to in the APV. Threshold (2) Specified risk	M: Joint verification of APV by the operator/administration, The existence of the verification and approval of the APV by the Forest Guard, as appropriate; Analysis of harvesting results in relation to transformation yields and technological losses; Checking volumes at the time of placing on the market (see measures from indicators 10, 11); V: APV verification report Report for the approval of APVs by the Forest Guard
Taxes and fees
4. Payment of harvesting fees and forest-specific fees	Legislation on the payment of all fees imposed by law on forest harvesting such as charges, standing timber fees and other volume-based charges. This includes the payment of fees determined on the basis of the correct classification of quantities, qualities and species. The incorrect classification of forest products is a well-known problem, often combined with bribery of officials responsible for checking classification.	According to the scope of the indicator.	SMART: Specific Measurable Achievable Relevant Time-bond.
	Tax Code of 2015 (Law 227/2015), Article 486, para. 2	With regard to the toll fee and local charges for the use of local public infrastructure (communal or forestry roads): The risk of avoiding payment of these fees arises due to the administrative and ownership fragmentation of the national forest fund, i.e. the distribution and form of administration of forest roads. In many cases, the owner of the forest area from which the timber is harvested and the owner of the road used for the transport of harvested timber is not the same entity and therefore the related charges cannot be collected. Moreover, in terms of the road charges imposed by local authorities, there may be discriminatory situations in which they are applied in practice only for certain operators. A legislative clarification of how these local road charges can be imposed is necessary, but the non-payment of this tax until then is a breach of applicable timber harvesting legislation. The current state of forest roads/lack of forest infrastructure is also due to the avoidance of payment of these taxes. Threshold (2) Specified risk Functional scale: Toll fee	M: Identification of the owner of the access route and obtaining their consent for use; Consultation of local public administrations and identifying the necessary requirements for the toll and information of economic operators. V: Written notice to the owner for obtaining the consent for use; Contract including this aspect; Local tax records according to local council decision
Logging activities
5. Timber harvesting regulations	All requirements regarding the harvesting techniques and technology, including selective cuts, regeneration cuts, clear cuts, transport of timber from the harvesting site, seasonal limitations, etc. In general, this includes regulations on the size of the harvesting areas, the minimum age and/or diameter for the harvesting activities, and the elements to be kept during cutting, etc. The establishment of removing/skidding or drawing paths, road construction, drainage systems and bridges, etc., will also be considered, as well as planning and monitoring of harvesting activities. All codes required by law for harvesting practices must be taken into account.	According to the scope of the indicator	SMART: Specific Measurable Achievable Relevant Time-bond.
	Order 1540/2011 approving the Instructions on the terms, modalities and periods of harvesting, removal and transport of wood material Law 171/2010 on the establishment and sanctioning of violations of forestry laws Regulation of 2018 on the organisation, operation and composition of the Commission certifying economic operators for the logging activity, as well as the logging certification criteria, as amended by the Ministerial Order No. 485/2020 (Article 21, letters g), h), i))	With regard to the application of forest harvesting rules laid down by the Ministerial Order No. 1540/2011, most non-conformities were identified (e.g. audit reports on forest management certification (Buliga and Nichiforel, 2019; Halalisan, 2014)). This proves that there are frequent violations of the legislation on the establishment of timber extraction /removal paths, the control of erosion of timber extraction /removal paths, the use of water streams as paths for extraction /removal, thus damaging the trees along such paths, or failure to comply with oil and fuel leakage requirements. Logging non-conformities are sanctioned by Law 171/2010, establishing and sanctioning violations of forestry laws. In order to follow the method of solving forestry contraventions by the investigating agents, the central public authority responsible for forestry should ensure the implementation and functionality of the National System of Computerized Records of Forestry Contraventions, called SNEICS, within the SUMAL system, according to Law 171, Art. 43, para. 1. This system is currently not operational. Although the process of monitoring compliance with timber regulations is systematically under supervision, non-conformities are frequent, especially due to poor forest infrastructure and low capacity of operators. By the amendments brought by the Ministerial Order No. 485/2020 to the Regulation of 2018 on the organisation, operation and composition of the Commission certifying economic operators for the logging activity, as well as the logging certification criteria, violations of the forestry laws may be sanctioned by withdrawing the certification, including by prohibiting the renewal of certification for 3 years, with a possible deterrent effect, but the level of compliance cannot yet be assessed (in force since March, 2020). Threshold (2) Specified risk	M: Additional verifications of harvesting sites to ensure compliance with: (i) the provisions of the harvesting permit and the measures ordered by the control acts issued by the authorities; (ii) the time limits, arrangements and periods for the collection, removal and transport of timber; Additional training appropriate to staff responsibilities established by specific working procedures (for risk mitigation). Agreeing with the owner/manager of the best technical solution for harvesting (e.g. timber extraction /removal paths, locations and the way of crossing the water streams, etc.) In the event of unavoidable harvesting damages, practical solutions for timber harvesting will be found, which take into account the mitigation of the risk of violations of forest harvesting rules. Provision of environmental-friendly harvesting technologies / use of animal-drawn means; Establishment of an internal programme to verify compliance with forest harvesting rules, while prioritisation of controls follows a risk-based approach. Sources for prioritising verifications (the list is not exhaustive): Map of risk areas for illegal logging: http://www.wwf.ro/_core/general.cfc?method=getOriginalImage&uImgID=%26%2AB8%2A%20%2EW4%0A News on this subject in the media; Harvesting agent’s complaint register; Harvesting agent’s technical register; Reports of controls issued by the relevant forest authority (e.g. Forest Guard, forest administrator) V: Harvesting control report; Personnel training report; Harvesting site plan
6. Protected sites and species	Protected sites and speciesInternational, national and sub-national treaties, laws and regulations concerning protected areas, uses and activities permitted in forest areas, and/or rare, threatened or endangered species, including their habitats or possible habitats.	The risk relates to illegal harvesting in protected areas as well as the illegal slaughter of protected species. It should be noted that protected areas may include cultural sites, including sites with historical monuments.	SMART: Specific Measurable Achievable Relevant Time-bond.
	Law 95/2016 establishing the National Agency for Protected Natural Areas and amending Government Emergency Ordinance no. 57/2007 on the regime of protected natural areas, conservation of natural habitats, wildlife and flora Emergency Ordinance 57/2007 on the regime of natural protected areas, conservation of natural habitats, wildlife and flora Order 1447/2017 approving the Methodology of assigning for administration and custody of protected natural areas Order 2525/2016 on the establishment of the National Catalogue of Virgin and Quasi-virgin Forests in Romania Decision 230/2003 on the delimitation of biosphere reservations, national parks and natural parks and the establishment of their administrations Order 19/2010 for the approval of the Methodological Guide on the appropriate assessment of the potential effects of plans or projects on protected natural areas of community interest. Law 137/2010 ratifying the Protocol on the conservation and sustainable use of biological diversity and landscape diversity, adopted and signed in Bucharest on 19 June 2008, to the Framework Convention on the Protection and Sustainable Development of the Carpathians, done in Kiev on 22 May 2003 Order 1964/2007 establishing a protected natural area regime for sites of Community importance, as an integral part of the European ecological network Natura 2000 in Romania Order 19/2010 for the approval of the Methodological Guide on the appropriate assessment of the potential effects of plans or projects on protected natural areas of community interest.	A report on the status of natural protected areas and approved management plans is available at http://ananp.gov.ro/wp-content/uploads/inventar_arii_PM_site.pdf According to the information available on the National Agency for Protected Natural Areas (ANANP) website, only 313 natural protected areas have approved management plans, which means that many protected areas do not have an approved management plan ( http://ananp.gov.ro/pm-aprobate-tabel-sinoptic/) For approved management plans, in many cases there is a deficiency in detailing the requirements for identifying specific measures at the level of the landscaping unit, which makes it difficult to transpose into practice the legislative requirements for adapting the forest management plan to the management plan. Consultations with stakeholders during the development of management plans for protected areas are insufficient, which may affect the quality of management plans; Insufficient integration of the provisions of protected areas management plans into forest management plan which can lead to the use of wrong harvesting techniques. Deficiencies in the transfer of information between the administration of protected areas and forestry administrations result in the lack of concrete information on the measures needed to be taken in natural protected areas. These issues were brought to the attention of the authorities in the Letter of Formal Notice No 2020/2033 issued by the European Commission. In many cases, due to the lack of capacity in terms of management of protected areas at national level, the administrators of protected areas do not transmit the environmental conditions prior to the preparation of each APV. Nor is there a coherent system for monitoring compliance with these environmental conditions (if they are issued) by the Environmental Guards (checking compliance with these requirements is not the task of Forest Guards, which also do not have the necessary capacity). Threshold (2) Specified risk Functional scale: Wood from areas included in protected areas which do not have an approved management plan or where the forest management plan is not harmonised with the protected area plan and for which no environmental conditions were issued for the drafting of APV.	M: Verification of the opinion issued by the Competent Authority (ANANP) in relation to the authorisation of drafting the APV, in accordance with the requirements imposed in natural protected areas; Integration of conditions imposed by the administrator of the protected area in the harvesting permit In forests included in the “Pin-Matra/2001/018” study or for which substantiation studies are submitted in accordance with legal procedures, operations will only be conducted on the basis of the favourable opinion of the regional structure of the central authority responsible for forestry, certifying that those forests do not meet the criteria and indicators approved by MO 3397/2012; Trainings will be carried out in order to comply with environmental conditions and other measures stipulated in the harvesting permit, according to the law; Additional checks will be conducted to monitor compliance with environmental conditions and other measures stipulated in the harvesting permit, according to the law. V: ANANP notification to obtain environmental conditions; Harvesting permit including specific conditions for carrying out logging activities Opinion of the Forest Guard in the case of forests included in the “Pin-Matra/2001/018” study or for which there are substantiated studies submitted; Training report; Harvesting control report; Register of primary delivery documents (to verify compliance with possible periods of restrictions)
7. Environmental requirements	National and sub-national laws and regulations on the identification and/or protection of environmental values including, but not limited to, those relating to or affected by harvesting, acceptable levels of soil damage, the establishment of buffer zones (e.g. along watercourses, open areas and reproduction areas), the preservation of selected trees for maintenance in the harvesting site, seasonal limitations of cutting periods, environmental requirements on machinery, use of pesticides and other chemicals, conservation of biodiversity, air quality, protection and restoration of water quality, operation of recreational equipment, arrangement of non-forest infrastructure, geological research and mineral exploitation, etc.	The risk relates to systematic and/or widespread violations of environmental protection legislation, which proves to threaten forest resources or other environmental values.	SMART: Specific Measurable Achievable Relevant Time-bond.
	Emergency Ordinance 195/2005 on environmental protection Decision 1076/2004 establishing the procedure to carry out the environmental assessment of plans and programmes Order 1078/2017 amending the Procedure for issuing the environmental permit	The indicator refers to compliance with environmental requirements in general, not limited to the requirements imposed by MO 1540/2011 (indicator 5) or by the management plans for protected areas (indicator 6). Public reports (e.g. analysis of non-conformities identified in forest management certification audits (Buliga and Nichiforel, 2019)) reveal that there are frequent violations of environmental legislation in the forest harvesting process falling under the competence of the Environmental Protection Agency/Environmental Guards. These include fuel and oil management, watercourse protection or waste management. Due to the high frequency of non-compliance with environmental requirements, checks will be carried out systematically through harvesting controls. Threshold (2) Specified risk	M: Verification of the existence of an operating permit including environmental conditions in accordance with the law; Trainings will be carried out in order to comply with environmental conditions and other measures stipulated in the harvesting permit, according to the law; Additional checks will be conducted to monitor compliance with environmental conditions and other measures stipulated in the harvesting permit, according to the law. V: Harvesting permits, including environmental conditions; Report for checking compliance with environmental conditions; Training report
8. Health and safety	Personal protective equipment required by law for persons involved in harvesting activities, implementation of safe cutting and transport practices, establishment of protection zones around the harvesting sites, OSH requirements for the machinery used and safety requirements imposed by law on the use of chemicals. Occupational health and safety requirements relevant to forest operations (not office activities or other activities not related to actual forest operations).	The risk relates to situations/areas where safety and health regulations are consistently breached to such an extent that the health and safety of forest workers are exposed to significant risks in forest operations.	SMART: Specific Measurable Achievable Relevant Time-bond.
	Labour Code of 2003 (Law No 53 of 24 January 2003) Law 319/2006 on occupational safety and health Government Decision No. 1051/2006 on the minimum safety and health requirements for the manual handling of masses posing risks for workers, especially dorsal-lumbar spine diseases Decision No. 1146/2006 on the minimum safety and health requirements for the use of work equipment by workers Decision No. 971/2006 on minimum requirements for occupational health and/or safety signalling Decision No. 1048/2006 on the minimum safety and health requirements for the use by workers of personal protective equipment at work Decision no. 300/2006 on minimum safety and health requirements for temporary or mobile construction sites	Occupational safety and health (OHS) in logging activities is monitored by the Labour Inspectorate. The OSH legal framework establishes the requirements for the works carried out by employees, the rights and obligations of employers and employees in achieving and ensuring an adequate work environment, organisation of occupational safety and health in enterprises and at state level, procedure for emergencies, and liability for breach of requirements for safety and health at work. Despite the presence of this robust regulatory framework, which in theory should protect workers, most OSH procedures are essentially theoretical and not properly implemented. This is confirmed by various public reports (e.g. non-conformities identified in the forest management audit process (Buliga and Nichiforel, 2019; Halalișan, 2014)). In some cases employers do not make mandatory equipment available to workers, and when available, it is not used consistently. Frequently, the recommended duration of use by manufacturers of machinery used in the forestry sector is exceeded. Some of these problems also relate to the authorisation of economic operators for which there is only a scriptural verification of technical facilities. Threshold (2) Specified risk	M: Existence of risk assessments related to occupational safety and health, specific to each position; The existence of protective equipment at work, in accordance with risk mitigation measures in the area of OSH; Carrying out specific trainings; Checks in the field to comply with OSH measures (interviews with employees); V: Risk assessments; Invoice of protective equipment; Training /Briefing minutes; Equipment handover protocol; Harvesting control report
9. Legal employment	The risk relates to situations/areas where safety and health regulations are consistently breached to such an extent that the health and safety of forest workers are exposed to significant risks in forest operations.Legal requirements regarding the employment of personnel involved in harvesting activities, including requirements for contracts and work permits, compulsory insurance, certificates of competence and other requirements for training, payment of income taxes and social security contributions retained by the employer. Also, observance of the minimum age for employment and of the minimum age for persons involved in dangerous operations, legislation on forced and compulsory labour, discrimination and freedom of association.	The risk relates to situations/areas where there is a systematic and/or widespread breach of labour and employment legislation. The objective is to identify situations where there are serious violations of the law on employee rights, such as forced labour, undeclared employment or child labour	SMART: Specific Measurable Achievable Relevant Time-bond.
	Labour Code of 2003 (Law No 53 of 24 January 2003)	Despite the presence of a sound regulatory framework, which should in theory protect workers, undeclared employment and hiring improperly qualified staff are widespread practices at national level. As a result of a number of factors, including short harvesting period, small areas of harvesting, fees and taxes, the duration of employment is very short in this sector. To avoid complications, many employers prefer not to employ workers with a contract of employment. Threshold (2) Specified risk	M: Compliance will be monitored taking into account the conditions of attestation of operators for logging activities; Carrying out the activity of personnel specialised in harvesting activities in accordance with the legal conditions of accreditation; Qualification of personnel employed in accordance with applicable law (diplomas, certificates, authorisations); Adequate training of personnel in accordance with the role and responsibilities established; Employment in accordance with legal procedures (REVISAL). V: REVISAL register; Register of day labourers; Diplomas, certificates, authorisations; Training /Briefing minutes;
Purchase, Trade and Transport
10. Determination of species, quantities and qualities	Legislation governing the manner in which the harvested material is classified in terms of species, volumes and qualities for marketing and transport purposes. Incorrect classification of timber is a well-known method of reducing or avoiding the payment of fees and taxes established by law.	The risk relates to the material marketed on the basis of false, unlawful declarations on species, quantities and qualities. May concern situations in which this type of false classification is used to avoid payment of charges or fees or situations where there are local, national or international prohibitions relating to the marketing of product types or species This problem arises mainly in countries with high levels of corruption (CPI<50).	SMART: Specific Measurable Achievable Relevant Time-bond.
11. Trade and transport.	There must be all the marketing and transport permits required by law, as well as the legal transport documents accompanying the transport of timber from forestry operations	The risk refers to the issuing of documents allowing the removal of timber from the harvesting site (e.g. permits/authorisations to remove material required by law, road maps, labels, etc.). In countries with high levels of corruption such documents are often forged or obtained by bribery. In the case of illegal cuts, transport documents from other harvesting sites instead of the actual harvesting site as a false proof of the legality of the harvested timber	SMART: Specific Measurable Achievable Relevant Time-bond.
Note: these risks are addressed at the same time because they are inter-linked
	GD 470/2014 approving the Rules relating to the origin, circulation and marketing of wood materials (…) Law 171/2010 on the establishment and sanctioning of violations of forestry laws Order 837/2014 approving the Methodology for the organisation and functioning of SUMAL, the obligations of SUMAL users, as well as the structure and manner of transmission of standardised information (Article 35, para. 2, 3)	Indicators linked to: 3. Harvesting permits The conclusions of the debates on the differences between the volume of wood determined as harvest by the NFI and that resulting from the statistical reports of the National Institute of Statistics showed that although the figures circulated do not have the necessary statistical coverage, there is a significant amount of wood that enters the market unjustifiably. Part of this quantity is justified by the coverage of the demand for illegally harvested firewood. Certain risks may arise in the case of selling standing timber, from the differences between the estimated standing volume of trees and more precise measurements from the primary platform, in the case of timber logs. Any underestimations in diameter or height measured in the field may be transmitted through the chain of custody, especially if the WOOD Tracking system is not properly applied. Also, there is no cross-check of assortments in the SUMAL system, which can lead to overestimated volumes of industrial wood, which is also affected by the overestimation of conversion factors. Since it is not possible to compare the volumes of assortments in APV with the volumes in the harvesting results, there is a risk that firewood harvested from a particular harvesting site is sold on the local market (with short transport distances and low risk of being identified by transport control) and instead the industrial wood would be introduced into the chain of custody. This wood is very likely to come from underestimations of material measurements both in terms of standing timber and primary platform. The main risk associated with the transport of timber arises due to errors in the registration or fraudulent declaration of the quantities of timber shipped that may result from harvesting, favoured by deficiencies in the control system and the permissive legislation (i.e. the reduced level of penalties for these non conformities – see correlation with indicator 12— Legislation establishing due diligence/due care procedures (DDS). The main modus operandi for placing undeclared wood on the market are (i) multiple transports carried out under the same delivery document /code issued in SUMAL, (ii) overloading of transport, (iii) transports without papers, especially over short distances. Only about 1 % of timber transports from the harvesting site to the first unloading point (circulating on the basis of primary delivery documents) are checked by the personnel in charge of control using the special IWoodtracking platform. And when irregularities are identified, operators who carry out multiple transports or load a larger volume than the one referred to in the documents, can only be fined with a symbolic amount. This leads to the conclusion that there is a specified risk for determining the quantities and quality of timber volume in APVs (indicator 10), as well as for trade and transport (indicator 11). Threshold (2) Specified risk	M: The level of implementation of additional risk mitigation measures will be pursued by the operator both through internal monitoring and the follow-up of official control reports; Verification of delivery documents and unique registration codes for legal origin and destination (provided through the WoodTracking system). The delivery documents will confirm the date/time and place of harvest and destination; Photographic documentation of the transport upon departure and destination, including mileage (digital fingerprint of wood transport). In order to verify traceability, this information should be recorded in an online database; Affixing plates with a unique identification number to the logs during transport; Additional verifications by physical checks that the timber corresponds to the invoice documents and the delivery notes; The resulting additional volumes will be separated and the competent Territorial Forest Guard will be notified; Adequate training of workers in relation to: legal provisions, cubing methodologies, use of WoodTracking & SUMAL programmes. V: Timber material input-output register; Training /Briefing minutes;
		In addition, in terms of transport conditions, non-compliance with tonnage restrictions on timber transport is considered as a specified risk. Threshold (2) Specified risk	M: Verification as appropriate of compliance with the legal rights of third parties regarding the use of their property in the timber harvesting process Verification of the volume indicated in the opinion and assessment of compliance with tonnage restrictions Restricting the maximum volume that can be loaded to comply with tonnage restrictions. V: Written agreement of road owners/administrators and, where appropriate, compliance with agreements between the parties Primary delivery documents in which the quantities of wood transported and the type of means of transport are recorded – corelated to the maximum permissible loads.
Due Diligence / Due Care
12. Legislation establishing due diligence/due care procedures (DDS)	Legislation establishing due diligence/due care, including DD systems, obligations on declarations and/or retention of information by traders.		SMART: Specific Measurable Achievable Relevant Time-bond.
https://lemncontrolat.ro/wp-content/uploads/2017/05/R.607_2012-due-diligence_RO.pdf	Regulation (EU) 995/2010 laying down the obligations of operators who place timber and timber products on the market Regulation (EU) 607/2012 on the detailed rules concerning the due diligence system and the frequency and nature of the checks on monitoring organisations Regulation (EU) 363/2012 on the procedural rules for the recognition and withdrawal of recognition of monitoring organisations Decision 668/2011 on the designation of the competent authority for the application of Regulation (EU) No 995/2010 of the European Parliament and of the Council of 20 October 2010 laying down the obligations of operators placing timber and timber products on the market GD 470/2014 approving the Rules relating to the origin, circulation and marketing of wood materials (…) Decision 845/2015 laying down obligations and penalties for operators placing timber products on the market for the first time in accordance with Regulation (EU) No 995/2010 of the European Parliament and of the Council of 20 October 2010 laying down the obligations of operators placing timber and timber products on the market Order 819/2015 approving the Methodology for the exercise of the control powers provided for in Article 2 of the Government Decision No 668/2011 designating the competent authority for the application of Regulation (EU) No 995/2010 of the European Parliament and of the Council of 20 October 2010 laying down the obligations of operators placing timber and timber products on the market Law 171/2010 establishing and sanctioning violations of forestry laws	Although Romania has a sound legislative framework for the implementation of the European Timber Regulation 995/2010 (EUTR), the list of verifiers according to the Methodology for the exercise of control powers (approved by MO 819/2015) is not sufficiently clear/specific for the timber harvested in Romania and is therefore not applied adequately and uniformly. There are also a number of shortcomings in the sanctions regime, which are not proportionate and dissuasive. These issues were also raised by the European Commission in the letter of formal notice – Case No 20202033 https://ec.europa.eu/commission/presscorner/detail/EN/INF_20_202 Any fraud in declaring the quantities of timber transported constitutes illegal harvesting! Exceeding reasonable tolerances must be sanctioned as forestry offence and/or, where appropriate, with the suspension of the operating licence. The current amount of fines (e.g. RON 1,000-5,000 for overloading up to 10 m³/transport) is not a proportional and especially not a dissuasive sanction. Harvesting activities are conditioned by the existence of due diligence systems, but in many cases these systems are not compliant or are not properly used. Lack of resources and EUTR-specific training leads to a low ability of the competent authority to check compliance with EUTR requirements. Control plans do not follow an appropriate risk approach based on objective and transparent criterias. The map of risk areas for illegal harvesting is not updated by the competent forestry authority in accordance with the legal provisions (MO 819/2015). There is no prioritisation of controls based on an updated analysis of risk factors and modus operandi. In practice, there are cases where control personnel advise operators (mostly through intermediates) in implementing DDS systems, which generates a situation of conflict of interest. Under such circumstances, the credibility of the exercise of controls (e.g. objectivity of controls or discretionary control orientation) is reduced. Moreover, the degree of transparency regarding the results of controls is also low, with no data on their results, publicly available in accordance with Article 11 of the EUTR. Threshold (2) Specified risk	M: Monitoring of the due diligence system by notifying independent monitoring bodies Verification of compliance with the due diligence system established by: Internal monitoring; Verification of compliance with any compliance measures required by the control acts of the competent authorities.

Risk assessment and mitigation

PURPOSE

PROCESS DEVELOPMENT

DEFINITIONS

Rights to harvest

Taxes and fees

Logging activities

Purchase, Trade and Transport

Due Diligence / Due Care