Sustainable Forest Finance Toolkit - PwC

Illustrative – Management InterviewTemplate1 of 4New Application HOMEClient :_____________________ Management representative interviewed : ________________________ Position : ______________________ Date : ___________Description of client activities:Questions for managementResponse obtainedRefer to the consolidated due diligence questions for prompted secondary questions or further information. See Appendix 4.Non-conformingto bank policyFurther infoneededConforming tobank policyHigher Risk IndicatorsBased on an initial screening, have high risk indicators been identified?YesNoIf ‘Yes’ complete Section IX on Higher Risk IndicatorsI. Management and Governance1. What environmental and social policies / procedures are in place, are they current (i.e. last reviewed in past 5 years), what wereyour sources of information in developing these policies (e.g. which stakeholders were consulted and how)?2. Is there a strategic / management plan in place to address environmental and social issues? Does it include FMU / CoCcertification? Has it been implemented? This may include the adoption of a ‘stepwise’ approach to achieving certification.3. How are these policies communicated and implemented, and who is responsible?4. Can management provide copies of policy documents and evidence of procedures in place (e.g. whistle-blowing hotline, forestmanagement permits, licences and agreements)?5. Who has senior level responsibility for environmental and social issues?II. Resource Management6. Is the company aware of how much is already planted and how much is plantable in the future within the concession or forestmanagement area?7. What training, SFM methods and practices does the company use and employ?8. Has the company mapped and delineated special places and areas with high conservation value within their concessions or forestmanagement area?9. Have there been any significant legal claims, complaints or disputes regarding forest management practices, land rights orresettlements? How were they resolved?Page 18pwc