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Annex 2
S
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M
A
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P
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60
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61
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62
ITTO
Similarities and differences between the certification programs of FSC and SFI
Attribute FSC SFI
Program
Origin Initially a strong NGO focus; a
comprehensive international program
Initially a strong industry focus; a
national initiative, now also promoting
third-party certification
Objectives Provide market rewards through
labelling
Baseline of performance building on
the concepts of sustainable forestry
Governance structure Comprehensive international
governance structure
US oriented, more limited governance
structure
Membership organization with General
Assembly and chamber structure
Created by AF&PA for its members,
who oversee implementation
Decisions on
standard modification
Decisions by members through voting
and the international FSC Board of
Directors
Decisions are made by a separate
Sustainable Forestry Board
Mandatory public
involvement
Participatory process in standard-
setting
Consultation of outside parties in
standard-setting
Stakeholder consultation during
certification process
Broader social aspects of SFM in the
public law and regulations in the US
and Canada
Public summaries of certification
reports
Certified companies to issue a
summary of the findings
Program funding 85% from private foundations 82% from AF&PA members
15% from membership and
accreditation fees
18% grants and other revenue
Standards
Structure Tiered structures of principles and supporting requirements but they are
different and difficult to compare
Employment of
standards
Compliance with FSC P&C is
mandatory. Compliance may be
lacking on some indicators and a
criterion while still meeting the
principle but conditions are defined
Compliance with SFI objectives,
performance measures, and core
indicators is mandatory with limited
room for interpretation by auditor
Certification Third-party certification only Annual reporting to AF&PA on the
results of first party verification
Optional second and third-party
verification
Scope of forestry
standards
Comprehensive as intended for
international use
Initially assumes compliance with the
US law and regulations (ordered and
state) covering many aspects
Accreditation
Accreditation FSC Third-party verifiers accredited by
national accreditation bodies
Accreditation reports Summaries are public Published if required by law or the
certifier
Certification process
Consultation Announcement of plans for a pending
certification in advance of audit
Extensive consultation during the audit
Consultation with stakeholders
optional
Peer review Mandatory Not required
Validity and
surveillance
Compliance with changes in standard
in one year
Compliance with changes in standard
in one year
Maximum validity of certificate five
years
Annual surveillance audits
First recertification in three years and
every five years thereafter; no annual
audits
Conflict resolution Elaborate internal policies and
procedures
Through State Implementation
Committee, use of Expert Panel
possible, ultimately Board of AF&PA
Directors
Annex 3
SIMILARITIES AND DIFFERENCES BETWEEN THE
CERTIFICATION PROGRAMS OF FSC AND SFI
63
ITTO
Logo rules and CoC
Logo Only one logo Different versions of logo for third
party and other verifications
CoC CoC verification necessary following a
separate standard
Verification of lands owned/controlled
by participants; procurement system
approach for other supply sources
using a variety of approaches
Forestry standard
Both programs cover seven areas using essentially the same approach:
- Water quality and riparian zone protection
- Soil protection
- Forest protection from fire, pathogens and disease
- Periodic monitoring of environmental conditions and adaptive management
- Identification and protection of cultural, archaeological and historic resources/sites
- Public access and use opportunities
- Efficiency of resource utilization
Different approaches for the same subject areas:
- Forest plantations
- Sustained yield
- Clearcutting and even-aged forest management
- Forest regeneration and reforestation
- Road building and maintenance
- Visual impacts and aesthetics
- Long-term financial viability of the forest operation
- Competency and adequacy of the forest management staff
- Management planning framework
Subject areas where fundamentally different approaches, or addressed only one of the two programs:
- Special and unique forest areas
- Use of chemicals
- Use of genetically modified organisms
- Use and management of exotic species
- Maintenance and conservation of biological diversity
- Maintenance of ecological function
- Assessment of environmental impacts
- Consultation and public reporting
- Health, safety and general welfare of employees and contractors
- Compliance with applicable laws and regulations
- Recognition of indigenous peoples rights
- Education and outreach
- Forest management research
- Assessment of social impacts
- Contribution of socio-economic benefits to local community/region
Source: Abridged from Meridien Institute 2001
64
ITTO
Annex 4
/ . . .
THIRTY-SECOND SESSION
13 - 18 May 2002
Bali, Indonesia
DECISION 11(XXXII)
THE POTENTIAL ROLE OF PHASED APPROACHES TO CERTIFICATION
IN TROPICAL TIMBER PRODUCER COUNTRIES AS A TOOL TO PROMOTE
SUSTAINABLE FOREST MANAGEMENT
The International Tropical Timber Council,
Reaffirming the commitment of Members to the process of advancing ITTO Objective 2000;
Recalling Decision 10(XXX) on Certification;
Recognizing that ITTO as an international organization should not endorse, create or adopt, or be
perceived to endorse, any particular certification approach or scheme, including any accompanying
standards developed for the purpose of certification;
Noting the Report on the ITTO International Workshop on Comparability and Equivalence of Forest
Certification Schemes as contained in Document ITTC(XXXII)/10;
Recognizing forest certification as an important voluntary market-based tool to encourage and create
incentives for sustainable forest management and improving market transparency;
Underscoring that certification schemes should be voluntary, non-discriminatory, transparent and
market-oriented;
Recognizing that while the ITTO Criteria and Indicators were developed to assess progress towards
sustainable forest management, performance standards would be required for the purposes of certification;
Recognizing the role of ITTO in promoting market access as provided for in the objectives of the
ITTA, 1994, and the ITTO Yokohama Action Plan 2002-2006;
Recognizing the role of ITTO in improving transparency of the international timber market and
promoting tropical timber from sustainably-managed sources as stipulated in the ITTO Yokohama Action
Plan 2002-2006;
Recognizing the potential contribution of certification to sustainable forest management, including
forest law enforcement and related trade;
Recognizing that many tropical timber producing countries have made considerable progress
towards sustainable forest management, and that at the same time those countries account for a very small
percentage of the coverage of certified forests around the world;
Recognizing that in many tropical timber countries there is a wide gap between the existing level of
management and what is required by certification;
Recognizing that tropical timber countries face many institutional, social, human resource and
financial constraints to achieve sustainable forest management;
INTERNATIONAL TROPICAL
TIMBER COUNCIL
Distr.
GENERAL
ITTC(XXXII)/25
18 May 2002
Original: ENGLISH
I T T O
65
ITTO
ITTC(XXXII)/25
Page 2
/ . . .
Recognizing the potential role of regional consultations in advancing discussions on comparability
and equivalence among certification schemes, and in assisting tropical timber producing countries to meet
sustainable forest management standards and to achieve certification;
Decides to:
1. Authorize the Executive Director to engage two consultants, one from producer and the
other from consumer country to undertake a study on the potential of phased approaches to
certification as a tool to promote sustainable forest management, as per the attached Terms
of Reference;
2. Authorize the Executive Director to convene three regional workshops to disseminate and
discuss the results and implications of the study, with recommendations to the Thirty-fourth
Session of the Council based on the attached Terms of Reference;
3. Request the Executive Director to facilitate improved understanding, information-sharing and
dialogue between interested parties from both consumer and producer countries on these
phased approaches;
4. Encourage Member Countries to support project proposals for national capacity building to
engage in forest certification in producer Member Countries, including institutional
strengthening, stakeholder participation, auditing systems, training and better public
understanding of the role of certification as regards to sustainable forest management; and
5. Authorize the Executive Director to seek voluntary contributions from Member Countries to
meet the financial requirements of this Decision, not exceeding US$297,980.00.
66
ITTO
ITTC(XXXII)/25
Page 3
/ . . .
ANNEX
Terms of Reference for Consultants
The consultants, one from a producer and the other from a consumer country, will undertake a study on the
potential role of phased approaches to certification as a tool to promote sustainable forest management.
The study will include the following items:
a) Consult with relevant parties, including buyers groups, consumer groups, industry, retailers,
certifiers, certification schemes, forest owners and managers, governments, environmental
and social NGOs, local communities, and indigenous peoples
b) Elaborate the concept and reflect the full range of views as regards to phased approaches to
certification
c) Identify existing models and initiatives on phased approaches to certification
d) Analyse the elements and operations of the existing models and initiatives
e) Collect and analyse information on market acceptance of the existing models and initiatives
f) Identify key issues, potentials, risks, and constraints on possible designs and
implementation of phased approaches
g) Identify and elaborate on common elements and stages of phased approaches
h) Prepare a preliminary report to present at the Thirty-third Session of the Council
i) Taking into consideration comments and views of Member Countries and the Workshop
participants, finalize the report and present to the Thirty-fourth Session of the Council
Terms of Reference for the Workshops
The three Regional Workshops will be three days duration each and convened in Africa, Asia-Pacific and
Latin America between the Thirty-third and Thirty-fourth Sessions of the Council.
The purpose of the Workshop will be to disseminate and discuss results and implications of the study and
comments from Member countries, and make recommendations to the Thirty-fourth Session of the Council.
The Secretariat, in extending invitations to participants, should seek to provide a balance of the following
views at the Workshop:
producer and consumer Member Countries
forest owners and managers
certification schemes
environmental and social NGOs
local communities and indigenous peoples
buyers groups and consumer groups
industry, traders and retailers
Priority for sponsorship should be given to participants from producer Member Countries.
* * *
I N T E R N A T I O N A L T R O P I C A L T I MB E R O R G A N I Z A T I O N
International Organizations Center, 5th Floor, Pacifico-Yokohama, 1-1-1, Minato-Mirai, Nishi-ku, Yokohama, 220-0012, Japan
Tel 81-45-223-1110 Fax 81-45-223-1111 Email itto@itto.or.jp Web www.itto.or.jp
ITTO October 2002
ITTO