Forest CertificationForest Certification& Communities& Communities

in the U.S.in the U.S.

For ENVS 295 & FOR/NR 285 Community-based ForestryFor ENVS 295 & FOR/NR 285 Community-based Forestry

Cecilia Danks, Ph.D. Cecilia Danks, Ph.D. Assistant Professor, Environmental PolicyAssistant Professor, Environmental Policy

The Rubenstein School The Rubenstein School of Environment and Natural Resourcesof Environment and Natural Resources

University of Vermont University of Vermont

Roles for Communities:Roles for Communities:inin certification process certification process

As a Certificate holderAs a Certificate holder As a StakeholderAs a Stakeholder

Varies by System!Varies by System!Varies by Type of Operation!Varies by Type of Operation!

Certification Systems in the USCertification Systems in the USForest Stewardship Council (FSC)Forest Stewardship Council (FSC) Since 1993, 26 million acres in USSince 1993, 26 million acres in US Globally: 113 million acresGlobally: 113 million acres 10 Principles & 56 Criteria10 Principles & 56 Criteria 3 chamber governance with strong 3 chamber governance with strong

environmental supportenvironmental support

Sustainable Forestry Initiative (SFI)Sustainable Forestry Initiative (SFI) Since 1994, 3Since 1994, 3rdrd party 38 million acres in US party 38 million acres in US US + Canada: 93 million acresUS + Canada: 93 million acres 6 Principles, 11 Objectives6 Principles, 11 Objectives Initiated by industry (American Forest & Initiated by industry (American Forest &

Paper Assn) now separate SF BoardPaper Assn) now separate SF Board

Other forestry “standards” systemsOther forestry “standards” systems Other InternationalOther International

E.g. PEFC – European; CSA- CanadianE.g. PEFC – European; CSA- Canadian

ISO 14001 for Environmental Management ISO 14001 for Environmental Management SystemsSystems

American Tree Farm SystemAmerican Tree Farm System Since 1941, 26 million acres in USSince 1941, 26 million acres in US Recognized by SFI as a wood sourceRecognized by SFI as a wood source

Independent standards & labelsIndependent standards & labels Often 1Often 1stst party party Often localized, e.g. Vermont Family ForestOften localized, e.g. Vermont Family Forest

So… a number of systems, a few major ones.So… a number of systems, a few major ones.But, not as systematic as one might hope.But, not as systematic as one might hope.

Will focus on FSC & SFI in US …Will focus on FSC & SFI in US …

Types of Operations CertifiedTypes of Operations Certified Forest Management Operations (the land!)Forest Management Operations (the land!)

Private, for-profitPrivate, for-profit Corporate, Large & Small Private landownersCorporate, Large & Small Private landowners

PublicPublic Local, State, Federal (not Forest Service/BLM)Local, State, Federal (not Forest Service/BLM)

OtherOther E.g. University, Tribal, Communal, Non profits E.g. University, Tribal, Communal, Non profits

professional Resource Managersprofessional Resource Managers

Chain-of-custody operationsChain-of-custody operations (sawmills, (sawmills, manufacturers, wholesalers, and retailers)manufacturers, wholesalers, and retailers)

Chain of Authority and Information Chain of Authority and Information in Forest Certificationin Forest Certification

Standard Setting Organizatione.g. FSC, SFI

Certifying Body e.g. Smartwood

Certifying Bodye.g. SCS

PrivateForest

Landowner

CorporateForestUnit

Chain ofCustody

Manufacturer, Wholesaler,

Retailer

Public Forest

University, Tribal,

Communal

Resource Manager

Small Land owner

Small Land owner

How FSC & SFI Address How FSC & SFI Address Socioeconomic IssuesSocioeconomic Issues

StandardsStandards Forest Management Forest Management

OperationsOperations CoC / ProcurementCoC / Procurement

Monitoring RequiredMonitoring Required AssessmentAssessment Public InformationPublic Information

How FSC & SFI Address How FSC & SFI Address Socioeconomic IssuesSocioeconomic Issues

““One key difference between … FSC and SFI One key difference between … FSC and SFI is the extent to which is the extent to which social and economic social and economic issues issues are emphasized.”are emphasized.”

--- Yale U. Program on Forest Certification 2002--- Yale U. Program on Forest Certification 2002

Due in large part to: Due in large part to: GovernanceGovernanceMissionMissionGeographic scopeGeographic scope

FSC examinesFSC examines Social impacts, esp. relationships and rightsSocial impacts, esp. relationships and rights Economic viabilityEconomic viability

SFI assumesSFI assumes ““fundamental premise” that social issues fundamental premise” that social issues

addressed by US laws & regulationsaddressed by US laws & regulations Market is most appropriate mechanism to Market is most appropriate mechanism to

address economic viabilityaddress economic viability

FSC Socioeconomic StandardsFSC Socioeconomic StandardsAbout half of P’s are “social” standards: About half of P’s are “social” standards:

Principles 1-4, much of 5 and some of 7-10Principles 1-4, much of 5 and some of 7-10 P 1: P 1: Legal complianceLegal compliance P 2: P 2: Tenure RightsTenure Rights – of owners, community – of owners, community P 3: P 3: Indigenous People’s RightsIndigenous People’s Rights P 4: P 4: Community Relations and Workers’ RightsCommunity Relations and Workers’ Rights P 5: P 5: BenefitsBenefits, incl. local processing & reinvestment, incl. local processing & reinvestment P 7: P 7: Management PlanManagement Plan, incl. describe SE conditions , incl. describe SE conditions P 8: P 8: MonitoringMonitoring, incl SE impacts, incl SE impacts

FSC Principle 4: Community & WorkersFSC Principle 4: Community & WorkersP.4: FMOs “shall maintain or enhance the P.4: FMOs “shall maintain or enhance the

long-term social well-being of forest workers long-term social well-being of forest workers and local communities.”and local communities.”

4.1 Employment & training for local communities 4.1 Employment & training for local communities Indicators:Indicators: Compensation meets or exceeds local normsCompensation meets or exceeds local norms Procure goods and services locallyProcure goods and services locally Give preference to qualified local workersGive preference to qualified local workers Participate in civic activities & educationParticipate in civic activities & education Provide training opportunities to workersProvide training opportunities to workers

More of P. 4 CriteriaMore of P. 4 Criteria

4.4 “Management planning and operations 4.4 “Management planning and operations shall incorporate the results of evaluations shall incorporate the results of evaluations of social impact.of social impact.

Consultations shall be maintained with Consultations shall be maintained with people and groups directly affected …”people and groups directly affected …”

4.5 Employ mechanism for resolving 4.5 Employ mechanism for resolving grievances grievances

FSC SE Monitoring requirementsFSC SE Monitoring requirementsPrinciple 8: Monitoring and AssessmentPrinciple 8: Monitoring and Assessment

““Monitoring shall be conducted -- appropriate to Monitoring shall be conducted -- appropriate to the scale and intensity of forest management – to the scale and intensity of forest management – to assess the condition of the forest, yields of forestassess the condition of the forest, yields of forest products, chain of custody, management activitiesproducts, chain of custody, management activities and their social and environmental impacts.”and their social and environmental impacts.”

Applicability Note for Principle 8:Applicability Note for Principle 8:

““On small and medium sized forests, an On small and medium sized forests, an informal, qualitative assessmentinformal, qualitative assessment could be could be appropriate. On large forests and intensively appropriate. On large forests and intensively managed forests, formal, quantitative managed forests, formal, quantitative monitoring is monitoring is probablyprobably required.” required.”

my italicsmy italics

Principle 8: MonitoringPrinciple 8: Monitoring US Indicators: 2.5 pages specifying biophysical & US Indicators: 2.5 pages specifying biophysical &

management data management data

SE Data to be collected:SE Data to be collected:8.2.d. Environmental and social impacts of harvesting 8.2.d. Environmental and social impacts of harvesting

and other operations.and other operations.8.2.d.3. Employment generation, creation or 8.2.d.3. Employment generation, creation or maintenance of local jobs, and public responses to maintenance of local jobs, and public responses to management activities are monitored.management activities are monitored.

8.2.e. Cost, productivity, and efficiency of forest 8.2.e. Cost, productivity, and efficiency of forest management.”management.”

FSC Chain of CustodyFSC Chain of Custody

Certifies ability to keep Certifies ability to keep sources separate, analyzes sources separate, analyzes “risk of contamination”, “risk of contamination”, little about conditions of little about conditions of productionproduction Informally, egregious issues, Informally, egregious issues,

e.g. child or slave labore.g. child or slave labor

Allows CoC to sell FSC products with FSC labelAllows CoC to sell FSC products with FSC label

SFI Socioeconomic StandardsSFI Socioeconomic StandardsFor land ownerships:For land ownerships:4.1.1.1.3 Provide recreation and educational 4.1.1.1.3 Provide recreation and educational

opportunitiesopportunitiesCore #1. A written policy describing public Core #1. A written policy describing public

recreation and education efforts, consistent with recreation and education efforts, consistent with forest management objectivesforest management objectives

““Other”… expertise on staff, make presentations Other”… expertise on staff, make presentations to local groups, develop recreational areas, to local groups, develop recreational areas,

SFI Manufacturing ParticipantsSFI Manufacturing ParticipantsAllows companies to advertise Allows companies to advertise

themselves as a “Participant” and themselves as a “Participant” and use SFI label on all products, use SFI label on all products, regardless of certified SFI content.regardless of certified SFI content.

Certifies procurement system, not Certifies procurement system, not conditions of production conditions of production

““This does not imply that This does not imply that any or all of the material any or all of the material originates from SFI-originates from SFI-certified forests.”certified forests.”

SFI – Socioeconomic StandardsSFI – Socioeconomic StandardsFor Manufacturing /Procurement Participants:For Manufacturing /Procurement Participants: 4.2.1.1.2 Foster professionalism of wood producers4.2.1.1.2 Foster professionalism of wood producersCore #1 Written policy promoting professional training of Core #1 Written policy promoting professional training of

wood producerswood producersCore #2 Support of SFI Implementation Committees Core #2 Support of SFI Implementation Committees

which offer wood producer training courses in … which offer wood producer training courses in … e. logging safety; e. logging safety; f. OSHA wage and hour rules; …f. OSHA wage and hour rules; …

Changing – 2005 standards may be quite differentChanging – 2005 standards may be quite different

Draft SFI 2005 standardsDraft SFI 2005 standards

““Principles for Sustainable ForestryPrinciples for Sustainable Forestry

Managed forests make a vital contribution to Managed forests make a vital contribution to the world by providing economic, consumer, the world by providing economic, consumer, environmental and aesthetic environmental and aesthetic socialsocial benefits benefits indispensable to quality of life.”indispensable to quality of life.”

--------------------------------

Socioeconomic Issues in AssessmentSocioeconomic Issues in Assessment

FSCFSC Typically 3 team members: forester, ecologist, Typically 3 team members: forester, ecologist,

and often a social scientistand often a social scientist Mandatory stakeholder consultationMandatory stakeholder consultation

-- Smartwood Assessor Training-- Smartwood Assessor Training

SFISFI ““At a minimum”expertise in wildlife ecology, At a minimum”expertise in wildlife ecology,

silviculture, forest hydrology and operationssilviculture, forest hydrology and operations-- 2002-2004 SFI Verification / Certification Principles and Procedures-- 2002-2004 SFI Verification / Certification Principles and Procedures

SE issues that FSC assessors look at:SE issues that FSC assessors look at:

Through self-reporting & stakeholder consultation:Through self-reporting & stakeholder consultation:

RelationshipsRelationships with employeeswith employees with neighborswith neighbors with community --A good corporate citizenwith community --A good corporate citizen

Dispute Resolution Process Dispute Resolution Process Contribution to local economyContribution to local economy Economic viability of operationEconomic viability of operation

SE Issues that SFI verifiers look at:SE Issues that SFI verifiers look at:Ask for documented policies aboutAsk for documented policies about::

Public access for recreationPublic access for recreation Support of training programs for workersSupport of training programs for workers Compliance with labor lawsCompliance with labor laws Good corporate citizenGood corporate citizen

Volunteer efforts, donations, scholarshipsVolunteer efforts, donations, scholarships Access for education and researchAccess for education and research

Addressing impacts of operations on neighborsAddressing impacts of operations on neighbors

What data are made public?What data are made public?Public SummariesPublic Summaries

FSCFSC Specifies much of content; varies by certifierSpecifies much of content; varies by certifier About 18-36 page documentsAbout 18-36 page documents Made public by certifier (on website)Made public by certifier (on website)

SFISFI Content varies; considerable company discretionContent varies; considerable company discretion Made public by companyMade public by company To date no central or easy accessTo date no central or easy access

SE info in FSC Public SummariesSE info in FSC Public Summaries

Includes:Includes:

In general description include brief section In general description include brief section “Environmental and Socioeconomic Conditions”“Environmental and Socioeconomic Conditions”

Strengths and Weaknesses by FSC PrincipleStrengths and Weaknesses by FSC Principle

StakeholdersStakeholders

Varies by date, certifier and caseVaries by date, certifier and case

SE info in FSC Public SummariesSE info in FSC Public SummariesWeakness:Weakness: ““XXX does not conduct any formal social XXX does not conduct any formal social

impact assessments or social impact impact assessments or social impact monitoring, e.g. changes in the # of jobs from monitoring, e.g. changes in the # of jobs from changes in forest management activities.”changes in forest management activities.”

Strength:Strength:““Although there is not formal social impact Although there is not formal social impact

monitoring, XXX gains valuable feedback , monitoring, XXX gains valuable feedback , informally through their involvement in the informally through their involvement in the community.”community.”

SE info in FSC Public SummariesSE info in FSC Public Summaries

In Description or Findings :In Description or Findings :

““XXX is a major employer in the area.” XXX is a major employer in the area.”

““XXX’s employees play an important role in XXX’s employees play an important role in the economic health and social fabric of the the economic health and social fabric of the region.”region.”

““XXX’s mill employs approximately 200 XXX’s mill employs approximately 200 people from the … area.”people from the … area.”

SE info in Public Summaries: SE info in Public Summaries: General statements, little dataGeneral statements, little data

““XXX purchases a majority of goods, XXX purchases a majority of goods, equipment and services” from local equipment and services” from local businesses.businesses.

““XXX is improving salaries to be XXX is improving salaries to be commensurate with local standards.”commensurate with local standards.”

““Employee compensation … meet or exceed Employee compensation … meet or exceed prevailing local norms.”prevailing local norms.”

Chain of Authority and Information Chain of Authority and Information in Forest Certificationin Forest Certification

Standard Setting Organizatione.g. FSC, SFI

Certifying Body e.g. Smartwood

Certifying Bodye.g. SCS

PrivateForest

Landowner

CorporateForestUnit

Chain ofCustody

Manufacturer, Wholesaler,

Retailer

Public Forest

University, Tribal,

Communal

Resource Manager

Small Land owner

Small Land owner

Research: social requirements of FSC Research: social requirements of FSC certification have positive social benefitscertification have positive social benefits Stakeholder consultationsStakeholder consultations Concern for relationships, esp. with communityConcern for relationships, esp. with community See Molnar et al for othersSee Molnar et al for others

Thanks!Thanks!

Questions?Questions?