Study Session on Forest Certification and Land Tenure

1. www.pefc.org
PEFC Council
World Trade Center 1
10, route de l’Aéroport
CH-1215 Geneva
Switzerland
Tel. +41 22 799 45 40
development@pefc.org
6th of February 2016
Study Session on Forest
Certification and Land Tenure
Richard Laity
PEFC International
Introduction to
certification
schemes

2. Overview
Introduction
Drivers of certification
Verification Pathways
FSC and PEFC
What can be done
nationally?
Developing a national certification scheme
Delivering certificates
Certification and Land
Tenure
Certification in a booming forestry sector
PEFC’s activities

3. www.pefc.org
Certification and
Verification
Processes
Meeting market demands in
an appropriate manner
3

4. Why Certification?
Market drivers, risk management for certification
Private procurement
Finance
Consumers
Legislation
Private
commitments
Public
procurement

5. Due Diligence
Material sourcing
Quality system
Production controls Labelling/claims
Documentation
Legality
FLEGT License
Private Standards
Government Assurance Systems
Accredited 3rd party systems
Sustainability
Certification
Verification
Private policy
International Market Requirement
Pathways
EUTR/Lacey/Aus.
Controlled Sources
Private Policy
Public Procurement

6. Public Procurement
National export/import prohibitions
EU FLEGT: VPA and EU TR
US Lacey Act
AUS Illegal Logging Prohibition Act
National Systems on Timber Legality
(MY TLAS, SVLK)
ASEAN initiative for timber legality
CITES
Public Procurement Policies
Forest Certification
(FSC, PEFC, national systems – legality
& forest management principles)
Private sector initiatives:
Verification of legal origin (VLO)
Verification of legal compliance
(VLC)
Codes of Conduct
Voluntary (private)
Sustainability
Regulatory (government)
Legality
Voluntary and Regulatory Approaches
to Legal and Sustainable Timber

7. Introduction to FSC and PEFC
Forest Certification

8. From forest management to end user
What does forest certification deliver?
More than 500 million
hectares of certified
forest area in 65
economies
from well managed forests
enhancing ecological,
social and economic
values
- Legality with controlled
sourcing
- Traceability
More than 50,000 chain of
custody in 120 countries

9. Certification Working on the supply
chains
Forest Management
FM
CoC 1 CoC 2 CoC 3
Group FM
CoC Groups
Controlled
Sourcing (Due
Diligence
System)
Demand
Supply

10. Developing the Systems
Single FMU’s Sawmil Trader Processor
FMU and CoC Groups
Consumer
Quality management eg:
• Silviculture models
• Env. & Social Man.
Procedures
Traceability
Records
Stock Control
Invoicing
Risk
Assessment
Due Diligence
Associations/Coops/Companies
Group Management (training,
monitoring, etc)
Procurement
Policies
Labelling
Associations
Support Members
Governing Body
Administration
Standards & Logo
Stakeholder Engage.
Accreditation
Capacity Development
Assessment
Certification Bodies
Accreditation
Auditor Capacity
Government
Policy for Certification (procurement,
Initiatives, legal frameworks)
Markets
Procurement Policy
Promotion of products

11. www.pefc.org
The Forest
Certification
Council
Global Coverage and status
in South East Asia

12. FSC Coverage
12

13. Current certificates in Thailand,
Vietnam and Laos (Jan, 2017)

14. VIETNAM

15. THAILAND

16. LAO PDR

17. www.pefc.org
What is required to deliver
PEFC certification for the SE
Asian forestry sector
PEFC and the
Technical
infrastructure

18. What is PEFC?
• Global, not-for-profit, non-governmental organisation based in
Geneva, Switzerland
• Alliance of national forest certification systems with global
representation and an international chain of custody
• Voluntary mechanism promoting sustainable forest management
providing independent, third party certification of good practices
• World's largest forest certification system and provider of 60% of
the world’s certified forest area
• Certification system of choice for small family forest-owners
Programme for the Endorsement of Forest Certification

19. Global growth of the PEFC Alliance
As of June 2017
PEFC members progressing towards endorsement
Economies actively developing systems
PEFC members with endorsed systems

20. From forest management to end user
What does forest certification deliver?
More than 500 million
hectares of certified
forest area in 65
economies
from well managed forests
enhancing ecological,
social and economic
values
- Legality with controlled
sourcing
- Traceability
More than 50,000 chain of
custody in 120 countries

21. Developing a National Scheme
21

22. National
Scheme
Multi-
stakeholder
process
Consens-
based
decision
making
National
public
consultation
Pilot testing
International
Sustainability
Benchmarks
Panel of
Experts
Board
recommend-
ation
Independent
assessment
Global public
consultation
Approval by members
Revision required
Application for Scheme
Assessment

23. Key Organizations
23
Accreditation
Body
(AB)
National
Governing
Body
(NGB)
Certification
Bodies
(CB)Notifies
IAF
PEFC

24. Key Organizations
24
AB
NGB CBs
Notifies
IAF
PEFC

25. Issue
certificates
AB
NGB CBs
Delivering Certificates
25
Notifies
IAF
PEFC
via Group
Certification
National Forest
Certification System

26. Endorsement
Structure of THE THAI certification system
Thai Industrial
Standards Institute
AB
Accreditation
Body
SB
Standardizing
Body
CB
Forest owner
Wood industry
TISI
Promotion/Advice
/Consultation
Certification
TIS 14061
NotificationAccreditation
ISO/IEC17021
ISO/IEC17065
MOU
MRA

27. Board of Institute of Agro-Based Industries
TFCC Manager
Forest Technician
PR & Marketing
Officer
Training
Officer
AdministrationProduct
Technician
TFCC Director
Complaint and Dispute CommitteeBoard of TFCC
Thailand Forest Certification Council

28. TFCC Collaborative Organizations
Faculty of Forestry Kasetsart University
Private sectors and Growers
Thai Industrial Standards Institute
The Forest Industry Organization
Royal Forest Department
Thai Environmental Institute Foundation
The Federation of Thai Industries

29. Endorsement
Example:
Structure of LAO FOREST certification scheme
Ministry of Science
& Technology
AFP
Accreditation
Focal Point
SB
Standardizing
Body
LAO FOREST
CERTIFICATION COUNCIL
(NGB)
CB (SGS, GFA,
national)
Forest owner
Wood industry
Promotion/Advice
/Consultation
Certification
TIS 14061
NotificationAccreditation
ISO/IEC17021
ISO/IEC17065
MOU
MRA
LAO POLICY
(NATIONAL STANDISATION STRATEGY) (MINISTRY OF AGRICULTURE & FORESTRY

30. Lao development of Standards
30

31. www.pefc.org
Certification and
Land Tenure
Land tenure is the basis for
successful forestry and
certification can drive it?
31

32. 4 Pillars: Common factors in
successful programs
• Clear ownership of trees
• Attractive and reliable markets for
all wood grown (Links with Industry:
sawnwood + fuelwood; sawnwood + woodchips)
• Sympathetic legal and regulatory
frameworks
• Robust technical package
Ref: Byron, R. N. (2001)

33. Some Examples where certification supports
land tenure
THAILAND (1)
NGB has rubber and
forestry department
working together
VIETNAM (2)
Group certification drives
smallholders/gov to get
land tenure
MYANMAR (2)
TLAS standard for Gov
FMU to demarcate
community areas
LAOS
-Companies cooperate
with community for docs
-Plantation certificates
Two ways to address land tenure
1. National level conversation (developing standards, NGB etc)
2. Certified Entities (FM, CoC) requiring land tenures

34. Conclusions
Introduction to
Verification processes
A range of processes for international
market access
Developing National
Certification
National certification schemes might
provides appropriate mechanisms for
smallholders
Land Tenure and
certification
National Standards and NGB identify issues
Direct and indirect drivers for land tenure by
certified entities
Get Involved
Develop an Interim National Governing
Body
Support making FM and CoC work in Laos

35. www.pefc.org
Thank you!
(Background
Material)
richard.laity@pefc.org

36. Quality Infrastructure Requirements
for Certification and FLEGT
36
Component PEFC FSC FLEGT VPA
Accreditation
Bodies
National Accreditation Bodies (members of
International Accreditation Forum)
PEFC Associate member within the IAF
Accreditation Services International Generally not applicable unless verification
element of TLAS is done by independent 3rd
party certifiers (e.g. SVLK)
Scheme Managers Independent organizations with
membership within the PEFC Council
FSC, with National Standard
Development Groups
VPA Joint Implementation Committee (JIC)
Legality
Standards
PEFC Controlled sources FSC Controlled Wood Legality Definition (TLAS)
Sustainability
standards
National Standards (PEFC- Endorsed) FSC Interim National Standards or
Approved National and Regional
Standards
N/A
Chain-of-Custody
requirements
CoC Standard CoC Standards Supply Chain Controls (TLAS)
Certification
Bodies
PEFC-notified and accredited to national
accreditation body
FSC accredited N/A unless VPA uses independent verification
(e.g. SVLK)
Auditors
(Independent,
government)
Independent Independent Government Officer and/or Independent (e.g.
SVLK)
System auditors,
independent
monitors
The PEFC Endorsement and Mutual
Recognition process; includes PEFC
Approved Independent Assessors & Panel
of Experts
Maintains clear separation between
standard-setting, conformity assessment
and accreditation functions in line with
globally recognized ISO best practice.
International and National Complaint
Mechanisms
FSC and ASI both full members of
ISEAL, undergo independent
evaluation against ISEAL's Codes of
Good Practice.
FSC Policy for Association mechanism,
protects system from reputational risk
from organizations involved in
unacceptable activities
Complaints mechanisms and Dispute
Resolution System
VPA Evaluators or Auditors (at least once per
year and appointed by JIC),
Independent Forest Monitoring (CSO)

37. Synergies between FLEGT and Cert.
37
• Examples of synergies between the verification systems
• Coordinated consultation and development of the systems
• Compatible legality or sustainability standards leading to (mutual)
recognition
• Compatible CoC/traceability (Voluntary Schemes) and Supply Chain
Controls (VPA)
• Joint review of standards (VPA-Joint Implementation Committees/technical
working groups, Scheme Managers, Standard Development Groups)
• Multi-purpose verification training for independent or government
auditors/inspectors
• Multi-purpose audits/inspections
• Reinforced linkages between Scheme Assessors and VPA Auditors
• Reinforced linkages between Independent Forest Monitoring and
Complaints Mechanisms
Note: If VPA TLAS uses independent 3rd party verification,
more synergies can be envisaged

38. Relation to ISO Framework
38
ISO
ISO/IEC 17021
ISO/IEC 17065
ISO 19011
PEFC ST 1003:2010
PEFC GD 2003:2012
PEFC ST 2002:2013
(PEFC ST 2004:201X)
National documentation
ISO/IEC 17011IAF Procedures
ISO/IEC Guide 59
ISO Guide 82
ISO/IEC Guide 2
ISO/IEC 17007
PEFC ST 1001:2010
National documentation

39. PEFC
IAF
PEFC
PEFC complaints mechanism
39
AB
NGB CB
Certified
entity
IAF
PEFC ST 1003:2010
PEFC ST 2002:2013
National documentation
Satisfied
Not satisfied
ISO/IEC 17065
ISO/IEC 17021
Satisfied
Not satisfied
ISO/IEC 17011
Satisfied
Not satisfied
IAF PR1:2004
GL7/2007
CE
Complaints
Mechanism
CB
Complaints
Mechanism
AB
Complaints
Mechanism
IAF
Complaints
Mechanism
NGB
Complaints
Mechanism
PEFC
Complaints
Mechanism
GL7/2007
Satisfied
Notsatisfied
Dispute

40. Summary/Next steps
40
Aspect PEFC Input
Accreditation - IAF Liaison
- AB support, training
Scheme
Development
-Technical support to ongoing national processes
- ASEAN involvement in PEFC International
Revisions Process
Legality/
Traceability
- Promote Chain of Custody Certification
throughout supply chains
Certification
Bodies/Auditors
-Training and Training Recognition program
To support the establishment of robust, accessible, cost-effective
forest certification in ASEAN.

41. Main Steps for Myanmar
41

42. Certification Scheme Structure
42
Standard Setting
• Standard Setting
Procedures
• Forest
Management
Standards
• Chain of Custody
Standard
Implementation
Procedures
• Certification and
Accreditation
Procedures
• Group forest
management
certification
procedures
Administrative
Procedures
• Notification of CBs
• Disputes &
complaints
procedures
• Logo usage
licensing

43. PEFC Standard Setting Process

44. National
Standard
Multi-
stakeholder
process
Consens-
based
decision
making
National
public
consultation
Pilot testing
International
Sustainability
Benchmarks
Panel of
Experts
Board
recommend-
ation
Independent
assessment
Global public
consultation
Approval by members
Revision required
Application for Scheme
Assessment

45. PEFC endorsement process