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森林认证对森林可持续经营的影响研究
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摘要
森林认证作为促进森林可持续经营的一种市场机制,于二十世纪九十年代初逐渐兴起。经过近20年的快速发展,森林认证得到了各方的广泛支持和认可,已成为世界林业发展的潮流和趋势。在中国,森林认证也受到政府的高度重视,将其视为促进中国林业发展和森林可持续经营的有效工具。国家林业局已建立了国家森林认证体系,而中国越来越多的企业根据国际市场需求,开展了国际体系森林管理委员会(Forest Stewardship Council, FSC)的认证。
     森林认证是作为解决世界森林问题,推动森林可持续经营的一种市场机制提出的。虽然经过了20多年的发展完善,但森林认证对世界和中国现有森林可持续经营作用的有效性,有无实现预期的目标,还存在哪些不足,如何才能使其更好地为中国林业建设服务,值得研究与探索。
     本论文在对森林认证的理论、动力和推广机制,以及森林认证国内外的发展现状和发展趋势进行总结和分析的基础上,系统分析了森林认证对森林可持续经营影响的内涵、影响因子和影响领域,并选择国际体系FSC开展案例研究。在此基础上,提出了中国森林认证影响的综合评价指标模型和方法,通过认证报告不符合项分析、问卷调查、重要利益方访谈和对认证林业企业的实地考察,对中国林业企业开展认证的动力、森林认证的实地影响、宏观林业政策影响和目前存在的问题进行了全面系统地评估、总结与分析,并提出了中国发展森林认证的政策建议。本研究的主要结论包括:
     (1)认证市场的发展和各方的支持对森林认证发展起到了重要的推动作用。认证产品市场的发展对于森林认证的成功至关重要,而其它各方的支持、相关鼓励和推动政策对认证产品市场的培育和森林认证的发展起到了非常重要的作用。
     (2)森林认证,特别是全球体系FSC,对森林可持续经营产生了积极的影响。森林认证已经促使森林经营产生了很多实质性的变化,而不仅仅是验证已经营良好森林的一种工具。为了满足森林认证的要求,森林经营者需做出很大的改变。这种影响体现在森林可持续经营的环境、社会和经济各个方面。另外,认证还对宏观林业政策和社会政治产生了积极的影响。
     (3)认证的影响受到多种因素的制约。认证发展过程中也存在很多问题和因素制约了认证的发展,认证作用的有效性在不同地区和不同方面差别很大。认证的影响或效果受到森林认证体系、认证标准、认证机构的审核质量和可信性、平等性、成本效益、认证产品市场的发展程度、政府的作用及国家法律法规框架等因素的影响。
     (4)森林认证对中国的森林可持续经营产生了积极的实地影响。在森林经营管理方面,认证促进林业企业提高了森林可持续经营的意识和能力,改进了企业的经营管理体系;在社会方面,认证促进了当地社区和其它利益方的传统和法定权利的保护,改善了认证企业与当地社区的关系,保障了企业内部职工和劳动者权益;在环境方面,认证降低了森林经营对环境的负面影响,加强了土壤、水资源、生物多样性和高保护价值森林的保护,加强了化学药品使用、林区垃圾与废弃物的处理,以及外来物种的引进、转基因树种的使用和森林与林地转化的管理;在经济方面,认证企业为企业带来了一定的经济效益,稳定了产品市场,促进了下游加工企业的发展,提升了企业的形象等。
     (5)森林认证对中国宏观林业政策和社会政治产生了较为广泛的影响。森林认证推动了中国国家森林认证体系的发展,提高各方对森林可持续经营的认识和能力,促进中国林业标准和政策的制定,推动各方对林业政策和可持续经营的讨论,促进相关林业科研和技术体系的建立,促进了中国林业相关法律法规的完善和实施等。
     (6)各方对森林认证的作用和效益的认识仍存在差异。通过对森林经营者与其它利益方对森林认证作用和效益看法的比较分析,二者存在着显著的差异。作为森林认证的直接参与者,森林经营者在开展森林认证过程中所做的工作和改进比其它利益方所认识到的更多,森林认证的影响和成效更为显著。也有小部分受访者认为,森林认证对中国的森林经营无实质性地推动,而仅仅是企业满足市场需求而开展的一种商业运作。另外,由于森林经营的不同利益方,如当地社区和原住民、政府管理部门、非政府环保组织、采伐公司等对森林可持续经营有不同的理解、对森林经营技术模式有不同的选择偏好和利益预期,也通过各种途径影响到森林经营或森林认证。
     (7)目前还存在很多问题制约了中国森林认证的有效性和发展,包括认证动力不足、能力限制、社会信用水平的制约、认证的可信度、认证体系的多元化和认证标准的应用、与现有国家法律法规和管理体系的协调、国家体系的动力和推广机制等。
     最后,本文根据中国森林认证已产生的影响和存在的主要问题,提出了中国森林认证发展的主要政策建议,包括加强认证的宣传和推广、国家出台森林认证鼓励政策和绿色林产品采购政策、加快中国森林认证体系建设进程、加强相关研究和技术支持、培育国内认证产品市场、加强森林认证能力建设、加强认证的监管以及修订认证标准和国家有关技术规程等。
Forest Certification is emerged in the 1990s as a market tool to promote sustainable forest management (SFM). After more than 20 years’rapid development in the world, forest certification has been recognized and supported by wide stakeholders, and it has been a trend of forestry development in the world. In China, forest certification has been got the great attention from the government, and has been taken as an useful tool to promote forestry sustainable development. The State Forest Administration is developing China national forest certification scheme, and more and more forest companies are seeking FSC certification based on the international market demand.
     Forest certification is widely regarded as one of the most important initiatives to promote responsible forest management that include social, environmental, economic, cultural and spiritual values. The question is: can forest certification effectively promote all of these values? Has it achieved its goals? What issues and challenges are still exiting to have an impact on its effective? It’s time to measure the impact of forest certification in the world and China.
     This thesis summarized the mechanism and drivers of forest certification, and its status and trends in the world and China, and synthetically analyzed the concept, way, scope, factor and field of the impact of forest certification on SFM, and select FSC as a case study. Through a comprehensive evaluation method that include literature and auditing report review, questionnaires to wide stakeholders, key stakeholders’interview, field survey and case study of certified forest companies, this thesis conducted the research on the drivers of forest companies, on-ground impact assessment of forest certification on SFM, macro impact on forest policy and socio-politics, and the problems and challenges of forest certification in China. Here are some key conclusions of the paper:
     The development of certified products market and the policy support of key stakeholders have played an important role in the development of forest certification;
     Forest Certification, especially for FSC certification, has brought active impact on forest management on ground and forest policy on the macro level. The forest certification is indeed a catalyst for often substantial changes to diverse aspects of forest management approaches, rather than a means of rewarding operations that were already conducting excellent forestry before certification;
     The effective of forest certification is different and affected by different factors, such as forest certification scheme and relevant standards, the auditing quality and credibility of certification body, the equality between different key stakeholders and countries, cost efficient, the extent of certified forest products market’s development, the roles of the government and the laws and regulation framework in the country etc.;
     Forest certification also has brought the on ground active impact on the SFM in China. Forest management has been changed and improved a lot through the certification process. On the forest management aspect, the forest certification improved the awareness and capacity of forest companies on SFM, improve the forest management system and practice etc.; on the social aspect, the forest certification has contributed to respect the traditional and legal rights of local communities, improve the relationship between the certified company and local communities, and also protect the rights and benefits of employees and workers etc.; on the environmental aspect, forest certification has contributed to decrease the negative environmental effect of forest operations through environmental impact assessment, protect the soil and water resource, maintain and improve the bio-diversity and high value conservation forest, strengthen the administrative of the chemical use, the waste disposal, exotic species introduction, the genetically modified organism (GMO) application and forest conversion etc.; on the economic aspect, forest certification has brought some market benefits to the certified companies through the price premium, maintain wood market and increase the company’s image etc.;
     Forest certification also has brought a certain impact to forest policy and social politics on the macro-level in China, including promoting national scheme’s development, improving the awareness and capacity on SFM on the macro-level, incorporating the forest certification standards requirements in some forest standards and policy developing; promoting the discussion and involvement of different stakeholders in the forest policy etc.;
     There are still some different opinion and understanding of the impact of forest certification on SFM. Based on the survey in China, the forest managers think forest certification has more important impact on SFM than other stakeholders and have done big improvement to achiever forest certification. And some of the interviewees still think there are no indeed changes or impact of forest certification in China, and it’s just a business way that the forest managers and manufactures have to follow to ensure the international market access. And different understanding of the concept of SFM itself also bring confusion about the forest management and forest certification in practice; and
     There are still many issues and challenges existing which affect the effect and development of forest certification in China, including the lack of the incentive of forest certification with no support from the government policy, insufficient demand of market on the certified products, low cost-efficient; insufficient capacity of forest managers, certification bodies, consulting companies and also the certification administrative bodies; the credibility of forest certification; multi-certification schemes and difference of certification standards; the conflicts among forest certification standards and relevant forest policy and standards etc..
     Finally, based on the study, the paper puts forward the policy suggestions to promote the further development of forest certification and improve its effectiveness in China:
     Strengthen the dissemination and raise the awareness of forest certification in China,
     Develop the green public procurement policy and other incentive policies by the government,
     Fasten the development of national forest certification scheme,
     Provide the research and technique support,
     Develop domestic certified products market,
     Build the capacity on forest certification for key stakeholders,
     Strengthen the supervision and administrative of forest certification by the relevant adminstrative organization, and
     Develop or further revise the forest certification standards and relevant forestry technique standards.
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