Non-State Global Governance: Is Forest Certification a Legitimate Alternative to a Global Forest Convention?

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Non-State Global Governance Is Forest
Certification a Legitimate Alternative to a
Global Forest Convention?
Steven Bernstein Benjamin Cashore University o
f Toronto Yale University
November 2001
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Central Questions

• Is forest certification a viable alternative to a
  Global Forest Convention?
• What is required for a non-state Market Driven
  (NSMD) Governance System to gain rule-making
  authority?

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Main Argument

• As a non-state form of governance, certification
  requires political authority beyond the state.
  Legitimacy in the eyes of its primary audiences
  (producers and purchasers down the supply chain)
  is required for it to be viable as a form of
  governance to promote sustainable forest
  management.

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International Legitimacy

• Fitness with existing international norms and
  institutions of global environmental and economic
  governance.

Domestic Legitimacy

• Legitimacy of NSMD
• Legitimacy of the content of the particular
  certification scheme

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Conceptual/Background IssuesNSMD as a source of
authority
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Conceptual/Background Issues Forest
Certification

• Market-driven logic
• Recognizes those companies and landowners who
  voluntarily operate well-managed or sustainable
  forestlands
• Conception 1 Creates upward pressure on
  environmental standards (FSC)
• Conception 2 Gives approval to existing
  sustainable practices maintains business
  influence (CSA, SFI, etc.)

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Conceptual/Background Issues Forest Stewardship
Council

• Formed in 1993 following Rio
• Spearheaded by WWF
• Headquartered in Oaxaca, Mexico
• Accredits organizations (certifiers) that perform
  evaluations to certify company matches 10
  principles
• Regional standards developed based on principles

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Forest Stewardship Council
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International LegitimacyFit with international
social structure

• Rules and norms compete for social fitness to be
  acceptable to relevant audiences
• Current social structure in area of environment
  can be characterized as Liberal
  Environmentalism.
• Sovereignty over resources (Political)
• Free trade and open markets (Economic)
• Polluter Pays and Precautionary Principle
  (Management)

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International Legitimacy Compatibility with
multilateral institutions

• Failure of international negotiations
• Sovereignty
• Trade
• Aid
• Current stage, UNFF
• Therefore discussed by states in relation to
  trade and environment issue, not in relation to a
  forest treaty

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International Legitimacy Compatibility with
multilateral institutions

• WTO and trade negotiations primary setting
• Specifically under Technical Barriers to Trade
  agreement (TBT)
• Committee on Trade and Environment discussions
  unresolved. Open in principle, but conflicts
  remain.
• Main issue is PPMs
• Voluntary schemes possibly protected from trade
  action, but pressures for harmonization.

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Domestic/Regional Legitimacy How is rule-making
authority granted?

• Distinguishing different kinds of legitimacy
• Distinguishing different types of audiences who
  give, or dont give legitimacy
• Distinguishing legitimacy achievement
  strategies certification programs employ

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Legitimacy Granting Model for Forest
Certification Governance Systems
Certification Program (NSMD Governance System)
Types of Legitimacy
Profit maximizing behaviour Short term material
self interest Often result of boycott campaigns
Not very durable
Pragmatic
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Principled beliefs Right thing to do More
durable than pragmatic
Moral
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to do otherwise is unthinkable understandable
-durable
Cognitive
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External Audiences Identifying those that have
role in granting authority
Tier 1 Immediate Audience Tier 2 Civil Society
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Economic- Demand side
Economic Supply Side
State as actor
State - as institution
Consumer behavior
Political culture
Social Organizations
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Achievement Strategies
Manipulation
Change external audience support e.g. create
buyers groups, boycotts, advertising
Most Durable
Tier 2 Civil Society
Tier 1 Immediate Audience
Economic- Demand side
Economic Supply Side
State - as institution
State as actor
Social Organizations
Political culture
Consumer behavior
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Illustration of Model FSC Advertising as
Manipulation Techniques
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Illustration of Model FSC Advertising as
Manipulation Techniques
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End of Manipulation Achievement Strategy Carrot
Replaces Stick
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Achievement Strategies
Conform
Adapt to external pressures i.e. Change
certifications rules and procedures to adapt to
concerns from external audiences
Tier 2 Civil Society
Tier 1 Immediate Audience
Economic- Demand side
Economic Supply Side
State - as institution
State as actor
Social Organizations
Political culture
Consumer behavior
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Achievement Strategies
Inform
Advertise Target information to groups likely to
support you
Tier 2 Civil Society
Tier 1 Immediate Audience
Economic- Demand side
Economic Supply Side
State - as institution
Values and Attitudes
State as actor
Social Organizations
Consumer behavior
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Illustration of Model FSC Advertising as
Informing Technique
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Achievement Strategies
Manipulation
Conform
Select
Tier 2 Civil Society
Tier 1 Immediate Audience
Economic- Demand side
Economic Supply Side
State - as institution
State as actor
Social Organizations
Political culture
Consumer behavior
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What framework recognizes

• Legitimacy granting dynamic
• Certification dynamics about much more than
  simply profit maximizing behavior
• Intersection of self interest, moral and
  cognitive support from a wide range of external
  audiences
• Role of civil society as consumers and value
  holders is important

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Preliminary Propositions

• Each certification program (private governance
  system) had a core audience who supported it for
  moral reasons
• This moral support must be maintained, which
  constrains certification programs in their
  efforts to seek legitimacy from non-core
  audiences
• A certification program needs to achieve either
  pragmatic or moral legitimacy from economic
  supply side and demand side audiences to succeed

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Practical relevance

• Witnessing a wide range of innovative policy
  instruments to address global environmental
  challenges.
• Those who wish to see effective and durable
  governance in forest certification need to
  understand better the processes through which
  long-term legitimacy is granted and why some
  regions more open to certification than others
• This analysis of policy a crucial step in
  developing rigorous analyses for policy.