| United Nations | E/CN.17/IPF/1996/24 |
Economic and Social Council
Distr. GENERAL
15 August 1996
ORIGINAL: ENGLISH
COMMISSION ON SUSTAINABLE DEVELOPMENT
Ad Hoc Intergovernmental Panel on Forests
Third session
9-20 September 1996
Item 6 of the provisional agenda*
* E/CN.17/IPF/1996/13.
INTERNATIONAL ORGANIZATIONS AND MULTILATERAL INSTITUTIONS AND
INSTRUMENTS, INCLUDING APPROPRIATE LEGAL MECHANISMS
Programme element V.2: Contribution to consensus-building
towards the further implementation of the forest principles
Report of the Secretary-General
SUMMARY
The present report describes the preparatory work on programme element
V.2 (Contribution to consensus-building towards further implementation of the
forest principles) of the work programme of the Ad Hoc Intergovernmental Panel
on Forests and provides background information to facilitate the initial
discussion of the programme element. While the report of the Secretary-
General on programme element V.1 (E/CN.17/IPF/1996/23) focuses on
international organizations and multilateral institutions relevant to forests
and forest-related activities, the present report concentrates on the
appropriate legal mechanisms, describes the relevance of existing instruments
to the conservation, management and sustainable use of all types of forests
and attempts to define areas where there are gaps and overlaps with respect to
forest-related issues in these legal instruments and mechanisms.
CONTENTS
Paragraphs Page
INTRODUCTION ............................................... 1 - 6 3
RELEVANCE OF EXISTING LEGAL INSTRUMENTS TO THE CONSERVATION,
MANAGEMENT AND SUSTAINABLE USE OF ALL TYPES OF FORESTS ..... 7 - 25 4
A. Priority actions on forests ...................... 8 - 10 4
B. Overview and description of existing international
legal instruments relevant to forests ............ 11 - 16 7
C. Existing international legal instruments -
overlaps and gaps with respect to forest-related
issues: preliminary observations ................ 17 - 25 15
Annex. Studies dealing with forests and international legal instruments
and with international coordination for sustainable forest management .. 17
Tables
1. Identification of areas that might be relevant for an overall
assessment of forest-related issues, derived from the Forest
Principles and the work programme of the Ad Hoc Intergovernmental
Panel on Forests .................................................. 6
2. Existing international legal instruments related to forests ....... 9
3. Forest-related issues and actions identified in the programme of
work of the Ad Hoc Intergovernmental Panel on Forests and covered
by existing international legal instruments: a preliminary
overview of gaps and overlaps ..................................... 13
4. Links between chapter 11 of Agenda 21 and programme elements of the
work programme of the Ad Hoc Intergovernmental Panel on Forests ... 14
INTRODUCTION
1. The Commission on Sustainable Development, in determining the terms of
reference of the Ad Hoc Intergovernmental Panel on Forests, decided, inter
alia, that the work being carried out by international organizations and
multilateral institutions and under existing instruments, including the
Convention on Biological Diversity, the United Nations Convention to Combat
Desertification in those Countries Experiencing Serious Drought and/or
Desertification, particularly in Africa, the United Nations Framework
Convention on Climate Change, the Convention on International Trade in
Endangered Species of Wild Fauna and Flora and the International Tropical
Timber Agreement, in forest-related issues had to be taken into account, as
had forest-related decisions of the United Nations Conference on
Environment and Development. 1/
2. Subsequently, the Ad Hoc Intergovernmental Panel on Forests agreed at
its first session that, under category V of its programme of work
(International organizations and multilateral institutions and instruments,
including appropriate legal mechanisms), preparations would include a
report presenting an overview and description of existing institutions and
instruments, including their role and mandates vis-a`-vis programme
elements I-IV, and identifying institutional linkages, gaps, areas
requiring enhancement, and any areas of duplication (E/CN.17/IPF/1995/3,
para. 18, sect. V.1).
3. It was also agreed that "the deliberation of this programme element
would be based on a step-by-step consensus-building process and would be an
item for substantive discussion at the fourth session of the Panel"
(E/CN.17/IPF/1995/3, para. 18, sect. V.2).
4. At its second session, the Panel took note of the report of the
Secretary-General on programme element V.1 (E/CN.17/IPF/1996/12). The
report described the progress made in the preparatory work. It included a
general overview of the issue, a short update of the current status and a
description of the range of considerations involved in preparing for the
substantive discussion of the programme element at the Panel's third
session.
5. The present report is complementary to the objective of programme
element V.1, and is intended to present background information on the
existing legal instruments relevant to the conservation, management and
sustainable use of all types of forests. It provides an overview of the
Panel's programme of work in relation to the Non-legally Binding
Authoritative Statement of Principles for a Global Consensus on the
Management, Conservation and Sustainable Development of All Types of
Forests (Forest Principles) agreed upon at the United Nations Conference on
Environment and Development. It also provides an overview and description
of existing international legal instruments relevant to forests.
6. The report, which was prepared by the Human Development Institutions
and Technology Branch of the Division for Sustainable Development of the
Department for Policy Coordination and Sustainable Development as task
manager for chapter 39 (International legal instruments and mechanisms) of
Agenda 21, in close consultation with the secretariat of the Ad Hoc
Intergovernmental Panel on Forests, makes a preliminary attempt to identify
overlaps and gaps for the consideration of the Panel. It does not contain
any proposals for action.
RELEVANCE OF EXISTING LEGAL INSTRUMENTS TO THE CONSERVATION,
MANAGEMENT AND SUSTAINABLE USE OF ALL TYPES OF FORESTS
7. To achieve an overview of the relevance of existing international
legal instruments to the conservation, management and sustainable use of
all types of forests and their relation to issues on the global forest
agenda, the present report provides a comprehensive summary of multilateral
instruments that are relevant to forest use and conservation. The first
step includes a clustering of the Forest Principles and the Panel's work
programme, which allows for identifying areas of activity required for
conservation, management and sustainable use of forests (see table 1).
A. Priority actions on forests
8. The agenda outlined here is drawn from documents on forest-related
issues agreed to by the international community during the past few years,
in particular the Forest Principles, chapter 11 (Combating deforestation)
of Agenda 21 and the Panel's work programme. Five broad areas are
identified: conservation, management and sustainable use of forests;
research and assessment; trade in forest products; finance, policy and
institutions; and cooperation and coordination. While most actions in
these areas are to be undertaken at the national level, international
coordination and support play a key role and facilitate implementation at
the national level.
9. The Forest Principles and the Panel's work programme allow for the
clustering of components and areas, as follows:
1. Conservation, management and sustainable use of forests
(a) Protected areas establishment; unique ecosystems
(b) Protection of soil, water and climate functions of forest
lands
(c) Restoration of forest ecosystems affected by
drought/pollution
(d) Sustainable use; forest and land-use plans
(e) Participation of all stakeholders in decision-making
(f) Protection of traditional forest-related knowledge and
practices
2. Research and assessment
(g) Assessment of forest quality and quantity (at the national
and international levels)
(h) Valuation of multiple benefits and development of
methodologies for such valuation
(i) Criteria and indicators for sustainable forest management
(globally agreed; nationally and locally implemented)
3. Trade in forest products
(j) Supportive relationship between trade and sustainable forest
use; cost-internalization
(k) Market access/non-discriminatory practices in the global
forest-products trade
(l) Certification of sustainably managed forests and forest
products
4. Finance, policy and institutions
(m) Financial resources and mechanisms (at the national and
international levels)
(n) Technology transfer
(o) Capacity-building, institutional reform and policy
formulation (at the national level)
5. Cooperation and coordination
(p) Intersectoral coordination
(q) Cross-sectoral coordination; impacts on forests (national
and international)
(r) International institutional cooperation and policy
coordination
10. Table 1 shows how these five areas and their components are derived
from the Forest Principles and the Panel's work programme.
Table 1. Identification of areas that might be relevant for an
overall assessment of forest-related issues, derived
from the Forest Principles and the work programme of
the Ad Hoc Intergovernmental Panel on Forests
----------------------------------------------------------------------
FOREST PRINCIPLES IPF WORK COMPONENTS AREAS
PROGRAMME
----------------------------------------------------------------------
4, 7(b), 8(a), 8(f) I.5 Protected Areas/
Unique Ecosystems
---------------------------------------------------------
6(d), 8(e) I.1 Soil, Water and
Climate Functions Conservation,
--------------------------------------------------------- Management &
2(b), 8(a), 15 I.4 Restoration of Sustainable
Drought - Affected Use of
Ecosystems/Pollution Forests
---------------------------------------------------------
2(a), 2(b), 3(a), Sustainable Use,
6(b), 6(d), 8(g) I.1 Forest and Land
Use Plans
---------------------------------------------------------
2(d), 5(a), 5(b) I.1 Participation
---------------------------------------------------------
5(a), 12(d) I.3 Traditional Knowledge
------------------------------------------------------------------------
2(c), 12(a), 12(c) III.1(a) Assessment of Quantity
and Quality
---------------------------------------------------------- Research and
6(c) III.1(b) Valuation of Multiple Assessment
Benefits
----------------------------------------------------------
8(d) III.2 Criteria and Indicators
-------------------------------------------------------------------------
13(c) IV Supportive Environment,
Trade Relationship/
Cost Internalization
---------------------------------------------------------- Trade in
9(a), 13(a), IV Market Access Forest
13(b), 14 Products
----------------------------------------------------------
IV Certification
-------------------------------------------------------------------------
1(b), 7(b), 8(c),
8(g), 9(a), 10,
11, 12(d) II Financial Resources
---------------------------------------------------------- Finance,
8(c), 8(g), 11 II Technology Transfer Policy and
---------------------------------------------------------- Institutions
3(a), 12(b), 12(d) I.1 Institutional
Capacity-Building
-------------------------------------------------------------------------
3(c) I.2 Intra-Sectoral
Coordination
----------------------------------------------------------
Preamble (c), 2(b), Cross-Sectoral
7(a), 8(h), 9(a), Coordination
9(c), 13(d), 13(e) I.2 Cooperation
---------------------------------------------------------- and
3(b) V.1 International Coordination
Institutional
Cooperation and
Coordination
-------------------------------------------------------------------------
B. Overview and description of existing international legal
instruments relevant to forests
11. With the components of a forest agenda identified, a number of
international instruments relevant to that agenda are examined, as
suggested by the Panel (see para. 2 above). They include the following:
Convention on Biological Diversity (Biodiversity, CBD);
International Tropical Timber Agreement (ITTA);
United Nations Convention to Combat Desertification in those Countries
Experiencing Serious Drought and/or Desertification, particularly in
Africa (Desertification);
United Nations Framework Convention on Climate Change (Climate change,
UNFCCC);
Convention on International Trade in Endangered Species of Wild Flora
and Fauna (CITES).
12. Further, the following international legal instruments are also
incorporated in the overview:
Ramsar Convention on Wetlands of International Importance Especially
as Waterfowl Habitat (Ramsar);
UNESCO Convention for the Protection of the World Cultural and Natural
Heritage (World Heritage);
General Agreement on Tariffs and Trade/World Trade Organization
(GATT/WTO);
Convention Concerning Indigenous and Tribal Peoples in Independent
Countries (Indigenous People) (ILO Convention No. 169).
13. The analysis is limited to multilateral global instruments, and thus
no regional instruments have been included. This does not pre-empt their
significance in relation to forests. For example, there are many regional
environmental conservation conventions that, by their nature, include
forests. However, in order to facilitate comparison and identification of
possible gaps and overlaps on a global scale, only global instruments are
included.
14. None of the instruments listed above were specifically developed with
a direct orientation towards sustainable forest management, but they have
or may have a strong influence on the conservation, management and
sustainable use of forests.
15. An overview of these multilateral legal instruments is given in table
2. Information is provided on the status of the instrument; its scope and
objectives; the general relationship to forest conservation, management and
use; provisions with particular relevance to forests; recent debates in the
framework of the instrument and operational effectiveness; and its
potential role in a comprehensive forest strategy.
16. Table 3 provides an overview of the main areas of the Panel's work
programme that are covered by the international instruments shown in table
2. Table 3 also indicates areas where there may be gaps and overlaps
between the legal instruments. It should be noted that the areas covered
by each instrument are formulated in accordance with the chief objectives
of the instrument. For example, ITTA applies only to tropical timber, and
the reference to traditional knowledge under the Biodiversity Convention
refers mainly to issues related to biological diversity, and not to forests
in particular. Table 4 indicates links between programme elements of the
Panel's work programme and chapter 11 of Agenda 21.*
The relevant paragraphs of chapter 11 of Agenda 21 as identified
by Diana Ponce Nava in "Overview of international legal instruments related
to forests", draft paper prepared for discussion by the Independent Expert
Group of the Swiss-Peruvian Initiative on Forests, June 1996.
Table 2: Existing international legal instruments related to forests
------------------------------------------------------------------------------
Biodiversity (CBD)
------------------------------------------------------------------------------
Instrument status
- Adopted May 1992
- Entry into force 29.12.1993
- 168 Signatories, 152 Parties (July 1996)
Scope and Objectives
Worldwide; to conserve biological diversity, to sustainably use its
components, and to share fair and equitably the benefits arising out of the
utilization of genetic resources; Biological diversity includes diversity
within species, between species and of ecosystems, including terrestrial,
marine, and other aquatic ecosystems.
General relationship to forest conservation, management and use
Since a large component of the worldþs terrestrial biodiversity is found
in forests (forests are estimated to contain 70 per cent of the world's plant
and animal species), conservation and sustainable use of terrestrial
biodiversity can coincide, in some instances, with the conservation
and sustainable use of forests.
Provisions with particular relevance to forests
Articles 6 and 10(a) call for development of national strategies for in
situ conservation of biological diversity, their inclusion into cross-sectoral
plans, and national decision-making.
Article 14 calls for Environmental Impact Assessment to assess
cross-sectoral impacts on biodiversity.
Article 8, paras. (a),(b) and (c) call for setting aside protected areas,
and protecting unique and threatened ecosystems.
Articles 16, 18, and 21 call for technology transfer, scientific
cooperation, and new and additional financial assistance to developing country
Parties to meet the agreed full incremental costs of implementing the
convention.
Recent debates and operational effectiveness; potential role in a
comprehensive forest strategy
Terrestrial biodiversity is on the agenda for discussion at COP3 (November
1996), there will be renewed debate on the relationship of the CBD to forests.
The CBD can effectively address certain conservation and use-related forest
needs. In sofar as "sustainable use" can be operationalized, it will move
debate in this key area forward. The focus on biodiversity, however,
precludes much discussion on other key areas of concern on the global forest
agenda, like multiple benefits provided by forests, market access for forest
products, and non-discriminatory trade practices.
-----------------------------------------------------------------------------
ITTA
-----------------------------------------------------------------------------
Instrument Status
- Adopted 1983
- Entry into force 1.4.1985
- Expired 31.3.1994
- Renegotiated from 1992-1994
- Successor Agreement adopted 26.1.1994
- 44 Signatories, 36 Parties (July 1996)
- Not yet in force;
- Will be reviewed 4 years after entry into force
Scope and Objectives
Membership of International Tropical Timber Organization restricted to
producers and consumers of tropical hardwood timber; a commodity agreement to
facilitate the trade in tropical timber, and ensure exports from sustainable
sources by the year 2000.
General relationship to forest conservation, management and use
Trade in timber can fuel over-exploitation and loss of forest cover if
undertaken for short-term gain, or it can prevent conversion to competing land
uses, if cost-internalization and long-term sustainability is achieved.
Provisions with particular relevance to forests
Article 1(b) provides "a forum for consultation to promote
non-discriminatory timber trade practices".
Article 1(d) seeks "to enhance the capacity of members to implement a
strategy for achieving exports of tropical timber from sustainably managed
sources by the year 2000".
Article 1(j) encourages "...reforestation and forest management activities
as well as rehabilitation of degraded forest land, with due regard for the
interests of local communities dependent on forest resources".
Article 36 provides that nothing in the Agreement authorizes the use of
measures to restrict or ban international trade in timber and timber products.
Recent debates and operational effectiveness; potential role in a
comprehensive forest strategy
Incorporation of the (non-binding) Objective 2000 by both producer and
consumer countries (the latter in a separate statement attached to the ITTA)
has fuelled debate and action on internationally-agreed criteria and
indicators by which to measure sustainability. ITTA is also
one of the key fora for on-going timber certification debates.
----------------------------------------------------------------------------
Desertification
----------------------------------------------------------------------------
Instrument Status
- Adopted June 1994
- Not yet in force; requires 50 ratifications
- 115 signatures, 34 Parties (July 1996)
Scope and Objectives
Worldwide, with special emphasis on Africa; to combat desertification and
mitigate the effects of drought; involving long-term strategies that focus on
improved productivity of land and the rehabilitation, conservation and
sustainable management of land and water resources, leading to improved living
conditions, in particular at the community level.
General relationship to forest conservation, management and use
Loss of forest cover contributes to desertification, given the
hydrological, climate and soil stabilization functions performed by forests.
In addition to this biological link, forest loss and desertification are
linked in that they are both caused by underlying socio-economic conditions.
Strategies to deal with desertification are likely to mitigate forest loss in
certain areas, and vice-versa.
Provisions with particular relevance to forests
Article 8.3(b)(i) of the Regional Implementation Annex for Africa states
as one of the measures to conserve natural resources the "integrated and
sustainable management of natural resources", including forests.
Article 4(c) of the Regional Annex for Latin America and the Caribbean
suggest to take into account the "management of agricultural,
livestock-rearing, forestry and multipurpose activities".
Article 10.4 calls for national action programmes to address a range of
issues, including "the promotion of alternative livelihoods, and improvement
of national economic environments".
Recent debates and operational effectiveness; potential role in a
comprehensive forest strategy
The convention emphasizes the need for integrated, cross-sectoral
responses to the problem of land degradation. It is also noteworthy in its
emphasis on human needs in formulating desertification control strategies.
Article 8 of the Convention refers to the need for coordination with other
conventions, in particular CBD and UNFCCC. It is foreseen that the
Convention will enter into force in 1997. The operational effectiveness of
the convention will depend upon the provision of adequate financial resources,
and the policy and institutional reforms necessary to implement its provisions
and Annexes.
----------------------------------------------------------------------------
Climate Change (UNFCCC)
----------------------------------------------------------------------------
Instrument Status
- Adopted May 1992
- Entry into force 21.3.1994;
- 166 Signatories, 159 Parties (July 1996)
Scope and Objectives
Worldwide; to stabilize greenhouse gas concentrations in the atmosphere;
and thereby prevent human-induced global warming.
General relationship to forest conservation, management and use
Since standing forests serve as both reservoirs of carbon, and sinks for
atmospheric carbon dioxide, maintaining or increasing forest cover can
mitigate the threat of climate change, by reducing the level of greenhouse
gases in the atmosphere.
Provisions with particular relevance to forests
Article 4.1(d) calls for the "enhancement, as appropriate, of sinks and
reservoirs of all greenhouse gases not controlled by the Montreal Protocol,
including ... biomass, forests, and oceans..."
Article 4.1(a) calls on all Parties to develop "national inventories of
anthropogenic emissions by sources, and removals by sinks" of all greenhouse
gases.
Article 4.2 (a) and (b) call on developed countries to stabilize emissions
to 1990 levels by 2000, and allows this to be achieved -individually or
jointly."
Recent debates and operational effectiveness; potential role in a
comprehensive forest strategy
Joint implementation is one of the more contentious provisions of the
Convention. As agreed by COP1 in 1995, joint activities in a pilot phase
would be voluntary, and would not replace existing sources of funds or
technical assistance for developing countries.
While maintenance or enhancement of forest cover for carbon sequestration
meets certain forest-related needs, it is useful only if part of a broader
framework, where the other socio-economic and ecological functions of forests
are not ignored.
-----------------------------------------------------------------------------
CITES
-----------------------------------------------------------------------------
Instrument Status
- Adopted 1973
- Entry into force 1.7.1975
- 132 Parties (June 1996)
Scope and Objectives
Worldwide; to protect certain endangered species of wild flora and fauna
from over-exploitation via a system of import/export permits.
General relationship to forest conservation, management and use
Given the potential for over-exploitation of an endangered tree species as
a result of trade, regulation of trade can be an important mechanism by which
to ensure sustainable extraction and use.
Provisions with particular relevance to forests
Article II lays out the principles governing the listing of a species in
one of CITES three appendices, from most restrictive trade regime to least so.
Other articles describe the permit system, monitored by a State's management
and scientific authority, by which trade in listed species is to be regulated.
Recent debates and operational effectiveness; potential role in a
comprehensive forest strategy
There are approximately 15 tree species currently listed in CITES
appendices. At the last few meetings of the COP it was debate to move certain
species of African and American mahogany in Appendix II. Timber certification
is also being debated under CITES.
In 1994, a temporary Timber Working Group has been created.
------------------------------------------------------------------------------
Ramsar
------------------------------------------------------------------------------
Instrument Status
- Adopted 1971
- Entry into force 21.12.1975
- Protocol to amend the Convention adopted in 1982, entered into force
1.10.1986
- 92 ratifications as of 1996
Scope and Objectives
Worldwide; to protect wetlands, recognizing the fundamental ecological
functions and their economic, cultural, scientific and recreational values
General relationship to forest conservation, management and use
Wetlands include intertidal forested lands, including mangrove swamps,
nipa swamps, tidal freshwater swamp forests, and seasonally flooded forests
(1990 Revised Ramsar site criteria and guidelines).
Provisions with particular relevance to forests
Article 1 defines wetlands, including the forested areas mentioned in the
second column.
Article 2 calls for Parties to designate wetlands of international
importance within their territories; and
Article 3 calls for conservation and wise use of these areas.
Recent debates and operational effectiveness; potential role in a
comprehensive forest strategy
At present, over 775 wetlands have been identified, totalling
approximately 53 million hectares. The convention contributes to the forest
agenda by raising awareness about, and helping to conserve, some of the unique
and threatened forest ecosystems.
----------------------------------------------------------------------------
World Heritage
----------------------------------------------------------------------------
Instrument Status
- Adopted 1972
- Entry into force 17.12.1975
- 146 Parties (July 1996)
Scope and Objectives
Worldwide; to establish an effective system of collective protection of
cultural and natural heritage of outstanding universal value, in accordance
with modern scientific methods.
General relationship to forest conservation, management and use
Natural heritage includes unique landscapes, land formations, and
ecosystems types. Forests fall under this category.
Provisions with particular relevance to forests
In defining "natural heritage" Article 2 includes "habitat of threatened
species of animals and plants of outstanding universal value from the point of
view of science or conservation".
Article 4 calls on States to identify, protect, conserve, and transmit to
future generations their cultural and natural heritage.
Recent debates and operational effectiveness; potential role in a
comprehensive forest strategy
Approximately 30 forests had been designated as World Heritage sites as of
1995. While recognizing State sovereignty over these sites, the convention is
unique in highlighting the international stake in them, and the global
responsibility for their protection.
----------------------------------------------------------------------------
GATT/WTO
----------------------------------------------------------------------------
Instrument Status
- Entered into force in 1948
- Additional Uruguay Round Agreements (URAs) signed 15 April 1994. They
provide inter alia for the creation of a new WTO, and include the Agreement on
Technical Barriers to Trade (ATBT)
- GATT ceased to exist 31 December 1995
- 123 Members to WTO (July 1996)
Scope and Objectives
Worldwide; the chief objective of GATT/ WTO is to provide a secure and
predictable trading environment, as well as a continuing process of market
opening, in order to promote worldwide economic growth. It is based on three
key principles: the most favoured nation obligation (Article I), the national
treatment obligation (Article III) and the prohibition on quantitative
measures (Article XI).
General relationship to forest conservation, management and use
See also under ITTA. Trade liberalisation can have both positive and
negative effects on the exploitation of natural resources. Further, the URAs
will result in reductions in tariff barriers to trade in wood and wood
products (pulp, paper, furniture), which will result in higher prices to
producers, and/or trade creation brought about by lower prices to consumers.
Environmental problems stem mainly from the logging stage.
Provisions with particular relevance to forests
Article XX, which is subject to different legal interpretations, provides
in its paras. (b) and (g) for exceptions to GATT obligations for certain
specified purposes: para. (b), inter alia, to protect plant life, and para.
(g) for measures "relating to the conservation of exhaustible
natural resources". The preamble to Article XX states that its exceptions may
not be applied in a manner which would constitute a means of arbitrary or
unjustifiable discrimination between countries where the same conditions
prevail or a disguised restriction on international trade. The exceptions of
Article XX come into consideration for environmental or other purposes when a
national measure raises a bound tariff without compensation, imposes a quota,
denies national treatment or otherwise infringes a benefit accorded to another
party.
Recent debates and operational effectiveness; potential role in a
comprehensive forest strategy
There is an ongoing debate on how certain WTO rules should be interpreted,
and possibly changed, to reflect environmental concerns. For example, the
circumstances under which countries are permitted to use trade measures to
protect the environment, and the scope of the exceptions for environmental
measures provided by Art. XX are still controversial. Also under discussion is
the inclusion of trade restrictions in future multilateral environmental
agreements. - The ATBT covers technical regulations concerning products and
their process and production methods. It is not clear if schemes for
certification and eco-labelling of products made of sustainably produced
timber will be subject to the ATBT. - FPs 13 and 14 are considered to be
broadly consistent with the principles and practices of GATT and WTO.
---------------------------------------------------------------------------
Indigenous People
---------------------------------------------------------------------------
Instrument Status
- Adopted in 1989 by the General Conference of the ILO (328 votes in favour, 1
against, 49 abstentions)
- Revises the Indigenous and Tribal Populations Convention of 1957
- Entry into force 5.9.1991
- 9 ratifications as of July 1996
Scope and Objectives
Worldwide; Parties undertake the responsibility for developing, with the
participation of the peoples concerned, coordinated and systematic action to
protect the rights of indigenous and tribal people and to guarantee respect
for their integrity.
General relationship to forest conservation, management and use
Many indigenous and tribal peoples live in forests. They aspire to
exercise control over their own ways of life and economic development, and
make distinctive contributions to ecological cooperation and understanding
Provisions with particular relevance to forests
Article 15.1 states that the rights of people "to the natural resources
pertaining to their lands shall be specially safeguarded", and this includes
the right "to participate in the use, management and conservation of these
resources";
Article 7 provides for Governments to "take measures, in co-operation with
the peoples concerned, to protect and preserve the environment of territories
thy inhabit";
Article 23 states that technical and financial assistance shall be
provided wherever possible, "taking into account the traditional technologies
and cultural characteristics of these peoples".
Recent debates and operational effectiveness; potential role in a
comprehensive forest strategy
A comprehensive forest strategy should include reference to participation
of indigenous people in national land use plans and programmes in implementing
the Forest Principles (IPF Work Programme I.1); the traditional forest-related
knowledge, innovations and practices of indigenous people, as well as fair and
equitable sharing arising from these, are encouraged to be taken into
account (IPF Work Programme I.3). This is in accordance with Forest
Principles 5(a) and 12(d).
-----------------------------------------------------------------------------
Table 3. Forest-related issues and actions identified in the programme of
work of the Ad Hoc Intergovernmental Panel on Forests and covered by existing
international legal instruments: a preliminary overview of gaps and overlaps
----------------------------------------------------------------------------
I.1 I.2 I.3 I.4 1.5
Forest & Underlying Tradit.forest- Rehab. Low forest
land use causes of related- affected cover,
strategies/ forest loss knowledge areas/ unique
participa- airborne ecosystems
tion pollution
---------------------------------------------------------------------------
Biodiver- A A B A B
sity
---------------------------------------------------------------------------
ITTA A A
---------------------------------------------------------------------------
Deserti- A B A B
fication
---------------------------------------------------------------------------
Climate
Change
---------------------------------------------------------------------------
CITES
---------------------------------------------------------------------------
Ramsar A A
---------------------------------------------------------------------------
World
Heritage A A
---------------------------------------------------------------------------
GATT/WTO
---------------------------------------------------------------------------
Indigenous
people A B
---------------------------------------------------------------------------
Overlaps C C C C C
---------------------------------------------------------------------------
Gaps E E F F F
---------------------------------------------------------------------------
---------------------------------------------------------------------------
II III.1 III.2 IV V.I
Finance, Research Criteria Trade in Intern.
technology and and forest institutions/
transfer, valuation indicators products leg.instr.
internat.
coordi-
nation
----------------------------------------------------------------------------
Biodiver-
sity A A A
----------------------------------------------------------------------------
ITTA A A A B
----------------------------------------------------------------------------
Desertifi-
cation A A A
----------------------------------------------------------------------------
Climate
Change A A A
----------------------------------------------------------------------------
CITES B
----------------------------------------------------------------------------
Ramsar A
----------------------------------------------------------------------------
World
Heritage A A
----------------------------------------------------------------------------
GATT/WTO A A B A
----------------------------------------------------------------------------
Indigenous
people
----------------------------------------------------------------------------
Overlaps D C C D C
----------------------------------------------------------------------------
Gaps E E E E F
----------------------------------------------------------------------------
KEY:
A = partially covered
B = well-covered
C = some overlap
D = significant overlap
E = some gaps
F = significant gaps
Table 4. Links between chapter 11 of Agenda 21 and programme elements of the
work programme of the Ad Hoc Intergovernmental Panel on Forests
-----------------------------------------------------------------------------
Agenda 21 4(a) 1 3(g) 1 8(b)
Chapter 11 10 10 4(a) 3(g)
(paras.) 11 13(j) 13(b) 10
12 (b) 21(a) 14(d) 15(b)
14 (a)
14 (b)
31 (a)
-----------------------------------------------------------------------------
IPF Programme I.1 I.2 I.3 I.4 I.5
Elements Forest & Underlying Tradit. Rehab. Low forest
land use causes of know- affected cover,
strategies/ forest ledge areas/ unique
participa- loss airborne eco-
tion pollution systems
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Agenda 21 4 24 1 3(d) 3(g) 1
Chapter 11 5 25 2 22(d) 10 3
(paras.) 6 26 3 23 13(e) 5
12(b) 28 4(a) 26 20 12(e)
12(e) 32 13 29 21(b) 15(d)
14(c) 33 14 31(b) 22(g) 24
16 34 17 33(a) 22(k) 26
17 36(e) 20 23(c) 31
18(a) 38 21 23(d) 35
19 39 31 24 39
22(g) 40 Section D
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IPF Programme II III.1 III.2 IV V.I
Elements Finance, Research Criteria Trade in Internat.
technology and and forest institutions/
transfer, valuation Indicators products legal
internat. instr.
coordination
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C. Existing international legal instruments - overlaps and gaps with
respect to forest-related issues: preliminary observations
17. Given the scope and substantive content of the nine legal instruments
examined above, overlaps and gaps in their treatment of forest-related issues
can be identified in a preliminary way, as set out below: Overlaps
18. There is a presumable overlap in issues related to finance, technology
transfer and international coordination. Several instruments contain
provisions on such issues. They vary from encouraging coordination of
activities with other international agreements, to the provision of financial
resources to developing country parties to facilitate compliance.
19. Trade in forest products can be viewed as another area in which there are
overlaps. Distinct instruments cover various facets of trade in forest
products and services, varying from endangered tree species to tropical
hardwood timber. However, there is a general lack of synergy between
trade-related instruments and environmental conventions at the international
level.
20. Another apparent area of overlap is in actions calling for the
conservation of natural resources, including forest lands. Most environmental
legal instruments are conservation-oriented. Although not specifically aimed
at forests, they may include forest lands or unique types of forests. Gaps
21. It could be concluded that there is a gap regarding the lack of
international coordination with regard to forest-related activities, including
lack of coordinated policy formulation at the global level, and lack of
coordinated financial assistance for conservation and sustainable management.
None of the existing international legal instruments, as they currently stand,
may have the potential to fully ensure a coordinated approach in international
policy, financial issues and integration at the institutional level regarding
forests and forest-related activities. A variety of plans and strategies are
currently required to meet the objectives of each individual agreement, which
might be competing. They also raise concerns regarding bureaucratic and
financial burdens, especially for developing countries.
22. Among the most evident gaps is the lack of provision in existing legal
instruments for reliable information on forest quantity and quality,
including a lack of information on the multiple benefits provided by
forests, as well as valuation methodologies. These are critical components
of the Forest Principles, chapter 11 of Agenda 21 and the Panel's work
programme. Comprehensive and coordinated research and assessment activities
with regard to forests and forest-related activities are not mandated by
any existing international legal instrument.
23. In the area of management and sustainable use of forests, incentive
systems, the involvement of the private sector, multinational codes of
conduct, and environmental impact assessments that can discern
cross-sectoral impacts on forests are not well covered within the Forest
Principles, the Panel's work programme, or any other legal instrument.
While the Convention on Biological Diversity calls for private sector
involvement and incentive systems with regard to biodiversity, the focus is
directed more at issues relating to access to genetic resources and the
role of the biotechnology industry than at general private sector
involvement in the transition to sustainable forest management.
24. The protection and use of traditional forest-related knowledge and its
application to sustainable forest management is not covered by existing
international legal instruments. The Convention on Biological Diversity
and especially the Convention Concerning Indigenous and Tribal Peoples in
Independent Countries include provisions which recognize the importance of
indigenous and traditional knowledge in general, not pertaining to forests
in particular.
25. There is at present no global international legal instrument
addressing the specific needs and requirements of countries with low forest
cover, or concerning the effects of airborne pollution on forests.
Notes
1/ Official Records of the Economic and Social Council, 1995,
Supplement No. 12 (E/1995/32), chap. I, sect. D, annex I; and
E/CN.17/IPF/1995/3, annex III.
Annex
STUDIES DEALING WITH FORESTS AND INTERNATIONAL LEGAL
INSTRUMENTS AND WITH INTERNATIONAL COORDINATION FOR
SUSTAINABLE FOREST MANAGEMENT
The present annex contains a list of studies having a bearing on
elements V.1 and V.2 of the Panel's work programme. These studies,
together with the texts of international instruments related to forests,
could provide useful background for further work in this area.
"Report of the Independent Expert Group: Swiss-Peruvian Initiative on
Forests", final draft version, July 1996; meetings held at Geneva,
4-7 March and 24-28 June 1996.
"Overview of international legal instruments related to forests",
draft paper prepared by Diana Ponce Nava for discussion by the
Independent Expert Group of the Swiss-Peruvian Initiative on Forests,
June 1996.
The International Forests Regime: Legal and Policy Issues,
Richard G. Tarasofsky, International Union for Conservation of Nature
and Natural Resources (IUCN) Forest Conservation Series, December
1995.
"Assessing the advantages and disadvantages of a legally binding
instrument on forests", FAO Committee on Forestry, Secretariat Note of
January 1995, prepared for the twelfth session of the Committee, Rome,
13-16 March 1996.
"Review of the Forest Principles: 20 months after Rio", paper
prepared by the United Nations Environment Programme for the FAO/UNEP
Workshop on the Follow-up to UNCED and Implementation of the Forest
Principles, Bangkok, 16-19 January 1995.
Issues and Ideas: Opportunities to Save and Sustainably Use the
World's Forests Through International Cooperation, Nigel Sizer for
World Resources Institute, December 1994.
"References to UNCED Forest Principles on the topics under
consideration by the Intergovernmental Working Group on Forests
(IWGF)", prepared by Kathryn Buchanan, Canadian Forest Service, for
the second Meeting of IWGF, Ottawa, October 1994.
"Dialogue on forests: approaches, opportunities and options for
actions", IWGF Report, October 1994.
"A Study on coordination in sustainable forestry development", paper
prepared by the Forest Advisors Group, June 1993.
Quest for a Global Forest Strategy: Barking up the Wrong Tree?,
G. K. Rosendal, The Fridtjof Nansen Institute, June 1993.
"Model for a Convention for the Conservation and Wise Use of Forests",
Global Legislators Organization for a Balanced Environment (GLOBE),
April 1992.
"World forestry leadership", Canadian International Development Agency
(CIDA) Discussion Paper, Roberts, Pringle and Nagle, December 1991.
"Towards an international instrument on forests", background paper
prepared by J. S. Maini for the Informal Intergovernmental
Consultation, 21-22 February 1991, Geneva.
"An international instrument on forests", J. S. Maini and
Franz Schmithu"sen. Department Wald- und Holzforschung,
Arbietsberichte. Internationale Reihe Nr. 91/5 ETH, 1991. Zurich and
Geneva.
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