| United Nations | E/CN.17/1997/2/Add.10 |
Economic and Social Council
Distr. GENERAL
10 March 1997
ORIGINAL: ENGLISH
COMMISSION ON SUSTAINABLE DEVELOPMENT
Fifth session
7-25 April 1997
Overall progress achieved since the United Nations
Conference on Environment and Development
Report of the Secretary-General
Addendum
Combating deforestation (chapter 11 of Agenda 21) and the
Non-Legally Binding Authoritative Statement of Principles
for a Global Consensus on the Management, Conservation and
Sustainable Development of All Types of Forests *
(*The present report was prepared by the Food and Agriculture Organization of
the United Nations (FAO) as task manager for chapter 11 of Agenda 21 and the
Forest Principles, in accordance with arrangements agreed to by the Inter-
Agency Committee on Sustainable Development (IACSD). It is the result of
consultation and information exchange among United Nations agencies,
international and national science organizations, interested government
agencies and a range of other institutions and individuals.)
CONTENTS
Paragraphs Page
INTRODUCTION ................................................. 1 3
I. KEY OBJECTIVES ......................................... 2 - 4 3
II. AREAS OF PROGRESS ...................................... 5 - 23 4
A. Implementation of the United Nations Conference on
Environment and Development decisions through
national forests and land-use plans ................ 6 - 8 4
B. International cooperation in financial assistance
and technology transfer ............................ 9 - 15 5
1. Funding ........................................ 9 - 12 5
2. Technology transfer ............................ 13 - 15 6
C. Forest assessment .................................. 16 - 20 6
D. Criteria and indicators for sustainable forest
management ......................................... 21 - 22 7
E. Trade in forest products ........................... 23 7
III. SUCCESSES AND PROMISING CHANGES ........................ 24 - 30 8
A. At the global and the regional level ............... 24 - 26 8
B. At the national level .............................. 27 - 30 8
IV. UNFULFILLED EXPECTATIONS: OBSTACLES TO OVERCOME ....... 31 - 41 9
A. Policy constraints ................................. 32 - 35 9
B. Country capacity ................................... 36 10
C. Investment and funding ............................. 37 10
D. International cooperation and coordination ......... 38 - 41 10
V. EMERGING PRIORITIES AND RECOMMENDATIONS ................ 42 - 47 11
A. Implementation of forest-related decisions of the
United Nations Conference on Environment and
Development at the national and international
levels, including an examination of sectoral and
cross-sectoral linkages ............................ 43 11
B. International cooperation in financial assistance
and technology transfer ............................ 44 11
C. Scientific research, forest assessment and the
development of criteria and indicators for
sustainable forest management ...................... 45 12
D. Trade and environment relating to forest products
and services ....................................... 46 12
E. International organizations and multilateral
institutions and instruments including appropriate
legal mechanisms ................................... 47 12
INTRODUCTION
1. The present report reviews progress made in the implementation of the
objectives set out in chapter 11 of Agenda 21 (Combating deforestation) 1/ and
in the Non-legally Binding Authoritative Statement of Principles for a Global
Consensus on the Management, Conservation and Sustainable Development of All
Types of Forests (the Forest Principles) 2/, taking into account the decisions
taken by the Commission on Sustainable Development on these subjects at its
third session in 1995, including the decision to establish the open-ended Ad
Hoc Intergovernmental Panel on Forests under its aegis.
I. KEY OBJECTIVES
2. The Forest Principles constitute a non-legally binding "forest
instrument", agreed upon at the United Nations Conference on Environment and
Development, that provides a framework for the sustainable development of all
types of forests worldwide, while recognizing the sovereign right of countries
over their forest resources, as well as the right to manage their forest
resources according to their own goals and policies.
3. Chapter 11 of Agenda 21 urges countries to develop forest strategies and
concrete plans of action for sustainable forest development. Specifically, it
refers to the Forest Principles and contains a comprehensive description of
the various policy areas that can address deforestation and promote
sustainable forest management. The recommended measures cover a broad range
of actions and emphasize the importance of ensuring the participation of
affected population and interested groups in these actions. The Forest
Principles and chapter 11 are therefore regarded as providing a broad and
balanced foundation for the conservation, management and sustainable
development of all types of forests.
4. At its third session in April 1995, the Commission on Sustainable
Development stressed the need to further assess actions already undertaken
and, against that background, to propose options for further action. The need
to sustain forests and to implement new sustainable forest management schemes
was recognized as a major challenge. The Commission recognized that particular
attention should be focused on the holistic approach towards environmental and
developmental functions of forests; sustainable forest management;
conservation of biological diversity; conservation of soil and water
resources; restoration; forest products and services; and participation of
major groups, particularly indigenous people and local communities. The
Commission considered that further actions were required to improve the
conservation and sustainable management of existing forests, to restore
degraded forests and, where possible, to create new forests, including
plantations, in order to reduce pressure on natural forests, and to increase
wood supplies. In order to pursue consensus and formulation of coordinated
proposals for such action, the Commission decided to establish an open-ended
Ad Hoc Intergovernmental Panel on Forests, under its aegis. The key issues
for priority action included 11 programme elements grouped in the following
interrelated categories:
(a) Implementation of the United Nations Conference on Environment and
Development decisions through the formulation and implementation of national
forests and land-use plans taking into account sectoral and cross-sectoral
linkages, causes of deforestation, traditional forest-related knowledge,
restoration of ecosystems affected by desertification or pollution and needs
of countries with low forest cover;
(b) International cooperation in financial assistance and technology
transfer;
(c) Forest assessment and development of criteria and indicators for
sustainable management;
(d) Trade and environment relating to forest products and services;
(e) International organizations and multilateral institutions and
instruments including appropriate mechanisms.
II. AREAS OF PROGRESS
5. In view of the ongoing policy discussion in the ad hoc Intergovernmental
Panel on Forests, the areas of progress have been organized around the
structure of this debate. However, this report does not consider progress
only in relation to the Panel, but covers a much wider area.
A. Implementation of United Nations Conference on
Environment and Development decisions through
national forests and land-use plans
6. Significant progress has been made during the last years at the planning
and policy levels. In most countries, forestry and forest-related activities
are undergoing radical and complex changes including in particular:
(a) Balancing the increased and more diversified demand on forest lands
and forest services; integrating all stakeholders, including indigenous and
local communities, community-based organizations, non-governmental
organizations and the private sector, in the decision-making processes;
(b) Adapting to a new balance between the roles of government
institutions and the private sector as well as to that involving central-level
versus regional- and local-level institutions;
(c) Participating actively in the resolution of cross-sectoral issues,
particularly those regarding land use, poverty, food security, energy needs
and environmental protection.
7. Fifty developing countries have recently completed a strategic planning
exercise and another 20 countries are currently engaged in such processes.
The majority of these strategic planning processes are supported by external
assistance including from the United Nations Development Programme (UNDP), the
Food and Agriculture Organization of the United Nations (FAO), the Asian
Development Bank and several bilateral agencies. On its side, the World Bank
supports policy formulation processes based on forest sector reviews. In
addition, national environmental action plans and national sustainable
development strategies which are formulated in several countries include some
aspects of sustainable forest development.
8. In several industrialized countries, national strategies for sustainable
forest management have recently been formulated and adopted by parliaments.
National action plans have been outlined in some cases. A total of about 10
developed countries are engaged in such activities and another 10 countries
are about to start similar processes.
B. International cooperation in financial assistance
and technology transfer
1. Funding
9. According to chapter 11, of the estimated US$ 31.25 billion per year
required for sustainable forest management, about US$ 25.58 billion per year
must be raised domestically, and this is a daunting task for many countries.
However, the richest countries in terms of forest resources and forest
industries are demonstrating enhanced capacity and capability to raise
additional revenues domestically through the selling of forest products and
the collection of royalties and other forms of fees and taxes. The use of
market-based instruments (MIBs) has been quite successful in these developed
and developing countries in generating additional revenues and reducing the
need to resort to fiscal means such as fees and charge systems.
10. In contrast, countries with limited forest cover, low per capita income
and few forest-based industries are experiencing severe difficulties in trying
to find domestic, private and public funding. In these countries,
international cooperation is expected to play a critical role in financing the
conservation and the sustainable management of forests. Forest sector
official development assistance (ODA) increased from US$ 0.8 billion in 1988
to US$ 1.56 billion in 1994, but seems to have reached a plateau, despite the
fact that it represents only 27 per cent of the international assistance needs
of the forest sector as specified in chapter 11.
11. In some cases, ODA has been used successfully to leverage private sector
investment. Innovative mechanisms for financing sustainable development such
as joint implementation and debt-for-nature swaps, are applied. Most of these
schemes have been proposed with the marketability of forest-dependent
resources and services, including biodiversity and carbon sequestration, in
mind.
12. Private capital flows into the forest sector have been rising and gaining
in significance as a source of funding and are now five times greater than
ODA. Several successful cases show that the partnership of an established
traditional forest sector business with an emerging sustainable development
enterprise can be an effective way to combine business capabilities and
sustainable forest management and thus increase the likelihood of survival for
the emerging business. There are now reports of pioneering examples of a
bilateral aid agency assisting in covering the environmental externality costs
associated with the transition of an industrial business to sustainable forest
management. In addition, there are cases of successful private sector
participation in large- scale reforestation/reafforestation programmes.
2. Technology transfer
13. Progress has been made in technology transfer and capacity-building in
the following priority areas: dissemination of information on how to improve
land-use planning and improvement of forest yields; development and
implementation of national forest strategies; technology and methods that
could reduce environmental damages due to current forestry practices; species
research for tree improvement for rehabilitation; reforestation and nursery
development; new and renewable sources of energy; and environmentally sound
logging technologies. However, areas such as trade in lesser-used species,
valuation of forests and forest resources and traditional forest-related
knowledge have received inadequate attention. There is also inadequate
provision of equipment and facilities for trained scientists. Forest research
is inadequate when measured against the significance of forests.
14. Transfer of technology from developed to developing countries takes
different forms and involves private entrepreneurs, bilateral and multilateral
assistance agencies, the Consultative Group on International Agricultural
Research (CGIAR), regional research institutions, non-governmental
organizations and foundations. Foreign investment in developing countries is
often associated with a technology package, including training of experts and
workers, management and marketing contracts, foreign equipment and patented
technology. Examples of all these types of cooperation can be found in
forest-based industries of several developing countries.
15. Sharing of experiences among developing countries has increased during
the last years. This technical cooperation among developing countries (TCDC)
and among countries in transition (TCCT) is strongly supported by United
Nations organizations, in particular UNDP and FAO.
C. Forest assessment
16. A global framework for the global Forest Resources Assessment 2000
(FRA 2000) and the core set of definitions were agreed upon in an expert
consultation organized by FAO in June 1996 in Kotka (Finland) with the
European Community (EC), FAO and the United Nations Environment Programme
(UNEP).
17. A basis of tested methods and data organization mechanisms is in place.
The tools available include assessment based on analysis of existing reliable
country information, sampling of high resolution satellite data, organization
of existing reliable information using geographical information systems (GIS),
questionnaires supported by a network of country correspondents and special
studies undertaken by consultants or cooperating partners.
18. A strategy for FRA 2000 has been prepared by FAO, and inter-agency
agreements are under consideration to facilitate cooperation and
collaboration.
19. Much effort has been undertaken to increase national capacities in forest
assessment in particular by FAO, the European Community and the International
Union of Forest Research Organizations (IUFRO). More than 50 countries in the
world have now established mechanisms and institutions for continuous national
resources assessment.
20. Major initiatives such as the Africover Programme and the Land Cover/
Land-use Classification are under way through international partnerships
agreements, paving the way for gathering of quality data, and better
assessment of resources and monitoring of changes.
D. Criteria and indicators for sustainable forest management
21. Several international initiatives, undertaken a few years ago, to develop
criteria and indicators for sustainable forest management (the Helsinki
Process, the Montreal Process, the International Tropical Timber Organization
(ITTO) Process) have followed up their actions towards implementation.
Meanwhile new initiatives have been taken such as the Tarapoto Process, the
Dry Zone of Africa initiative, and that in the Near East region. All these
initiatives are considering criteria and indicators at the national level and
some countries have already implemented these criteria and indicators for
monitoring the sustainability of their forest management and development.
22. At the local level, some progress has been achieved in a limited number
of countries. Forest management unit-level criteria and indicators have been
tested under the coordination of the Centre for International Forestry
Research (CIFOR) in a few temperate and tropical countries. Some countries
have established forest management pilot projects which include the testing
and implementation of forest management unit-level criteria and indicators.
Countries with a long historical tradition in forest management, in particular
in Europe, have introduced new criteria of sustainability in their forest
management unit-level practices.
E. Trade in forest products
23. The Uruguay Round of multilateral trade negotiations has made significant
progress in improving market access for forest products, especially in terms
of reducing tariffs for all types of forest products. However, several
initiatives taken to promote the attainment of sustainable management such as
certification and labelling of forest products may be non-tariff barriers to
international trade in forest products. These initiatives have been developed
largely during the last two years; notable is the one developed by the Forest
Stewardship Council which has also developed rules of accreditation for
certifiers. Forest products market transparency and forest management cost
internalization are two still unsolved issues. The World Trade Organization
is continuing its work to ensure that trade and environment are mutually
supportive in the area of forest products and services.
III. SUCCESSES AND PROMISING CHANGES
A. At the global and the regional level
24. The setting up of the Ad Hoc Intergovernmental Panel on Forests under the
auspices of the Commission on Sustainable Development has allowed for
substantial progress towards a more coordinated collaboration between
international instruments and organizations. In order to ensure coherent
support from the United Nations system, an informal Inter-Agency Task Force on
Forests (IAFF) was formed under the chairmanship of FAO. The members are
UNDP, UNEP, UNDP-Commission on Sustainable Development, FAO, ITTO, the World
Bank and the secretariat of the Convention on Biological Diversity. Of these,
the first five have seconded staff to the Secretariat, and each of the member
organizations has assumed lead responsibility for one or more of the 11
programme elements of the Panel's work programme. This arrangement has
enabled the United Nations Secretariat to draw effectively on the
institutional capacity of organizations.
25. The Ad Hoc Intergovernmental Panel on Forests has greatly benefited from
the outcome of an unprecedented number of Government-sponsored initiatives
that have been carried out in support of the Panel's work and covering a broad
range of forest issues, involving in many cases North-South co-sponsors and
the creating of new partnerships between Governments. These initiatives have
greatly contributed to increased understanding and consensus-building on key
issues related to the Panel's mandate.
26. At the regional and the subregional level, many efforts have been made by
countries to undertake common actions towards the development and
implementation of common basic principles for the conservation, management and
sustainable development of forests. The Central American Convention on
Forests, the work of the Andean Pact, the African Timber Organization, the
Southern African Development Community (SADC), and the Association of South-
East Asian Nations (ASEAN), and the Pan-European resolutions are concrete
examples of regional commitments.
B. At the national level
27. Much progress has been achieved in many countries regarding new forest
policies, new legislation, institutional reorganization, redefinition of the
role of the state, decentralization of forest management responsibilities,
transfer of responsibility to communities and local groups, transparency of
debates and participation in the decision-making process, as well as
coordination and harmonization of actions within coherent, holistic and
intersectoral strategic frameworks.
28. The importance of, and the perspectives on, forests are changing rapidly
and often clash with the traditional forestry culture. There is an increased
variety and intensity of competing ideas regarding "trees and forests for whom
and for what". New consultative approaches have been launched in several
countries in order to mediate among the diverse interests held by different
stakeholders, and to build consensus. In addition, in several industrialized
countries forests are exposed to stresses that originate outside forest-
related activities (atmospheric pollution).
29. Based on these developments, the concept of national forest programmes
processes has been discussed by the Ad Hoc Intergovernmental Panel on Forests
and is now viewed more extensively as a generic expression for a wide range of
approaches to the process of planning, programming and implementing the
sustainable development of forests in a given country.
30. Regardless of the approach adopted by individual countries, national
forest programmes should be viewed as long-term iterative processes, and
should be based on guiding principles recognizing the following key elements:
national sovereignty and country leadership, consistency with national
policies and international commitments, integration with the country's
sustainable development strategies, partnership and participation, and
holistic and intersectoral approaches.
IV. UNFULFILLED EXPECTATIONS: OBSTACLES TO OVERCOME
31. Despite the progress that has been made with regard to the level of
awareness with respect to the adaptation of strategies and action plans on
forests, several obstacles remain which can be grouped into four major
categories described below.
A. Policy constraints
32. During its third session, the Commission on Sustainable Development
called for further attention to the cross-sectoral factors that were the
underlying causes of deforestation and degradation of forests such as
production and consumption patterns, poverty, population growth, insufficient
environmental education and knowledge, terms of trade, discriminatory trade
practices and unsustainable policies and practices related to such sectors as
agriculture, energy and trade as well as forestry.
33. Although some corrective actions have been attempted to alleviate
pressures exerted on forest resources, rapidly growing populations, poverty,
unsuitable land use, adverse incentives, and the impact of human activities
associated with production and consumption patterns have continued to damage
forests.
34. Therefore, correcting policies that distort forest uses should be a
priority. The policies concerned should allow for full and transparent
participation of all stakeholders. Strategies are needed to seek the views of
groups and individuals that otherwise would be under-represented, such as
those disadvantaged in terms of communications or socio-political power.
35. The difficulties encountered in many countries are due more to
inconsistencies in or lack of implementation than to the non-existence of good
policies. Therefore, the enforcement of legislation and the application of
policy guidelines through appropriate means are a key element of success in
combating deforestation and putting sustainable forest development into
action. A strong political commitment and a full integration of sustainable
forest development goals and objectives within national sustainable
development strategies are key elements for success.
B. Country capacity
36. Lack of country capacity is still a constraint for many developing
countries. Capacity-building is therefore a key factor of progress. This
capacity-building should be based on a clear definition of the roles and
mandates of public sector institutions, the private sector and people's
associations. Capacity-building should be conceived in a broad way. In
particular, capacity-building for the private sector, non-governmental
organizations and community-based organizations, whose role is increasing in
the implementation of development activities, would result in an improved
technical capacity and mechanism for participation and empowerment.
C. Investment and funding
37. National funding, as well as external funding through budgeting and
partnership agreements, needs to be secured. Even Governments very often
implement part of the investment programme through state enterprises and
administrations, in particular in the field of institutional strengthening;
investment programming should therefore focus especially on improving
conditions for human and/or financial resources of private enterprises, local
communities and individuals. This could be achieved by removing constraints
and disincentives through the policy process and by introducing appropriate
incentives through a decentralized investment programme. The incentive system
should reflect the different time perspectives of individuals and society as
well as the values placed by society on the different benefits of forests, and
not only the commercial benefits.
D. International cooperation and coordination
38. A number of key issues and needs related to international cooperation can
be addressed at the national, subregional, regional and global levels.
39. At the national level, it is important to establish a strong national
leadership in donor coordination, and donor assistance should ideally be
pooled to form larger financing packages (joint implementation arrangements
and multidonor funds). In order to reduce pressure on limited human
resources, the simplification and harmonization of donor procedures would be
needed.
40. At the regional level, the mandates of several regional institutions and
programmes should better focus on priority issues and these institutions
should be strengthened through the establishment of appropriate legal
instruments at the regional level.
41. At the global level, the improvement of collaboration between
international agencies and institutions dealing with forests is essential.
There are still many overlappings between and gaps within the programmes and
initiatives of some agencies especially as regards support to national forest
programmes processes and field-level activities. The improvement of the
coordination of existing international legal instruments dealing with forests
is also needed to avoid potential future duplication of work and to tap
synergies among instruments. Coordination and collaborative mechanisms with
the United Nations Convention to Combat Desertification in Those Countries
Experiencing Serious Drought and/or Desertification, particularly in Africa 3/
which enters into force in 1997 should also be established to better address
the forest issues related to drylands. In order to facilitate this
international coordination, the analysis of proposals made by various
delegations during the sessions of the Ad Hoc Intergovernmental Panel on
Forests suggests a broad, if not universal, support for the need for a high-
level intergovernmental forum for policy coordination and dialogue on all
types of forests.
V. EMERGING PRIORITIES AND RECOMMENDATIONS
42. The following priorities and recommendations are emerging from the Panel
process discussions and will be discussed during the last session of the Ad
Hoc Intergovernmental Panel on Forests in February 1997.
A. Implementation of forest-related decisions of the United
Nations Conference on Environment and Development at the
national and international levels, including an examination
of sectoral and cross-sectoral linkages
43. Under this heading, priorities and recommendations comprise:
(a) The development, implementation and monitoring of national forest
programmes or other policy frameworks within wider intersectoral policies and
land-use plans;
(b) The financing of research, technology transfer and capacity-building
activities to allow an integrated approach towards the formulation and
application of national policy frameworks and the conducting of strategic
analysis of relevant political, legal and institutional policies that have
contributed to forest degradation and deforestation as well as of those that
have had a positive effect.
B. International cooperation in financial assistance
and technology transfer
44. Under this heading, priorities and recommendations comprise:
(a) The strengthening of financial assistance to the poorest countries;
(b) The development of actions to enhance private sector investment
(appropriate regulations and incentives);
(c) The enhancement of the coordination, collaboration and
complementarity of activities among bilateral and multilateral donors and
among international instruments related to forests;
(d) The promotion of North-South and South-South cooperation in forest-
related technology transfer through public and private sector investment,
joint ventures, exchange of information and greater networking among forest-
related institutions.
C. Scientific research, forest assessment and the development
of criteria and indicators for sustainable forest management
45. Under this heading, priorities and recommendations comprise:
(a) The implementation of the Forest Resources Assessment 2000 with the
inclusion of a broad range of forest values and a strong, efficient
coordination and collaboration between forest and other related information
systems;
(b) The development of a strategic framework for a global forest
research network, making full use of existing organizations, and providing and
implementing research on priority areas;
(c) The formulation and the implementation of national-level criteria
and indicators for sustainable forest management and their use in promoting
best available practices.
D. Trade and environment relating to forest
products and services
46. Under this heading, priorities and recommendations comprise:
(a) The improvement of market access to forest products and services,
including further reduction of tariff and non-tariff barriers to trade;
(b) The promotion of community-based processing and marketing of wood
and non-wood forest products;
(c) The development and exchange of experiences in respect of the
implementation of full cost internationalization and its application to
sustainable forest management, and relevant policy mechanisms;
(d) The promotion of certification of forest products.
E. International organizations and multilateral institutions
and instruments including appropriate legal mechanisms
47. Under this heading, priorities and recommendations comprise:
(a) The clarification of roles and mandates of international
organizations;
(b) The enhancement of their cooperation and the removal of gaps and
duplication;
(c) The creation of a high-level intergovernmental forum for policy
coordination and dialogue on all types of forests.
Notes
1/ Report of the United Nations Conference on Environment and
Development, Rio de Janeiro, 3-14 June 1992, vol. I, Resolutions Adopted by
the Conference (United Nations publication, Sales No. E.93.I.8 and
corrigendum), resolution 1, annex II.
2/ Ibid., resolution 1, annex III.
3/ A/49/84/Add.2, annex, appendix II.
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Date last posted: 10 December 1999 17:25:35
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