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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
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?
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.
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
Conceptual/Background Issues:NSMD as a source of authority
Features NSMD Governance
Shared Private/Public Governance
Traditional International Governance
Location of authority
Diffuse: producers and consumers along the supply chain (audience/market players); non-state institution as location, interpreter, and implementer, of rules.
Some delegation possible (e.g., de facto granting authority to technical experts), but Sovereign governments remain ultimate authority (explicit or implicit). Transfer of authority is rare.
Sovereign governments. Some delegation to institutions is possible. Transfer of authority is rare.
Source of authority
Shifting international norms enabling markets, economic incentives, acceptance of program by supply and demand side audiences
State sovereignty and consent (deep structure of international system). Possibly legalization or constitutionalization
State Sovereignty and consent (deep structure of international system). Possibly legalization or constitutionalizaiton
Role of governments
Interested player, (potential facilitator or debilitator)
Shares policy making authority
Has policy making authority
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.)
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
Forest Stewardship Council
International Legitimacy:Fit 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)
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
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.
• Distinguishing different kinds of legitimacy
• Distinguishing different types of “audiences” who give, or don’t give legitimacy
• Distinguishing legitimacy “achievement” strategies certification programs employ
Domestic/Regional Legitimacy: How is rule-making authority granted?
Certification Program (NSMD Governance System)
Types of Legitimacy
Legitimacy Granting Model for Forest Certification Governance Systems
Pragmatic
Profit maximizing behaviour;
Short term material self interest
Often result of boycott campaigns
Not very durable
Moral
Principled beliefs
“Right thing to do”
More durable than pragmatic
Types of Legitimacy
Certification Program (Governance System)
Legitimacy Granting Model for Forest Certification Governance Systems
Cognitive
“to do otherwise is unthinkable”
“understandable”
-durable
Types of Legitimacy
Certification Program (Governance System)
Legitimacy Granting Model for Forest Certification Governance Systems
Certification Program (Governance System)
Pragmatic Moral Cognitive
Types of Legitimacy
Least Durable
Most Durable
Legitimacy Granting Model for Forest Certification Governance Systems
External Audiences:
Identifying those that have role in granting authority
Tier 1: Immediate Audience
Tier 2: Civil Society
Certification Program (Governance System)
Pragmatic Moral Cognitive
Types of Legitimacy
Least Durable
Most Durable
Legitimacy Granting Model for Forest Certification Governance Systems
Tier 2: Civil SocietyTier 1: Immediate Audience
Economic- Dema
nd side
Economic – Supply Side
State – as
actor
State - as
institution
Consumer behavior
Political culture
Certification Program (Governance System)
Pragmatic Moral Cognitive
Types of Legitimacy
Least Durable
Most Durable
Legitimacy Granting Model for Forest Certification Governance Systems
Social Organiza
tions
Manipulation
Economic- Dema
nd side
Economic – Supply Side
State - as
institution
Consumer behavior
Tier 2: Civil SocietyTier 1: Immediate Audience
State – as
actor
Most Durable
Certification Program (Governance System)
Pragmatic Moral Cognitive
Types of Legitimacy
Least Durable
Most Durable
Legitimacy Granting Model for Forest Certification Governance SystemsAchievement Strategies
Social Organiza
tions
Political culture
Change external audience support:
e.g. create buyers groups, boycotts, advertising
Illustration of Model
FSC: Advertising as Manipulation Techniques
Illustration of Model
FSC: Advertising as Manipulation Techniques
End of Manipulation Achievement Strategy: Carrot Replaces Stick
Conform
Economic- Dema
nd side
Economic – Supply Side
State - as
institution
Tier 2: Civil SocietyTier 1: Immediate Audience
State – as
actor
Certification Program (Governance System)
Pragmatic Moral Cognitive
Types of Legitimacy
Least Durable
Most Durable
Legitimacy Granting Model for Forest Certification Governance SystemsAchievement Strategies
Consumer behavior
Social Organiza
tions
Political culture
Adapt to external pressures:
i.e. Change certifications rules and procedures to adapt to concerns from external audiences
Inform
Economic- Dema
nd side
Economic – Supply Side
State - as
institution
Values and
Attitudes
Tier 2: Civil SocietyTier 1: Immediate Audience
State – as
actor
Certification Program (Governance System)
Pragmatic Moral Cognitive
Types of Legitimacy
Least Durable
Most Durable
Legitimacy Granting Model for Forest Certification Governance SystemsAchievement Strategies
Advertise
Target information to groups likely to support you
Consumer behavior
Social Organiza
tions
Illustration of Model
FSC: Advertising as Informing Technique
Manipulation
Conform
Tier 2: Civil Society
Select
Certification Program (Governance System)
Pragmatic Moral Cognitive
Types of Legitimacy
Least Durable
Most Durable
Legitimacy Granting Model for Forest Certification Governance SystemsAchievement Strategies
Economic- Dema
nd side
Economic – Supply Side
State - as
institution
Tier 1: Immediate Audience
State – as
actor
Consumer behavior
Social Organiza
tions
Political culture
• 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
What framework recognizes
• 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
Preliminary Propositions
• 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”.
Practical relevance