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The GFTN Guide to Legal and Responsible Sourcing

8.6 Choosing the Appropriate Status for a Source

Choosing the Appropriate Status for Your Source

The more an organization digs into the issues, the more information will come to light that may have a bearing on the status of the source. Sufficient information may be available at the initial baseline investigation to determine if a source is to be given the status “Unwanted”. Further rounds of information gathering may affect the status of a source previously categorized as “Limited knowledge” or “source assessed,” which will force a re-evaluation and perhaps a downgrading to “Unwanted”. In most cases, the process of gathering information, analyzing it and seeking clarification will take some time. However, it is important to make sure that this process does not become a method to delay making a decision on the future of the supplier and continue business as usual. It is therefore essential to set appropriate deadlines, agree on these with the supplier and clearly identify what will happen at that point.

The table below can be used as a checklist to identify whether a source is assessed, verified, unwanted or there is limited knowledge. It is also a useful checklist for compliance against the FSC Controlled Wood Standard.

Using information on an individual source plus information on the supplier of the material, work through the table to identify the most appropriate status. The table refers in some cases to “an agreed upon period” which is the period of time defined by the buyer and accepted by the supplier to meet this condition.

 

Policy Criteria

Limited knowledge of forest
Source

Unwanted
Source


Source Assessed

Source Verified

Legality:
The supplier knows where the timber was grown and can identify the harvesting entity.
The timber originates from an entity that has a legal right to harvest timber in the forest management unit where the timber was grown, and has been legally traded.

The supplier cannot identify where the timber was grown and cannot identify the harvesting entity.

After an agreed upon period:
The supplier cannot identify that the harvesting entity has a legal right to harvest (has a harvesting permit and authorization from the resource owner).


The supplier identifies the harvesting entity and that the harvesting entity has a legal right to harvest and timber has been legally traded.

Same as source assessed

High Conservation Value Forest (HCVF):
Regarding whether the timber is harvested from forest areas where forest management activities maintain or enhance high conservation values.

The supplier cannot identify where the timber was grown and cannot identify the harvesting entity.

After an agreed-to period:

If HCVs are only suspected or are not evaluated—
No special management to maintain or enhance is adopted for high conservation values.

If HCVs are identified—
(a) lack of willingness to recognize values, assess values, or engage in any form of HCV forest management; and/or (b) lack of willingness to adopt a precautionary principle for HCVs.

If HCVs are only suspected or are not evaluated—the precautionary approach shall be adopted and no timber shall be supplied until the presence of high conservation values (HCVs) has been credibly assessed and appropriate management (to maintain or enhance) can be planned accordingly.

 If HCVs are identified, evidence is provided that
(a) the forest is certified, or in progress to certification (and a comprehensive HCV forest assessment has been done and an action plan developed to ensure the maintenance and enhancement of the identified HCVs,
OR
(b) the forest manager can otherwise demonstrate that the forest and/or surrounding landscape is managed to ensure those values are maintained (usually this will involve a comprehensive HCV forest assessment in the site/landscape and a commitment to management actions and monitoring to ensure the HCVs are maintained and enhanced).

More information on HCVF here.

Unjustified Forest Conversion:
Regarding whether the known source is a forest that is being inappropriately cleared or converted, and/or timber that has been harvested from areas that have been converted from natural forest to plantations or nonforest uses.

The supplier cannot identify where the timber was grown and cannot identify the harvesting entity.

After an agreed-to period:

No evidence is provided that

  • a transparent multi-stakeholder planning process has been conducted;
  • there are no outstanding conflicts with local and indigenous peoples regarding the clearance;
  • where the forest is classified or suspected as being of high conservation value these values are being maintained or enhanced;
  • an environmental impact study has been conducted and its recommendations implemented.
 

 Evidence is provided that

  • a transparent multi-stakeholder planning process has been conducted;
  • there are no outstanding conflicts with local and indigenous peoples regarding the clearance;
  • the forest is classified or suspected of being of high conservation value and these values are maintained or enhanced;
  • an environmental impact study has been conducted and its recommendations implemented.

More information on forest conversion:
http://assets.panda.org/downloads/ wwf_position_paper_on_forest_conversion.pdf

Conflict Timber:
Regarding whether the timber was traded in a way that drives violent armed conflict or threatens national or regional stability.

The supplier cannot identify where the timber was grown and cannot identify the harvesting entity.

After an agreed-to period:

The source is clearly or strongly suspected of, originating from a country or operation that is not acceptable according to the sourcing policy.

 

Clear evidence is provided that the source is not listed as unwanted according to the sourcing policy.

More information on conflict timber here

Human Rights Issues: Regarding whether the harvesting or processing entity, is violating human rights.

The supplier cannot identify where the timber was grown and cannot identify the harvesting entity.

Internal and external stakeholder concerns
identify specific issues, countries,
or companies that are extremely controversial
or out of step with generally
accepted practices.

 

Internal and external stakeholder concerns
identify specific issues, countries, or companies that are extremely controversial or out of step with generally accepted practices.

More information on human rights issues here.

Endangered Species:
Regarding whether the tree species involved is listed in Appendix I of the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) (or other schedules, as defined by the responsible purchaser’s policy) where trade is prohibited, or is listed in CITES Appendices II or III but the supporting certificates from the CITES management and scientific authorities in the country of origin are valid.

The supplier cannot identify the species of timber supplied or where it was grown and cannot identify the harvesting entity.

After an agreed-to period:

Species is identified as CITES Appendix I.

CITES Appendix II or III trade (where permitted under the sourcing policy) is not backed by all relevant export and import documentation as required by relevant CITES management authorities.

CITES species that lack required documents can be consider “illegally traded” and thus should be regarded as unwanted under the “Legality” criterion.

CITES Appendix II or III trade (where permitted under the sourcing policy) is backed by all relevant export and import documentation as required by relevant CITES management authorities covering both export and import.

More information on CITES here.

Same as source assessed.

Genetic Modification (GM):
Regarding whether the known source is from a forest that does not use GM trees.

The supplier cannot identify where the timber was grown and cannot identify the harvesting entity.

After an agreed-to period:

Evidence or a statement that the forest management enterprise does supply timber from GM trees.

 

Evidence or a statement is provided that the forest management enterprise does not supply timber from GM trees.

Local Conflicts:
Regarding whether the known source is a forest where there is no unresolved conflict concerning local or indigenous people or civil society groups.

The supplier cannot identify where the timber was grown and cannot identify the harvesting entity.

After an agreed to period:

Absence of a process for conflict resolution
and absence of clear evidence that
demonstrates that a process has been developed.

 

 Clear evidence is provided that demonstrates
that a process for the resolution of the conflict
has been, or is being developed:
(a) identification of all local communities or traditional
and indigenous peoples in the forest management unit and adjacent area;
(b) documentation showing the forest management unit’s ownership or legal right to harvest;
(c) documentation recording traditional rights as identified by the communities and peoples
groups identified in (a);
(d) documented evidence of consultation with local communities or traditional and indigenous
peoples groups identified in (a);
(e) documented evidence of the process by which any disputes are being resolved, which has the broad support of the parties to the dispute, and which outlines an agreed-to interim process for addressing the dispute and for the management of the forest area concerned.

Documented evidence of any payments to local communities or traditional and indigenous peoples groups are fair, and obtained a Free, Prior and informed (FPIC) consent.

Traceability Issues:
Regarding the data supplied and its completeness.

The supplier cannot identify where the timber was grown and cannot identify the harvesting entity.

After an agreed-to period:

The supplier has not returned the questionnaire or has failed to complete it sufficiently within the specified time.

Product is traceable to the forest management unit to a degree of precision that is commensurate with the risk that the source may be unwanted. More information on data issues and suppliers here.

A 3rd party has verified that the material does not contain unwanted sources.

Information Disclosure Issues:
Regarding confidentiality or willingness to disclose the source.

The supplier cannot identify where the timber was grown and cannot identify the harvesting entity.

After an agreed-to period:

The supplier will not disclose the source (forest) of the forest product within the specified time.

Product is traceable to the forest management unit to a degree of precision that is commensurate with the risk that the source may be unwanted sourcing

More information on data issues and suppliers here.

 A 3rd party has verified that the material does not contain unwanted sources.

Integrity issues:
Regarding the integrity of the supplier and supplier data.

The supplier cannot identify where the timber was grown and cannot identify the harvesting entity.

After an agreed-to period:

Other sources of information continue to dispute the information provided by the supplier, and the supplier is unable to sufficiently refute these allegations to the sourcing organization’s satisfaction.

Product is traceable to the forest management unit to a degree of precision that is commensurate with the risk that the source may be unwanted sourcing

More information on data issues and suppliers here.

A 3rd party has verified that the material does not contain unwanted sources.”


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