国际森林认证体系与中国森林认证的理论和政策研究
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摘要
本文首先讨论了森林认证的概念问题，提出不同体系的森林认证的概念是有区别的。从目前的实践情况看，基于绩效标准的认证、基于环境管理体系标准的认证、基于以上2个标准结合的认证以及非木林产品的认证是森林认证体系的4个组成部分。本文认为，制定森林可持续经营标准和指标的国际进程、绿色消费运动、标准化及其认证是森林认证的三大基础性活动。本文系统分析和深入研究了全球性森林认证体系——森林管理委员会(FSC)的组织结构、原则和标准、议事及管理方式和国家行动。本文的主要发现就是国家行动是FSC不可或缺的重要支撑，FSC的两项主要任务——在各国宣传FSC的使命、研制国家或地区森林认证标准，都主要靠国家行动来完成。本文在国内首次探讨了林业组织实施ISO环境管理体系标准的问题，并结合ISO 14000系列标准，提出了森林经营企业建立和实施环境管理体系的原则要求、认证程序。在对区域森林认证体系的研究中，本文把重点放在泛欧森林认证体系和美国林纸协会的可持续林业行动上。
本文的另一主要部分是中国森林认证的理论、法律环境研究与政策建议。从公开报道的文献看，本文研究森林认证的理论问题和法律环境，在国内亦属首次。在理论研究中，本文提出森林可持续经营理论和国际贸易理论是森林认证的主要理论基础。在此基础上，本文研究了森林认证的其他重要支持理论——森林分区经营论、森林多价值论、森林多产品论、清洁生产论、适度消费论和标准化论。本文对开展森林认证要涉及到的主要国际公约和国内法律法规进行了初步的梳理，还指出了个别法律制定或修订的问题。对我国今后森林认证的研究工作及政策制定提出建议，是本文研究的主要目的和归宿。本文提出首先要营造开展森林认证的社会环境，要广泛宣传森林认证的意义、培育森林认证的社会需求。本文列出了今后要继续研究的一些关键问题，比如森林认证史、森林认证本身的理论、森林认证中法律法规的适用性、森林认证标准与其他标准的关系、森林认证的效益等等。对于中国的认证政策，本文建议并行引进已比较成熟的、国际上有重要影响的森林认证体系，当前主要就是积极稳妥地推进FSC体系的国家行动、加大在林业行业实施ISO 14001环境管理体系标准的力度。在推进FSC体系的国家行动上，本文建议尽快研制区域认证标准并提出了分区意见，这不仅是实施FSC体系的要求，也是今后研制和实施其他体系需要开展的基础工作。对于其他重要的体系，如PEFC、SFI、CSA等要继续跟踪研究，做好其进入中国森林认证市场的准备。最后，本文提出要审慎研究中国发展自己的森林认证体系的问题。
First the thesis discusses the concepts of forest certification and holds that the forest certification concepts are different for various certification systems. Currently there exist four kinds of forest certification, those are the certification based on the performance standards, the certification based on the environmental management system standards, the certification based on the combination of the above two standards and the certification for the non-wood forest products. According to the author's research, three parts are regarded as the bases for the forest certification: the international processes in developing the standards and indicators for the sustainable forest management, the arising of green consuming movement and the standardization ant its certification. The thesis systematically analyses and studies the internationally important forest certification system - Forest Stewardship Council (FSC), and introduces its organizational structure, principles and criteria, administration patterns and
national initiatives. One of the major findings in this research is that the national initiatives are the main support for the FSC. Two vital tasks of FSC - popularizing the commissions of FSC in the world and developing the national or regional forest certification standards - should rely upon the national initiatives. For the first time at home, the thesis probes the issues of the implementation of Environmental Management System (EMS) in forest organizations. The author puts forward the principal requirements and certification procedures for the establishment and implementation of EMS in the forest management enterprises. In the thesis, two chief regional forest certification systems, the Pan European Forest Certification System (PEFC) and American Forest & Thesis Association's Sustainable Forest Initiative (SFI), are introduced and analyzed as well.
The second part of the thesis is the researches on the theories and legal environment that China needs to carry out the forest certification and the policy suggestions. The author points out that the sustainable forest management theories and the international trade theories are the foundation for the certification. Additionally the regional forest management, forest's multi values, forest's multi produces, cleaner production, moderate consuming and standardization are the supporting theories. Based on the experiences of the global forest certification and the theoretical study achievements, the thesis suggests that China should pay attention to at least the following aspects while making its forest certification policies. 1) China should create a social environment for the forest certification, for examples broadly
popularizing the importance of certification and developing and increasing the social demands for the certified products. 2) Some theory problems should be further studied, such as the history of international forest certification, the relationship between the SFM and certification, the adaptability of relevant laws and regulations in the certification, the mutual influences of forest certification standards and other standards, and the effects of certification. 3) China should pay equal attention to the researches on the comparatively mature and influential forest certification systems. One of the urgent tasks is to develop the regional certification standards, which are extremely important for both the FSC system and the other performance-based systems or performance-and-EMS-based systems. On the other hand, the government, especially the State Forest Administration, should start the work of implementation of ISO EMS standards in forestry sector as early as possible. 4) China should pay a close attention t
o the future development of the regional and national certification systems and adopt a prudent policy on the development of China's own forest certification schemes.
本文的另一主要部分是中国森林认证的理论、法律环境研究与政策建议。从公开报道的文献看，本文研究森林认证的理论问题和法律环境，在国内亦属首次。在理论研究中，本文提出森林可持续经营理论和国际贸易理论是森林认证的主要理论基础。在此基础上，本文研究了森林认证的其他重要支持理论——森林分区经营论、森林多价值论、森林多产品论、清洁生产论、适度消费论和标准化论。本文对开展森林认证要涉及到的主要国际公约和国内法律法规进行了初步的梳理，还指出了个别法律制定或修订的问题。对我国今后森林认证的研究工作及政策制定提出建议，是本文研究的主要目的和归宿。本文提出首先要营造开展森林认证的社会环境，要广泛宣传森林认证的意义、培育森林认证的社会需求。本文列出了今后要继续研究的一些关键问题，比如森林认证史、森林认证本身的理论、森林认证中法律法规的适用性、森林认证标准与其他标准的关系、森林认证的效益等等。对于中国的认证政策，本文建议并行引进已比较成熟的、国际上有重要影响的森林认证体系，当前主要就是积极稳妥地推进FSC体系的国家行动、加大在林业行业实施ISO 14001环境管理体系标准的力度。在推进FSC体系的国家行动上，本文建议尽快研制区域认证标准并提出了分区意见，这不仅是实施FSC体系的要求，也是今后研制和实施其他体系需要开展的基础工作。对于其他重要的体系，如PEFC、SFI、CSA等要继续跟踪研究，做好其进入中国森林认证市场的准备。最后，本文提出要审慎研究中国发展自己的森林认证体系的问题。
First the thesis discusses the concepts of forest certification and holds that the forest certification concepts are different for various certification systems. Currently there exist four kinds of forest certification, those are the certification based on the performance standards, the certification based on the environmental management system standards, the certification based on the combination of the above two standards and the certification for the non-wood forest products. According to the author's research, three parts are regarded as the bases for the forest certification: the international processes in developing the standards and indicators for the sustainable forest management, the arising of green consuming movement and the standardization ant its certification. The thesis systematically analyses and studies the internationally important forest certification system - Forest Stewardship Council (FSC), and introduces its organizational structure, principles and criteria, administration patterns and
national initiatives. One of the major findings in this research is that the national initiatives are the main support for the FSC. Two vital tasks of FSC - popularizing the commissions of FSC in the world and developing the national or regional forest certification standards - should rely upon the national initiatives. For the first time at home, the thesis probes the issues of the implementation of Environmental Management System (EMS) in forest organizations. The author puts forward the principal requirements and certification procedures for the establishment and implementation of EMS in the forest management enterprises. In the thesis, two chief regional forest certification systems, the Pan European Forest Certification System (PEFC) and American Forest & Thesis Association's Sustainable Forest Initiative (SFI), are introduced and analyzed as well.
The second part of the thesis is the researches on the theories and legal environment that China needs to carry out the forest certification and the policy suggestions. The author points out that the sustainable forest management theories and the international trade theories are the foundation for the certification. Additionally the regional forest management, forest's multi values, forest's multi produces, cleaner production, moderate consuming and standardization are the supporting theories. Based on the experiences of the global forest certification and the theoretical study achievements, the thesis suggests that China should pay attention to at least the following aspects while making its forest certification policies. 1) China should create a social environment for the forest certification, for examples broadly
popularizing the importance of certification and developing and increasing the social demands for the certified products. 2) Some theory problems should be further studied, such as the history of international forest certification, the relationship between the SFM and certification, the adaptability of relevant laws and regulations in the certification, the mutual influences of forest certification standards and other standards, and the effects of certification. 3) China should pay equal attention to the researches on the comparatively mature and influential forest certification systems. One of the urgent tasks is to develop the regional certification standards, which are extremely important for both the FSC system and the other performance-based systems or performance-and-EMS-based systems. On the other hand, the government, especially the State Forest Administration, should start the work of implementation of ISO EMS standards in forestry sector as early as possible. 4) China should pay a close attention t
o the future development of the regional and national certification systems and adopt a prudent policy on the development of China's own forest certification schemes.
引文
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