Best practices for
improving law compliancein the forestry sector

FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONSINTERNATIONAL TROPICAL TIMBER ORGANIZATION
Rome, 2005

FAO
FORESTRY
PAPER

145

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iii

Contents
Acknowledgements
Foreword
Acronyms
Summary

vii
ix
xi
xiii

1. Introduction

1

2. Illegal activities in the forest sector and their root causes

5

What are illegal activities?

5

Root causes of illegal activities

7

3. Towards a strategy for better law compliance in the forest sector

15

Consequences of illegal activities and corruption

15

Need for a strategic approach17

4. Rationalizing the policy and legal environment

23

Assessing the underlying causes of non-compliance23

Increasing clarity, transparency and consistency of forest andforest-related legislation

26

Minimizing bureaucracy, streamlining legal procedures and simplifying
regulations

35

Securing forest land ownership rights

38

Ensuring that in-country industrial capacity does not exceed
sustainable supplies

43

Improving cross-sectoral linkages and collaboration

44

Increasing the competitiveness of legal operations

46

Enhancing the capacity of the judiciary to act effectively on forestry
law matters

48

5. Building institutional capacity for law compliance53

Increasing public forest administration focus

54

Increasing operational capacity to detect and suppress forest crime55

Improving interagency linkages

58

Public-private partnerships in forest law enforcement

60

Access to international support

66

6. Improving data and knowledge

73

Monitoring and assessment of forest resources

73

Establishing standards of legality

74

iv

Improving data and knowledge for preventing forest crime77

Improving data and knowledge for detecting forest crime77

Improving data and knowledge for detecting illegal international
trade in wood products

84

Public awareness building85

7. The political economy of forest sector law compliance87

Understanding power relationships

87

Building wide support for reforms

87

Bibliography

91

Annex 1 Corporate codes of conduct

97

Annex 2 Certification

101

Annex 3 International initiatives

105

v

Figures1

Relationship between corruption and suspected illegal forest activities

13

2

Elements of a strategy to promote legality in the forest sector

17

3

Relationship between number of procedures required to start abusiness and level of corruption

36

Boxes
1

Examples of illegal practices in the forestry and forest industries sector

52Factors contributing to illegal operations in the forest sector

83Common weaknesses of forest policy and legal framework

94

Logging bans might contribute to increased levels of illegal operations

10

5

What is corruption?

11

6

Common corrupt practices in the award of concession andprocurement contracts

127

Major international anti-corruption instruments since 1996

13

8

Income from illegal logging: do the poor benefit?

16

9

The Costa Rican National Strategy to Combat Illegal Logging

18

10 The Indonesian National Strategy to Combat Illegal Logging

19

11 Impact analysis of the regulatory framework

24

12 Task force rethinks logging ban in China

25

13 A pro-poor forestry strategy for forest crime prevention,
detection and suppression in Mozambique26

14 Forest policy reform in Ecuador

27

15 Multistakeholder involvement in forest law-making in Honduras andEcuador28

16 A tripartite approach to participation in Ghana

29

17 Increasing transparency in the Bolivian forest administration

30

18 Public disclosure of information about illegal activities in
Cameroon31

19 Isolating the head of the forest administration from undue
private interests and political influence in Bolivia

32

20 More stringent and transparent rules for the allocation of concessions
in Cambodia

32

21 Independent forest monitoring in Cameroon

33

22 Harmonizing forest legislation in Honduras

34

23 Independent and holistic forest sector review in Cambodia

34

24 Decentralization of forest management authority in Bolivia

35

25 New Presidential Instruction to reduce contradictory regulationin Indonesia

37

26 Appropriate legislation in Gambia for small-scale forest operators

39

vi

27 Appropriate legislation supporting simpler forest management
plans (FMPs)

40

28 Streamlining concession and clear cutting fees in Bolivia

41

29 Legal reforms to recognize community-based and indigenous
property rights

42

30 Community concessions in Guatemala

43

31 Industrial restructuring working group in Indonesia

45

32 New financial incentives for sustainable forest managementin Peru

48

33 Public monitoring of the judiciary in Indonesia

49

34 Capacity building of the judiciary in Mozambique

50

35 World Bank and World Wide Fund for Nature’s priorities for tackling forest
crime in Indonesia
53
36 Restructuring the forestry administration in Cambodia

56

37 Staff performance and integrity in the forest sector

57

38 Improving agency performance through staff training in Brazil

57

39 Distribution of revenue obtained from fines in Niger

58

40 Establishment of Regencia forestal in Ecuador

59

41 Examples of successful partnerships to promote forest law enforcement60

42 Relative strengths of independent forest monitors or observers

63

43 Design of monitoring systems

64

44 Certification and legality in Bolivia

66

45 Examples of key forest industry declarations

67

46 Bilateral agreements between Indonesia and trading partners

69

47 The role of NGOs and the market in fostering better governancein the forest sector

71

48 Potential components of legality

75

49 Indonesia: proposed principles for establishing legality of timber
products

76

50 Diagnostic surveys of corruption

79

51 Satellite detection and map-based monitoring of illegal logging
in Cameroon

80

52 GIS/GPS-supported detection of illegal forest conversion in
Costa Rica

81

53 Collaboration between the Cameroon Government and SGS

82

54 Log tracking in Fiji

83

55 Road checkpoints in Mozambique83

56 Selected Indonesian trade flows with China and Malaysia (1 000 m3)85

57 Raising public awareness about illegal logging in Costa Rica

85

vii

Acknowledgements
This report was compiled and edited by Arnoldo Contreras and Elisa Peter,with assistance from the FAO Forestry Department (Eva Muller) and the ITTO
Secretariat (Steve Johnson). A number of country case studies were commissioned
as part of this report and we thank the authors for their efforts to provide us
with the most up-to-date information on the law enforcement situation in thesecountries.
A peer review group of experts from government, NGOs and the private sector
was convened in Rome in late 2004 to discuss an early draft of this report. The
following members of the peer review group are gratefully acknowledged for their
inputs during the 2004 meeting and comments on subsequent drafts of the report:
Liviu Amariei, Borhanudin Arshad, Alhassan Attah, Paulo Barreto, Dinah Bear,
Bernard de Galembert, Faith Doherty Brunskill, Roger Foteu, Shigetoshi Hatazawa,
Jorge Malleux, Pablo Pacheco, Manuel Paveri, Davide Pettenella, Michael Richards,
Sheam Satkuru-Granzella, Hugh Speechly, Hans Thiel and David Young.
The report also benefited from inputs from numerous other individuals andfrom substantive discussions during the seventeenth session of FAO’s Committee
on Forestry and ITTO’s thirty-eighth Council Session. A complete listing of all
those who provided comments on or other inputs to this report is impossible, but
we would like to highlight the contributions of David Brown (UK Department
for International Development [DFID]), Kerstin Canby (Forest Trends), Michelle
Laurie (World Conservation Union [IUCN]), as well as those of Alastair Sarre from
ITTO and of the following colleagues from FAO: Mirjam Kuzee, Jon Lindsay,
Eduardo Mansur, Michael Martin, Dominique Reeb and Adrian Whiteman.

viii

ix

Foreword
Forest law enforcement is one of the most debated issues in the international
forestry arena today. Illegal forest production dwarfs legal production in somecountries. Illegal land clearance gives rise to severe problems with deforestationand forest fires. And illegal trade tars all forest products from some regions witha negative image. Urgent action is required to stop forest crime. This publication
aims to facilitate the shift from discussing such problems towards devising andimplementing solutions.
FAO and ITTO have formed a partnership to promote best practices in forest
law compliance. Both organizations have long-running programmes to promotesustainable forest management, and both carry out specific activities addressing
forest law enforcement to this end. While tropical countries have often been
the focus of attention, it is increasingly clear that most countries have problems
ensuring compliance with forest laws, although they differ in their capacity toaddress the challenges. This book is produced to publicize current steps being
taken on the national and international levels to deal with forest crime, to help
build capacity through the sharing of experiences.
FAO and ITTO are planning a series of regional workshops beginning in 2006 tocontribute to strengthening the dialogue among countries, sharing experiences anddeveloping appropriate strategies and measures to improve forest law compliance.
These workshops will also be an opportunity to update and improve on the bestpractices included here, since new developments occur almost daily in this fastmoving field.
Many of the guidelines, best practices and codes of practice promulgated by
FAO and ITTO already form the basis for forest legislation and policy in a numberof countries. We recommend these Best practices for improving law compliance inthe forest sector to all those involved in combating forest crime, and hope that they
will be implemented with a similar degree of success.

Hosny El-Lakany
Assistant Director General
Forestry Department
FAO
Rome

Manoel Sobral Filho
Executive Director
ITTO
Yokohama, Japan

x

xi

Acronyms
AFLEG
CCICED

African Forest Law Enforcement and Governance
China Council for International Cooperation on Environment andDevelopment
CEPI
Confederation of European Paper Industries
CIEL
Center for International and Environmental Law
CIFORCenter for International Forestry Research
CITES
Convention on International Trade in Endangered Species of Fauna
and Flora
DFID
Department for International Development (United Kingdom)
ENA-FLEG Europe and North Asia Forest Law Enforcement and Governance
EU
European Union
FAO
Food and Agriculture Organization of the United Nations
FEMA
Fundação Estadual do Meio Ambiente (Brazil)
FLEG
Forest Law Enforcement and Governance
FLEGT
Forest Law Enforcement, Governance and Trade
FORCOMS Forest Concession Monitoring System for Central Africa
FUNDECOR Fundación para el Desarrolo de la Cordillera Volcánica Central(Costa Rica)
GFW
Global Forest Watch (WRI initiative)
GIS
Geographic information system
GPAC
United Nations Global Programme Against Corruption
GPS
Global positioning system
ICFPAInternational Council of Forest and Paper Associations
ITTO
International Trade and Timber Organization
IUCN
World Conservation Union
MINAE
Ministry of Environment and Mines (Costa Rica)NGO
Non-governmental organization
OAS
Organization of American States
OECD
Organisation for Economic Co-operation and Development
PROFOR
Programme on Forests (initiative hosted by the World Bank)
TCAP
Timber Compliance Assessment PartnershipTNC
The Nature Conservancy
TTF
Timber Trade Federation (United Kingdom)
UNFF
United Nations Forum on Forests
UNODC
United Nations Office on Drugs and Crime
USAID
United States Agency for International Development
WRI
World Resources Institute
WWF
World Wide Fund for Nature

xii

xiii

SummaryThis joint FAO/ITTO publication examines best practices for improving
law compliance in the forest sector. It draws on case studies carried out in
Bolivia, Cambodia, Cameroon, Ecuador, Honduras, Indonesia, Italy, Malaysia,
Mozambique, Nicaragua and Peru, as well as from experiences in other countries
and ongoing international initiatives.
These studies point to a number of underlying causes contributing to theoccurrence of illegal activities in the forest sector, including a flawed policy andlegal framework and minimal law enforcement capacity in producer countries,
insufficient information about forest resources and illegal operations and highdemand for cheap timber. Corruption both in the public and private sector was
also identified as intrinsically linked to illegal logging and associated trade.
Rather than dwelling on the many complex causes and far-reaching impactsof illegal forestry operations, this report attempts to identify examples of bestpractices to address the problem. Several countries have recognized the urgent
need to develop a comprehensive and coherent strategy to tackle the problem ofillegal forestry activities. This report shows that any strategy to address forest crime
needs to be based on a sound understanding of the root causes behind the current
situation. It presents a short analysis of the reasons why laws are broken alongwith the current best practices to establish a clear, transparent, sound and coherent
forest policy and legislative framework that will foster better law compliance. It
also reviews a number of low-cost ways to increase the efficiency and capacity ofthe public forest administration to foster law compliance and to improve data andknowledge about the forest resource and how it is changing over time.
Because of the complexity of the issue, it is crucial to prioritize remedial actions
through a step-by-step approach. Depending on the social, economic and politicalcontext, different countries might prioritize different interventions from the wide rangeof guidelines and best practices provided in this report. In ranking and prioritizing
the remedial actions, a central factor is their economic and political feasibility. It
is important to assess the financial costs of any intervention and the sources ofnecessary funds. The political question concerns the degree to which different levelsof governments are willing to cooperate in an overall strategy to fight illegality inthe forest sector. Political will is crucial to improve forest law compliance and ensurethat the measures taken have a long-lasting impact. Lastly, any strategy to fight illegal
activities should be based on an open, highly inclusive, multistakeholder process andeffective participation of all interested parties. The participation of the private sector,
NGOs and civil society may slow down the process, yet there is no doubt that a
participatory approach is the best, if not the only way to produce a strategy capable ofdelivering long-term improvements in forest law compliance and enforcement.
The main conclusions, recommendations and best practices contained in thisreport are summarized below.

xiv

ILLEGAL ACTIVITIES IN THE FOREST SECTOR AND THEIR ROOT CAUSES• Illegal operations in the forest sector take place when wood is harvested,transported, processed, bought or sold in violation of national laws.
• The underlying causes of illegal operations in the forest sector include aflawed policy and legal framework; minimal enforcement capacity; insufficient
data and information about the forest resource and illegal operations; andcorruption in the private sector and in government.
• Strategies to improve law compliance in the forest sector must be based on
assessment of the underlying causes of illegal acts and identification of theleverage points to combat corruption.
• Several international initiatives have emerged over the last few years to tackle
the problem of corruption and illegal forest activities.
• Without comprehensive political will to improve forest law compliance, any
measures taken have only a limited chance of success.
TOWARDS A STRATEGY FOR BETTER LAW COMPLIANCE IN THE FOREST
SECTOR• Illegal forest activities have far-reaching economic, social and environmental
impacts including government revenue loss, ecological degradation andgreater income inequality.
• Any strategy aimed at addressing the problem of illegal activities needs
to be holistic and include a wide range of policy, legal, institutional andtechnical options in order to discourage illegal activities and facilitate legal
behaviour.
• Four elements are critical to a successful strategic approach to better law
compliance in the forest sector: addressing the underlying causes of illegality,
prioritizing remedial actions, assessing the economic feasibility and social
acceptability of reforms, and ensuring stakeholder participation.
RATIONALIZING THE POLICY AND LEGAL ENVIRONMENT
A number of steps can be taken in order to streamline and rationalize forest policies
and laws, including:• assessing underlying social, economic, cultural and political causes of noncompliance and modifying the policy and legal framework governing theforest sector accordingly;• analysing the impact of the forest policy and legal framework on the
livelihoods of the poor;• increasing clarity, transparency and consistency of forest and forest-related
legislation, by drafting legislation that is simple, unambiguous, based on tested
approaches and containing minimal discretionary powers;• ensuring a participatory approach to forest law design in order to promotetransparency, reduce the potential for corruption, enable people to scrutinize
the effectiveness of subsequent implementation, help ensure greater equity
and minimize the undue influence of privileged groups;

xv• encouraging consistency of the regulatory framework to ensure that laws do
not contradict others within the forest legal framework or other sectors;• minimizing bureaucracy, streamlining legal procedures and simplifying
regulations, for instance through decentralization, avoiding regulatory
proliferation and simplifying forest regulations concerning management
planning;• securing forest land ownership rights in order to ensure accountability andcontrol of forestry operations at the local level;• ensuring that in-country industrial capacity does not exceed sustainablesupplies, for instance, by conducting feasibility studies before new mills arebuilt and/or closing down mills and facilitating timber imports;• establishing international or bilateral trade agreements with trading partners;• ensuring cross-sectoral linkages and collaboration to guarantee a coherent andoverarching approach to forest issues, for instance, through national forest
programmes;• increasing the competitiveness of legal operations by decreasing the
profitability of illegal operations and increasing the profitability of legal
ones;• promoting the independence of the judiciary and transparency of judicial
processes.
BUILDING INSTITUTIONAL CAPACITY FOR FOREST LAW ENFORCEMENT
Increasing the efficiency of the public forest administration often requires many
more resources than are available in most countries. Yet, relatively low-cost options
do exist. These include:• prioritizing and strategically focusing the law enforcement efforts of the
public forest administration on key actions, regions or actors;• increasing the operational capacity of the forest administration to detectand suppress forest crimes, for instance by re-structuring or creating new
institutional bodies and increasing staff number and performance;• promoting better interagency linkages at national and local levels;• establishing partnerships with appropriate NGOs, civil society or private
sector actors to support enforcement and/or monitoring;• encouraging the development and use of independent forest certification andvoluntary corporate codes of conduct;• engaging in bilateral agreements with selected trading partners or in
multilateral agreements involving a large number of exporting and importing
countries to limit illegal timber trade;• tapping into the forest law compliance programmes of internationalorganizations dealing with natural resource use;
• enabling citizens, supported where necessary by NGOs and government
agents, to assist in monitoring and detecting forest crime.

xvi

IMPROVING DATA AND KNOWLEDGE
Accurate and up-to-date information is essential for forest crime prevention,
detection, monitoring, reporting, investigation and eventually, suppression.
Increased data is needed in most countries about the forest resources and about
illegal forest activities, in order for governments to identify priorities for remedialactions and to enforce the rule of law.
• Forest resources assessment and monitoring are indispensable, as they will
provide baseline data on the state of the forest resources, which will in turnallow monitoring of changes over time.
• A commonly agreed operational definition of illegality between trading
partners will enable restriction of illegal timber trade. Countries should
identify all elements required to define their standard of legality, taking into
account international norms and local circumstances.
• Once a definition of what constitutes illegality in the forest sector has beendeveloped and agreed upon by all stakeholders, the following methods
may help improve the data about forest resources and detect forest crime:
on-the-ground monitoring and reporting of forest operations; confidential
diagnostic surveys of illegal activities aimed at business, government officials,
communities and other major actors in the sector; use of informants in theforest sector and of NGOs to obtain up-to-date and timely information about
forest resource change and illegal operations; industrial wood input/output
estimates to identify illegally sourced supplies; aerial surveillance and satellite
detection; log tracking; computerized road checkpoints linked to licenceregistration systems.
• Comparison of official exports and import statistics can be used to estimate
the extent of illegal international trade, especially if discrepancies are large andoccur systematically for a number of years.
• Raising awareness about the impacts of illegal forestry is also crucial in orderto gain wide acceptance and support for law enforcement in the forest sector
by society at large.
THE POLITICAL ECONOMY OF FOREST SECTOR LAW COMPLIANCE• Interest groups negatively affected by reforms to improve law compliance inthe forest sector can undermine the design, legislature or implementation of
new rules and regulations.
• Reformers will need to analyse the structure, relative strengths and likely
responses of all affected parties and plan accordingly to ensure their support
for new regulations.
• The strategies for gaining support from various stakeholder groups will vary
according to the political, economic and cultural context of the country.



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84

Best practices for improving law compliance in the forest sector

IMPROVING DATA AND KNOWLEDGE FOR DETECTING ILLEGALINTERNATIONAL TRADE IN WOOD PRODUCTS
Comparing declared exports and the corresponding import statistics can in somecases be used to estimate the extent of illegal international trade. This methodology
is most useful if the country is a major exporter and discrepancies occur regularly
over time. However, a recent study (ITTO, 2004) identifies a number of sources of
discrepancies that do not necessarily reflect illegal activities, including:• errors in compilation;• errors resulting from inadequate data collection systems;• different classification practices;• discrepancies resulting from product measures and conversions;• triangular exports, with transit in third countries.
Also, it is not possible to use trade data discrepancies to estimate the extent of somekinds of illegally traded wood products. Examples include:• products smuggled out of a country, which never enter the official trade circuit
and are therefore not reflected in official statistics (no trade discrepancy);• products smuggled out of a country but legalized through fraudulent means onroute to the importing country, thus entering the official system;• abuse of transfer pricing mechanisms between branches of the same company
that may understate the value of exports in order to avoid export taxes etc.;• declaration of false volumes and species exported, to avoid export prohibitions
or taxes. High import tariffs or import quotas induce underinvoicing andmislabelling of products.
The capacity to distinguish between discrepancies indicating illegal acts and othersources of discrepancies is vital to obtaining adequate estimates of illegal trade. Thisimplies the progressive elimination of the “legitimate” sources of discrepancies by
examining the systems of import and export.
One such attempt was made in 2002 involving several industrialized anddeveloping countries, and results showed that there were discrepancies that felloutside the range of what could be considered “normal” and therefore were possibly
due to illegal or “abnormal” acts (Eastin and Pérez-García, 2002).
When discrepancies are large, occur systematically for a number of years, andcannot be explained by “normal” factors, there is a strong presumption that a large
proportion of wood has been illegally traded. Box 56 shows data for the past several
years for trade between Indonesia and partners China and Malaysia.
Of possible actions to address data discrepancies and facilitate identification ofillegal trade, the following initiatives scored highest in a survey of countries that took
part in a number of bilateral investigations of trade data discrepancies (ITTO, 2004):• encouraging countries to make product measurements for trade reporting more
uniform;• improving cooperation between countries in enforcing customs law;• encouraging countries to harmonize export declaration and import entry forms;• providing funding and/or technical assistance to countries to improve datacollection systems;• reviewing customs codes with the goal of harmonizing them further.

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