Floresta e Ambiente 2018; 25(1): e20150100
http://dx.doi.org/10.1590/2179-8087.010015
ISSN 2179-8087 (online)
Original Article
Forest Management
Compliance with Environmental and Social Legislation
in Certified Forestry Companies
Marcos Vinicius Santana Leite1, Andressa Francini Fonseca Antunes2,
Christian Dias Cabacinha3, Adriana Leandra Assis3, Aldenir Teixeira da Gama3,
Nilza de Lima Pereira Sales3
1
Programa de Pós-graduação em Ciências Florestais, Universidade Estadual do Sudoeste da Bahia – UESB, Vitória da
Conquista/BA, Brazil
2
Programa de Pós-graduação em Engenharia Florestal, Universidade Federal de Lavras – UFLA, Lavras/MG, Brazil
3
Instituto de Ciências Agrárias, Universidade Federal de Minas Gerais – UFMG, Montes Claros/MG, Brazil
ABSTRACT
The objective of this study was to evaluate the contribution of the FSC forestry certification
system to improve the forestry sector, in terms of compliance to environmental and social laws
and improvements in working conditions resulting from the certification process. Thirty-seven
auditing reports from five Brazilian forestry companies were evaluated, throughout the 2006-2013
period. Non-compliance and observations were analyzed and organized into categories, which
identified the main performance issues found in certified forestry organizations. 301 instances of
non-compliance and 138 observations of audit reports were verified, where 48 and 57% respectively,
were linked to the two principles studied. For obtaining and/or maintaining the certificate it is
necessary for all violations to be resolved. Therefore, it was concluded that forest certification
contributes to the advancement of the forestry sector in Brazil, in relation to compliance with
legal, social and labor issues.
Keywords: forestry certification, FSC, sustainability, forest management.
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1. INTRODUCTION
The forestry sector plays an important role in the
conservation of Brazilian natural resources and in the
quality of life of forest workers and rural communities,
as described by Silva (2005). Despite the global financial
crisis, the gross revenue of Brazilian forestry production
increased by 4.6% in 2012 reaching R$ 56.3 billion and
employing approximately 4.4 million people (ABRAF,
2013). However, along with forestry production gains,
concerns have grown regarding their environmental
and social impacts (Basso et al., 2012).
According to Nardelli (2001), forest certification, is
an alternative to the boycott campaigns against tropical
forest products in the 90’s. Thus, the interest in voluntary
certification becomes a business strategy, mainly to
access specific Market niches, where certification is
required (Paiva, 2012). As demonstrated by Voivodic
(2010), companies also seek certification to protect
themselves from legal challenges, environmental
organizations or social movements.
Leite (2007) points out that the ‘green seal’ is a kind
of guarantee of origin to certify that wood (or other
forestry inputs) used in a product come from forests
managed in an ecologically sustainable, socially equitable
and economically viable manner, in full compliance
with the laws and regulations in effect. According to
Busch (2008), forestry management certification brings
countless benefits to several productive sectors, such as
advances in mitigation of negative impacts of forestry
operations on the environment for companies, adequate
equipment, better working conditions for workers,
and assistance in social issues for local communities
through greater interaction between the company and
local stakeholders.
Worldwide, considering the two main accrediting
offices (FSC and PEFC), certified forest area has increased
by 5.1% in 2012, totaling 412.8 million hectares. In Brazil,
in 2012, there was approximately 7.2 million hectares
of FSC certified forests and 1.3 million hectares of
PEFC certified forests, representing 2.1% of the whole
global area (ABRAF, 2013). For Voivodic (2010), due to
structural differences, the PEFC has greater presence in
the private sector and the FSC has greater acceptance
with civil society organizations.
Studies have already been carried out to verify
the influence of forest certification in Brazil, such as
Floresta e Ambiente 2018; 25(1): e20150100
Spathelf et al. (2004) who analyzed its efficiency in
natural forests conservation. Authors such as Castral
(2003), Jacovine et al. (2006), Oliveira et al. (2011),
Baptistel et al. (2011), Paiva (2012) and Paiva et al. (2015)
have studied forest certification process in Brazilian
forestry enterprises. Basso et al. (2012) studied the
contribution of forest certification in forest companies
in Minas Gerais State. However, there is still no evidence
from the literature that demonstrates the benefits of
forestry management certification FSC in different
Brazilian forest companies as a whole. Additionally, it
is known that forestry activity in Brazil, is mostly not
realized in compliance with environmental, social and
labor laws, due to several factors ranging from lack of
control to high costs associated with meeting regulatory
requirements. Thus, forest certification is as an option
to reduce commonly faced problems, given that forestry
companies must comply with the relevant laws, standards
and requirements determined through certification
in order to guarantee sustainable forest management
practices and obtain certification. Therefore, it is very
important to verify the results obtained via forestry
certification in terms of compliance with environmental
and social regulations, and improvements to working
conditions in certified forestry companies throughout
the country.
In this context, the purpose of this study was to
evaluate the real contribution of the FSC forestry
certification system to the improvement of the
performance of the Brazilian forestry sector, in terms
of compliance with legal regulations, improvements
to working conditions and social impacts in the areas
surrounding the forestry companies.
2. MATERIAL AND METHODS
The present study was based on an adaptation of
the methodology used by Basso et al. (2012).
Social research methodologies characterized as
descriptive according to Gil (2008) were applied,
with the fundamental goals of describing the specific
features (social, economic, among others) of a human
population, or a phenomenon or relationships among
variables. Some descriptive research goes beyond the
simple identification of relations existing between
variables, seeking to determine the origin and nature
of these relations.
Floresta e Ambiente 2018; 25(1): e20150100
Compliance with Environmental and Social Legislation… 3/11
This paper aimed to establish the relationship
between the adherence of forestry companies to the
certification process and compliance with current laws,
focusing mainly on environmental and labor regulations.
Research data was obtained via bibliographical and
documentary research.
the country. Moreover, today in Brazil, most of the
certified enterprises in forestry management that farm
exotic species for various purposes, are in the south and
southeast, but in the last decade this scenario has begun
to change with the advance of forestry companies to
other regions such as the Northeast and Central-West.
The database was composed through documentary
research, which, according to Gil (2008), is very similar
to bibliographical research, however the use of existing
data comes from documentary sources which can be
direct or second-hand documents. This study deals
with the analysis of direct documents, which are
documents that did not receive analytical treatment
through official documentation, in this case, the reports
that are available in public summary format audits.
The auditing process verifies the compliance of the
management unit with the regulatory requirements.
When there is non-performance or non-compliance
with established standards, a non-compliance is
applied to the company and a corrective measure is
required. Non-compliance is the term used to indicate
an instance of partial or complete non-fulfillment of
a specific requirement of the standard. The identified
non-compliance is also classified according to its
gravity, as major or minor non-compliance.
These documents are made available for public
consultation with the intention of increasing the
transparency of the certification process. The reports
describe all the initiatives realized by management to
comply with the determined principles and criteria
from the relevant regulations to obtain or maintain
certification. The audit reports were downloaded from
the FSC database, through the website (http://info.fsc.
org/index) that contains all the public audit reports
for certified forestry management units, or forest units
with expired or suspended certificates.
37 annual audit reports for certification, maintenance
or recertification from five forest companies with the
FSC forest management certificate were analyzed.
These enterprises cultivated mainly forests planted with
exotic species. The five certified forest management
units studied are distributed throughout the country,
sampling one forestry company in each Brazilian
geographical region: North, Northeast, Central-West,
Southeast and South. These units totaled an area of
600.858 hectares, distributed as follows: 29.604, 216.687,
30.791, 282.970, 40.806 hectares of forest enterprises
labeled A, B, C, D and E, respectively. All forestry
organizations studied were certified by FSC from 2006
to 2013, except for the forestry organization C, which
only received certification from 2009 onward, being the
only company in the Central-West that has developed
this type of initiative during the study period. Despite
the selection of companies having been made by region,
the results are not presented considering each region
separately. This criterion was adopted only in order to
sample the impact of forest certification throughout
Remarks can also be identified during audits
especially regarding issues or early stages of a problem
that is not non-compliance in itself, but is considered
by auditors to be a non-compliance risk factor if no
further action is taken by management. A remark can
be a warning sign regarding a particular issue that if
not handled can lead to non-compliance in the future.
All non-compliance and remarks for all 10 FSC
Principles in each evaluated report were quantified,
however, the analysis focused on Principle 1, regarding
“Compliance with laws and FSC principles” and Principle
4, regarding “Community relations and workers’ rights”.
Subsequently, remarks and non-compliance in terms
of evaluated principles were classified in accordance
with pertinent legislation or specific criteria required by
standards. This classification into categories allowed the
development of this study about common performance
issues in the forestry organizations evaluated.
In the analysis of Principle 1, it was investigated if
“forestry management met all applicable legislation of
the country, international treaties and agreements to
which the country is signatory, and its compliance with
all the Principles and Criteria of the FSC”. This principle
requires that activities respect all national and local
laws, and administrative requirements, including labor,
taxation, environmental and financial regulations,
the payment of any applicable and legally prescribed
charges, and protection against illegal exploitation,
human settlements and any other non-authorized
activities. The requirements regarding the fulfillment
of FSC Principles have the primary goal of obtaining
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long-term compliance with forest resources management,
through economic and socio-environmental viability.
Floresta e Ambiente 2018; 25(1): e20150100
the FSC standard, and do not affect compliance with
current legislation, and are, therefore, not dealt with
in this document.
Principle 4 verifies if “forestry management activities
maintained our extended, over the long term, the
economic and social well-being of forestry workers and
local communities”. This principle includes all those
issues related to workers, including full compliance
with labor laws and regulations of the country. It also
verifies steps to improving work conditions, such
as: preference for local workers, controls to reduce
turnover, coaching, trade unions and follow up of
complaints, among others. It also requires an evaluation
of social impacts for workers and forestry activities for
neighboring communities.
The study performed by Basso et al. (2012),
to assess the contribution of forest certification in
seven Forest Management Enterprises located in
Minas Gerais State, Brazil, from 1998 to 2009, found
266 non-compliance referring to 10 principles of the
FSC Standard, and 45.8% of these non-compliance
were related to Principles 1 and 4.
Cubbage et al. (2010) studied the impact of forestry
certification in Argentina, analyzing public reports of
audits of 13 FSC certified forestry managements and
found 137 non-compliances (Corrective Action Requests
CAR) during the period from 2000 to 2007, a much
lower number compared to this study. The authors
also report that there were fewer non-compliances
with companies that received certification for their
plantations than for those who received certification
for natural forests.
The descriptive analysis of the database was
performed from frequency tables and histograms to help
to interpret the data and identify the main problems of
performance in the evaluated forestry organizations.
3. RESULTS AND DISCUSSIONS
During the audit process, non-compliances are
classified as major or minor, based on the level of
danger represented by the non- compliance.
3.1. Non-conformities
The analysis of audit and monitoring reports from
the five forest management units showed 301 cases of
non-compliance related to the 10 principles of FSC
standards. 48% of this total was related to Principles
1 and 4, the focus of this study (Table 1). Principle 4
presented the greater number of non-compliances, followed
by Principles 6 and 8, which refer to Environmental
Impacts and Monitoring and Evaluations respectively.
Principles 6 and 8 essentially consider topics from
Non-compliance is considered major if it results in
a fundamental failure to meet the criterion objective.
A minor non-compliance is an unusual, temporary or
non-systematic non-compliance, which has limited
effects and does not compromise compliance with the
objective of the criterion and the company is able to
implement the corrective measure by the stipulated
deadline.
Table 1. Number and percentage of total cases of non-compliance, major and minor non-compliance found in the
audit reports analyzed for each principle.
Principle
Nº of NC
% NC
NC- Major
% NC - Major
NC- Minor
% NC - Minor
1
2
3
4
5
6
7
8
9
10
Grand Total
30
6
4
114
7
51
18
40
23
8
301
10%
2%
1%
38%
2%
17%
6%
13%
8%
3%
100%
4
0
2
16
2
4
3
6
5
0
42
10%
0%
5%
38%
5%
10%
7%
13%
12%
0%
100%
26
6
2
98
5
47
15
34
18
8
259
10%
2%
1%
38%
2%
18%
6%
13%
7%
3%
100%
Where: NC = Non-Compliance.
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As shown in Table 1, from 301 non-compliance
found, 42 were classified as major and 259 as minor,
representing 14% and 86% of the total number,
respectively. Principle 1 presented 4 major and
26 minor non-compliances. Principle 4 presented
16 major and 98 minor instances of non-compliance.
Principles 1 and 4 represent 48% of total major and
minor non-compliance, in this study.
Basso et al. (2012) found 35 major and 231 minor
non-compliances from a total of 266 verified. In other
words, major and minor non- compliances represented
13 and 87%, respectively. Principles 1 and 4, represented
37.1% of major and 52.9% of minor non-compliances.
When major non-compliances are detected, they
must be corrected before the certificate can be granted.
If the company is already certified, the deadline to achieve
full compliance is three months after the detection of a
major non- compliance. In this case, a new evaluation
is necessary to remove the identified non-compliance.
Minor non-compliances are registered for continuous
monitoring, and must be corrected within a specified
timeframe for the maintenance of certification.
3.1.1. Principle 1: compliance with legislation
and FSC principles
All non-compliances related to Principle 1, were
analyzed and subsequently classified in six distinct
categories according to the problem verified.
The main problems observed were related to
non-compliance with environmental regulations,
constituting 40% of all cases. Secondly, current
legislation showed 23% and labor legislation showed
17% of non-compliance, which is the subject of this
study. Following this, illegal actions, compliance with
FSC Principles and Criteria and lawsuits and legal
issues, with 10%, 7% and 3% of non- compliances,
respectively, were observed as shown in Figure 1.
The main problems related to Principle 1 were linked
to environmental legislation (40%), focusing mainly
on a lack of environmental permission for activities
performed (gravel extraction, forest nurseries, wood
charcoal production), annotation of legal reserves of
properties, lack of water and high use license granting
and monitoring for water use, presence of commercial
plantations in areas of permanent preservation and
use of oil burning for chain lubrication.
Compliance with Environmental and Social Legislation… 5/11
Figure 1. Percentage of non-compliance relating to
Principle 1 classified the causes related to categories.
All non-compliance related to environmental
regulations during the period covered by this study was
resolved, showing the benefit of forestry certification
in relation to legal compliance in activities realized by
forestry companies.
Baptistel et al. (2011), analyzing the FSC forest
certification process in companies in the state of
Santa Catarina, Brazil, reports that in complying with
environmental regulations, companies seeking forestry
certification eliminated planting in inappropriate
areas, registration of legal reserves and increased the
suitability of planting areas. Therefore, they began to
have a better understanding of their plantations, their
dimensions and the real productivity, allowing for
more efficient planning.
The problems associated with the current legislation
(23%) were mainly related to the breach of Article 99
of the Brazilian Traffic Code - Law nº 9503/97 (Brasil,
1997) known as “The Law of Balance” involving
trucks carrying wood driving overweight, as well as
non-compliance with other laws applicable to forestry
activities. All non-compliance related to these issues
was also addressed during the review period for these
certificates. For the main problems encountered in
relation to overweight trucks, companies established
methods to monitor and weigh the trucks, which have
been effective, as seen in the audit reports.
Paiva (2012), analyzing forest certification in a
pulp industry company in the state of Paraná, Brazil,
showed in his study recurrent problems relating to the
violation of the balance law. According to Lopes et al.
(2006), these problems are intrinsic to forestry, since
there are technological deficiencies involving ineffective
or unreliable equipment used to meet the specifications
contained in the legislation.
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The lower percentage of non-compliances related to
labor legislation (17%), can be justified considering that
the FSC standard workers’ rights and various aspects
of applicable law are also addressed in Principle 4.
Their main causes were related to incorrect payments
to employees, implementation and compliance with the
working hour regime, lack of monitoring of companies
providing service for the implementation of labor
legislation with its employees and non-compliance
with clauses of the collective agreement. Forestry
certification also contributes to compliance with labor
laws as seen in reports, where all non-compliance
was rectified over the period analyzed with better
monitoring of workers’ rights.
Castral (2003) studied the impact of forest certification
on working conditions showing that the enforcement of
labor legislation is being performed after implementation
of forest certification in the company studied. There,
workers met the established working schedule and
when this was exceeded overtime was paid.
Several international studies have examined the
effectiveness of FSC and PEFC forestry certification.
For example in Europe, WWF analyzed 2817 Corrective
Action Requests made by a series of World Wildlife Fund
European Forest Programs in several countries, covering
18 million hectares of certified forests and concluded
that FSC certification improved the conservation
status, and levels of biodiversity were strengthened in
forests. This included the consistent implementation of
Environmental Impact Statements (EISs); identification,
mapping and management or protection of natural
areas and biotypes; increased deadwood levels; more
natural regeneration to encourage species diversity; and
restoration of threatened forest types. Better economic
outcomes included more effective game management;
better planning and long-term sustainability; more
effective monitoring of objectives; improved marketing
and product tracking; and improved recreational, cultural,
and historical benefits. Social benefits included better
implementation of health and safety legislation; better
equipment training; and public safety improvements
(WWF, 2005).
Illegal actions, commitments to FSC Principles
and Criteria and legal disputes represent 10, 7, and 3%
respectively and are related to specific standard rules,
not affecting legal compliance, so these will not be
discussed in this study.
Floresta e Ambiente 2018; 25(1): e20150100
3.1.2. Principle 4: community relations and
workers law
The same procedure was performed for cases of
non-compliance related to Principle 4, however, these
were grouped into three categories depending on their
causes (Figure 2).
As shown in Figure 2 the main problems encountered
were related to occupational health and safety, totaling
56%, followed by workers’ rights with 23% and impacts
and social programs with 21%.
In Argentina, most of the violations found were
associated with improvements in the relationship with
the community, with better communication and support
for local communities and the rights of workers, mainly
through training and safety. Following these, the second
largest group was related to environmental impacts and
protection of biodiversity. The tracking / monitoring and
evaluation of activities was third (Cubbage et al., 2010).
As the item “Occupational Health and Safety”
showed common violations in non-compliance analyzed
in Principle 4, these violations were also classified
according to the main causes of these problems and
non-compliance will be better addressed in accordance
with Figure 3.
Figure 2. Percent of non-compliance related to Principle
4 classified according to the related causal categories.
Figure 3. Percentage of non-compliance related to
occupational health and safety, classified according to
its main causes.
Floresta e Ambiente 2018; 25(1): e20150100
Cases of non-compliance observed in terms of
workers’ rights (23%) were mainly related to the lack or
ineffective monitoring by forestry companies of service
provider companies to ensure compliance with labor
legislation, with evidence of working hours increased
beyond permitted levels, employees working without
registration and payment inconsistencies. For corrective
actions, all companies intensified the monitoring of
their service provider companies, with more intense
and regular check ups involving hiring professionals
specifically responsible for this monitoring. With
compliance to labor regulations once again established
forestry certification was reinstated, bringing benefits
for the certified company and its employees.
Even given the workers’ rights, problems with
collective agreements were found where agreed benefits
were not being fully met. There was a lack in terms of
respect for employee rights and the guarantee of basic
salary and benefits for all workers, including food
stamps, health insurance, transportation vouchers,
and payment of overtime, among others. All cases of
non-compliance were resolved within the evaluated period
contributing to the meeting of collective agreements,
ensuring benefits for employees of certified operations.
Problems with dialogue and employee grievances
were also found and a rapprochement between
representatives of the company and staff was the
solution created for this non-compliance.
Differences in treatment between service provider
companies and its employees was also observed, which
is not permitted according to forestry certification,
ensuring that all workers who perform the same
forestry activities have the same benefits and wages.
Castral (2003) reports that after analyzing forest
certification there were no significant changes to worker
salaries. However, the employee position becomes more
stable with a fixed salary, independent of production,
and the benefits guaranteed by the collective bargaining
agreement.
The impacts and social programs representing 21%
of non-compliance relating to Principle 4, are directly
linked to the lack of evaluation of socioeconomic
impacts on a scale and intensity proportional to the
transactions, which includes all communities affected,
as well as determining systematic measures for the
prevention and mitigation for these impacts caused
by forestry operations.
Compliance with Environmental and Social Legislation… 7/11
Another relevant factor was the relationship and
communication of the forestry companies with the
surrounding communities. When an enterprise opts
for forestry certification it must have a channel to
communicate with local communities and between
stakeholders regarding critical issues requiring action
and monitoring. To solve these problems proximity
with surrounding communities with disclosure by the
company was sought, establishing partnerships with
Non-governmental Organization (NGOs) and trade
unions, beneficial to both sides. For local communities,
there is the development of the region, job creation,
hand training work, financial or technical support and
implementation of social projects, with the monitoring
of performance and results achieved by the projects over
time. As for the forestry companies, the greatest benefit
is acceptance of the activities realized in the region,
which is often a major hurdle to be faced. Therefore,
this guarantees protection for the enterprise activity.
Baptistel et al. (2011) in his study found social
improvements with the development of activities,
programs, plans with communities, NGOs, associations,
institutions and local schools. In this manner, it was
possible to realize a more integrated production
system with the surrounding community generating
direct and indirect benefits. With this, the community
becomes a partner in the surveillance and security of
forest management units and generally showing the
achievement of higher values.
Forest certification guarantees workers that their
activities are conducted according to the standards
established by law, according to NR 31- Occupational
Health and Safety in Agriculture, Livestock, Forestry,
Forest Use and Aquaculture. Thus, the monitoring
of forestry systems developed by forestry companies
showed the greatest non-compliance (56%).
Monitoring systems made by forestry companies
did not ensure that healthy, hygienic and safe working
conditions for forestry workers were met. To remedy
these problems companies expanded their monitoring
of service provider companies and its own employees,
carrying out prior inspections and verifying compliance
with the requirements of NR 31, thus ensuring better
working and service conditions in terms of current
legislation.
Another requirement is that safety equipment
must be adequate for the standard and should be made
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available and used in the workplace by employees.
However, the monitoring of the use and supply of
Personal Protection Equipment (PPE) was another
very important factor found in the audit reports
analyzed. This resulted in an intensification in the
use and availability of PPE for their employees and
service provider companies, ensuring greater safety
and reducing the risks of accidents.
Paiva (2012) reports that the use of PPE is complicated
by the worker awareness regarding the importance of its
use, the non-compliance with operational requirements,
and the underestimation of the dangers associated
with forestry activities. Castral (2003) discusses an
alternative to ensure the use of PPE by workers involving
the application of a punishment for noncompliance,
which generated positive changes in terms of the use
of equipment.
The living quarters for workers must be adequate to
current legislation (NR31), which was also identified as
inadequate by the established monitoring systems. Surveys
were extended to the accommodation of employees to
remedy the non-compliance found during the study
period. It notes that because of the difficulty to monitor
and maintain these quarters, some companies chose to
no longer use this system, bringing a greater benefit to
workers living under these conditions.
The exposure of forestry workers to accidents and
diseases caused by the activities performed was also
identified by the study. Corrective measures required by
forestry certification to mitigate accidents and illnesses
that occur through exposure during work, include
conducting admission tests for regular employees,
drafting documents such as an Environmental Risk
Prevention Program and Control Program Occupational
Health and identifying the relevant risks for each
activity. Consequently, methods have been put in place
to minimize or mitigate these risks through the use of
PPE, performing gymnastics, and improving ergonomic
conditions, among others.
The use of machinery and vehicles inadequate to the
working situation (18%), are mainly related to machines
without minimal safety equipment, in a poor state of
repair, inadequate passenger transport vehicles and
with chemicals improperly stored, thus causing risks
for workers using such vehicles or machines. To solve
these problems, measures such as regular monitoring,
and exchange or retirement of vehicles and machines
that did not present minimal conditions of use were
Floresta e Ambiente 2018; 25(1): e20150100
adopted, thus offering better working conditions and
safety for its employees.
Problems related to Food and Training accounted
for 13% of all non-compliance related to occupational
health and safety. The main violations found related
to food were the breach of Resolution RDC nº 216 of
15 September 2004 setting out best practice for Food
Service, regarding the qualitative and quantitative
aspects of the meals served to the workers. In addition
to providing drinking water in the work fountains, it
must be fit for human consumption (Brasil, 2004). In an
effort to solve this problem adjustments according to
RDC nº 216 were made obligatory. Therefore, workers
at certified enterprises have adequate food for the
activities realized, bringing great benefits to workers.
Castral (2003) found that after forestry certification
there were significant improvements regarding worker
supply, where in addition to receiving monthly food
stamps, workers received food during the work period
and they took their meals in a suitable environment.
Certification requires a training program and
training for all activities performed by employees and
contractors who run the enterprise. The problems relating
to training are mainly related to first aid training, and
those newly hired without proper and /or ineffective
training. These factors may impact worker safety and
to solve the problem partnerships were signed with
entities who realize training in a schedule to include
all employees. This led to a reduction of occupational
accidents and optimization of activities.
Principle 4 showed a higher frequency of
non-compliance due to the great difficulty of monitoring
compliance regarding health and safety questions of
existing workers in the country, and the difficulty to
raise awareness of forestry workers to comply with these
questions. Forestry activities have undergone a positive
change regarding labor issues, which until then, were
carried out in precarious conditions and in violation of
any applicable laws. Workers were required to expend
significant energy to ensure effective improvements.
Regarding social issues, the certification system evaluation
method occurs via stakeholder public consultations and
brings direct answers from the surrounding population,
who can express their dissatisfaction regarding forestry
activities, leading to the identification of deviations
during audits, and the occurrence of non-compliance
and observations to be addressed by the project looking
for social improvements.
Floresta e Ambiente 2018; 25(1): e20150100
Paiva (2012) found that the main non-compliances
related to Principle 4 were primarily related to health
and safety questions and social issues.
Still, the same author observed that lower levels of
non-compliance were related to worker safety aspects,
such as the absence or misuse of PPE, lack of training,
and a lack of corporate policy for the termination of third
parties, among other safety aspects. On the other hand,
the most significant non-compliance issues related to
social questions, where the enterprise had to consider
its role in influencing communities, engagement and
perception of interested parties as well as existing
communication tools. Demands relating to social needs
included more specific initiatives by the enterprise, such
as establishing initial meetings for forestry operations,
responding to demands and minimizing direct impacts
on the community, such as those from truck traffic,
which include noise and dust.
Studies conducted in the US show that the main
violations found in FSC certified companies are listed,
in order, as: Management Plans (operations required
to make improvements), Monitoring, Inventory and
Mapping. Prominent ecological issues were also related
to a high number of violations, such as: operations
requiring improvements in the thematic area Sensitive
Sites and High Conservation Value Forests, and areas of
Threatened and Endangered Species, and Woody Debris,
Snags and Heritage Trees have also been identified.
Conditions addressing social issues, such as Special
Cultural Sites and Worker Safety, generally have the
lowest number of violations, with no violations found
in conditions for Worker Wages and Living Conditions
(Newsom et al., 2006).
It has been found that certified operations in
the US are required to improve ecological aspects
more frequently than social ones, which confirms
the hypothesis proposed by some observers that the
standards of forest certification in Northern countries
tend to focus more on ecological issues, while southern
countries tend to focus on economic and social aspects
(Ros-Tonen, 2004).
Compliance with Environmental and Social Legislation… 9/11
the norm or standard of FSC that may in the future
lead to non-compliance.
The audit reports considered the five forest management
units analyzed in this study. 138 observations for the
10 principles of the FSC standard were identified.
Of these 57% were related to principles 1 and 4 (Table 2).
Principle 4 showed the highest number of observations,
followed by Principles 6 and 1.
The observations found relating to Principle 1 totaled
10% (Table 2), these were analyzed and then selected
and grouped into five distinct categories according
to the problem verified, similar to the procedure for
noncompliance.
3.2.1. Principle 1: compliance with laws and
FSC principles
The main problems found in the comments in
relation to Principle 1, were related to breaches of
current legislation totaling 57%. This was followed by
an absence of commitment to the principles and criteria
of FSC totaling 29%, while legal disputes accounted
for 14% as shown in Figure 4.
Table 2. Number and percentage of observations found
in audit reports analyzed for each principle.
Principle
Number of observations
%
1
2
3
4
5
6
7
8
9
10
Grand Total
14
2
3
65
4
23
13
7
3
4
138
10%
1%
2%
47%
3%
17%
9%
5%
2%
3%
100%
3.2. Audit observations
In analyzing the audit reports of certified forestry
enterprises in Brazil there were many observations,
particularly regarding principles 1 and 4, showing
the importance of analyzing this data given that
observations are violations or breaches of an item from
Figure 4. Percentage of observations relating to
Principle 1 classified into categories related to their
causes.
10/11 Leite MVS, Antunes AFF, Cabacinha CD, Assis AL, Gama AT, Sales NLP
The current legislation is that 57% is directly related
to recommendations for frequent monitoring of state
and local legislation so that there is non-compliance
thereof, recommendations for implementation of
a receiving system and analysis of the applicability
of law. The lack of hygiene items and occupational
health and safety in the operating fronts have also
generated observations. Another factor was the need to
obtain grants from the environmental agency and the
implementation of procedures and monitoring systems
for compliance with the Act scale. Thus observations
relating to Principle 1, identified possible faults in
the forestry companies to fulfill current legislation, at
federal, state, and municipal levels and prevent these
from becoming cases of non-compliance in the future.
The commitments to the principles and criteria of
the FSC and legal disputes accounted for 29 and 14%,
respectively. They specifically targeted given standard
rules, and did not affect legal compliance, so this was
not considered in this study.
3.2.2. Principle 4: community relations and
workers’ rights
For Principle 4, the main problems encountered
were related to health and safety totaling 55%, workers’
rights followed this with 28% and impacts and social
programs had 17% according to Figure 5.
The main observations related to occupational
health and safety (55%) were related to failures in
communication systems in emergency situations and the
use of mobile phones for this purpose. This suggested
existing facility improvements, hygiene and cleanliness
of first aid equipment, improved signaling activities,
inconsistencies in documents, use of PPE, machinery
and vehicles with incomplete safety items, worker
food monitoring, ergonomic issues and improvements
Floresta e Ambiente 2018; 25(1): e20150100
to working conditions. Therefore, it is clear that
observations are intended to promote improvements
and prevent possible problems that can arise related
to worker health and safety, helping the enterprise to
monitor these factors and workers in the improvement
of working conditions.
Observations classified as workers’ rights (28%)
seek to minimize the differences in benefits offered
to workers themselves and third parties, improving
the benefits for all so that everyone is entitled to a
health care plan, and prioritize the labor of workers
from communities nearby to the forestry company.
As previously observed, it was found that observations
mark potential improvements for workers and highlight
potential violations of labor rights.
The impacts and social programs (17%) are
directly linked to social projects developed by the
company, and can be improved, expanded and better
monitored for information of the benefits brought by
the projects. Moreover, the best analysis of insertion of
stakeholders into the communities shows benefits for
the local communities with the development of social
projects and increasing acceptance of the activities of
the enterprise in the location.
Paiva (2012) in his study reports that Principle
4 showed the most significant violations in audit
reports analyzed, including observations, and minor
and major non-compliances, representing 41% of the
total violations.
4. CONCLUSION
In the analysis of the FSC certification principles in
relation to forestry management, the resolution of all
violations identified during the study period showed
that certification provided numerous benefits for the
forestry sector and the locations situated around these
projects. These benefits include better environmental
control, compliance with labor laws and improvements
in occupational health and safety conditions that
contribute to the progress of these activities in Brazil.
SUBMISSION STATUS
Figure 5. Percentage of observations relating to
Principle 4 classified according to the related causal
categories.
Received: 16 mar., 2016
Accepted: 24 nov., 2016
Floresta e Ambiente 2018; 25(1): e20150100
Compliance with Environmental and Social Legislation…11/11
CORRESPONDENCE TO
2006; 30(6): 961-968. http://dx.doi.org/10.1590/S010067622006000600011.
Marcos Vinicius Santana Leite
Programa de Pós-graduação em Ciências
Florestais, Universidade Estadual do Sudoeste da
Bahia – UESB, Campus de Vitória da Conquista,
Estrada do Bem Querer, Km 04, Módulo de
Pós-graduação Stricto Sensu, 1º andar, sala 04,
CP 95, CEP 45031-900, Vitória da Conquista, BA,
Brazil
e-mail: santanav.marcos@gmail.com
Leite MCS. A importância da certificação florestal para
o comércio exterior [specialization’s thesis]. Cárceres:
Programa de Pós-graduação em Gestão de Agronegócio,
Universidade de Cuiabá; 2007.
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