理解自愿性可持续发展标准：优势、劣势、机遇和威胁分析（英）--联合国.pdf

unctad.org/tab UNDERSTANDING VOLUNTARY SUSTAINABILITY STANDARDS A strengths, weaknesses, opportunities, and threats analysis Photo credit: Cover © Canva UNDERSTANDING VOLUNTARY SUSTAINABILITY STANDARDS A strengths, weaknesses, opportunities, and threats analysis Geneva, 2023 ii © 2023, United Nations This work is available through open access, by complying with the Creative Commons licence created for intergovernmental organizations, at http://creativecommons.org/licenses/by/3.0/igo/. The findings, interpretations and conclusions expressed herein are those of the author(s) and do not necessarily reflect the views of the United Nations or its officials or Member States. The designations employed and the presentation of material on any map in this work do not imply the expression of any opinion whatsoever on the part of the United Nations concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or bounda- ries. Mention of any firm or licensed process does not imply the endorsement of the United Nations. Photocopies and reproductions of excerpts are allowed with proper credits. This publication has not been formally edited. United Nations publication issued by the United Nations Conference on Trade and Development UNCTAD/DITC/TAB/2023/3 eISBN: 978-92-1-002723-6 iii CONTENTS Acknowledgments .v Abbreviations and acronyms .vi Abstract vii Introduction .viii 1. The internal dimension: VSS strengths and weaknesses 1 1.1 VSS institutional design . 1 1.1.1. Linking VSS design and impacts . 1 1.1.2. Value distribution through VSS 2 1.2 Consultation and adoption of VSS 3 1.2.1. VSS consultation mechanism . 3 1.2.2. Adoption of VSS . 4 2. The external dimension: VSS opportunities and threats . 5 2.1 National and international sustainability standards . 5 2.1.1 India’s case on private sustainability standards . 5 2.1.2. Perceptions of international VSS in China . 6 2.1.3. The case of national standards developed for palm oil sector in Asian countries . 7 2.1.4. The case of regional standards developed for Africa – Eco Mark Africa . 7 2.1.5. The case of Brazil’s industry sectors and it’s adoption of international VSS . 8 2.2 VSS and trade policy 9 2.2.1. VSS under the WTO . 10 2.2.2. Non-trade objectives in trade agreements 10 2.2.3. The trade impact of VSS . 11 2.3 VSS and due diligence 12 2.3.1. Implementation and enforcement . 12 2.3.2. Implications for developing countries 13 2.4 VSS in policy mixes . 14 2.4.1. Goal-based governance and zero-deforestation commitments (ZDC) . 14 2.4.2. Shift away from voluntary, market-based regulatory approaches . 15 3. Conclusion . 17 Bibliography 19 Annex . 21 iv Understanding Voluntary Sustainability Standards: : A Strengths, Weaknesses, Opportunities, and Threats Analysis List of Figures Figure 1 Salient features of incentivization principles and criteria of schemes developed by QCI 6 Figure 2 The trade impact of VSS: the main questions 11 List of Tables Table 1 Internal dimensions of VSS institutional design 3 Table 2 Internal dimensions of VSS sustainability adoption 4 Table 3 External dimensions of VSS interaction with national standards 9 Table 4 External dimensions of the VSS interactions with trade policy and trade agreements 12 Table 5 External dimensions of the VSS interactions with due diligence. 14 Table 6 External dimensions of the VSS interactions with policy mixes 15 v Acknowledgements ACKNOWLEDGEMENTS This report was prepared by Santiago Fernandez de Cordoba, Niematallah E.A. Elamin, Siti Rubiah Lambert and Rupal Verma, Trade Analysis Branch, Division on International Trade and Commodities, UNCTAD, and Axel Marx, Charline Depoorter, Lara Helsen and Eva Boonaert, Leuven Centre for Global Governance Studies, Katholieke Universiteit Leuven (KU Leuven). The report sets out the VSS SWOT Analysis from research findings stemming from the annual Academic Advisory Council meeting held at the KU Leuven on 27-28 October 2022. The Academic Advisory Council 1 provides the United Nations Forum on Sustainability Standards (UNFSS) independent advice on all aspects of Voluntary Sustainability Standards design and impact through research. The 33 academics meet every year to discuss topics of their research interests in the form of expertise. 1 To know more about the Academic Advisory Council 2022 meeting: https://unctad.org/meeting/unfss-academic- advisory-council-annual-meeting-2022-voluntary-sustainability-standards-swot vi Understanding Voluntary Sustainability Standards: : A Strengths, Weaknesses, Opportunities, and Threats Analysis ABBREVIATIONS AND ACRONYMS AAC Academic Advisory Council ARSO Africa Regional Standardization Organization ASI Aluminium Stewardship Initiative EU European Union EMA Eco Mark Africa Global GAP Global Good Agricultural Practices GVCs Global Value Chains IPIECA International Petroleum Industry Environmental Conservation Association ISPO Indonesia Sustainable Palm Oil MSPO Malaysia Sustainable Palm Oil RSPO Roundtable on Sustainable Palm Oil QCI Quality Council of India SASSMAQ Program of Responsible Action and the Safety, Health, Environment and Quality Assessment System SDOs Standard Development Organization SDGs Sustainable Development Goals SMEs Small and Medium Enterprises SWOT Strengths, Weaknesses, Opportunities, Threats UNFSS United Nations Forum on Sustainability Standards VSS Voluntary Sustainability Standards WTO World Trade Organization ZDC Zero-deforestation Commitments vii Abstract ABSTRACT Voluntary Sustainability Standards (VSS) have emerged as key governance tools in global value chains and provide an avenue for enabling sustainable production and consumption practices. The rapid growth in the number of VSS over the last few decades has prompted a consequent growth in the number of studies around VSS. While extant literature focusses on a diverse set of topics centred around VSS, there is no one study that presents the strengths, weaknesses, opportunities, and threats (SWOT) of VSS. Given the growing presence of VSS, it becomes important to understand these dimensions related to VSS. This report therefore provides a succinct SWOT analysis of VSS. The report presents analyses and derives results from the work of key researchers and practitioners in the field of VSS and distils conclusions to effectively understand the use of VSS, their potential and their interactions with several upcoming trade regulations. viii Understanding Voluntary Sustainability Standards: : A Strengths, Weaknesses, Opportunities, and Threats Analysis INTRODUCTION Over the past few decades, Voluntary Sustainability Standards (VSS) have emerged as important tools to address key sustainability challenges. An increasing number of firms are putting these standards at the front and centre of their sustainability approaches (UNFSS, 2022). The UNFSS (2013: 3) defines VSS as “standards specifying requirements that producers, traders, manufacturers, retailers or service providers may be asked to meet, relating to a wide range of sustainability metrics, including respect for basic human rights, worker health and safety, the environmental impacts of production, community relations, land use planning and others”. Even though VSS are voluntary by nature, their increased uptake and consumer demand for sustainable products suggest that VSS are becoming increasingly important. Moreover, they are likely to become even more prominent in the coming years as several new regulatory initiatives are imposing due diligence requirements on firms. There has been a growing consensus among many segments of society about the increasing importance of both sustainability and crisis management. This consensus is borne out by a body of academic and professional literature, the efforts of the international community at the global level, and the promulgation of laws and regulations at national and local levels. This report presents a Strengths, Weaknesses, Opportunities, and Threats (SWOT) analysis of VSS struc- tured around the internal and external dimensions, with a development related lens. The methodological approach of this SWOT analysis derives from the Academic Advisory Council (AAC) collective research expertise among twenty-five academic experts and practitioners around the world, in the way they study and practice VSS. The SWOT framework is an essential tool designed to facilitate a realistic, fact-based, data driven outlook of initiatives, such as VSS, to distil information about internal and external forces that may generate impacts on decision-making. The SWOT is a fundamental tool for experts and practitioners to evaluate and identify current and future potentials. On the internal dimension, the report explores the strengths and weaknesses of VSS in advancing the sustainability agenda, especially in developing countries, with a specific focus on VSS institutional design and on their impacts on the ground. The discussions ultimately distil the settings in which VSS are effec- tive and identify areas for improvement. On the external dimension, the report highlights the opportunities and threats that VSS face as a private governance tool which interacts with other regulatory initiatives. More specifically, the report explores developments in trade policy, national standards, due diligence regulations and policy mixes and the way VSS fit in these. The report assesses the implications of these policy developments for the role that VSS can play to contribute to a consolidated regulatory framework for sustainability and identifies the related challenges especially for developing countries. This report is divided into three chapters. The first chapter breaks down the internal dimension into two sections: VSS institutional design, and VSS consultation and mechanism. The second chapter breaks down the external dimension of VSS into four sections, in each of which the role of VSS is explored: trade policy, national standards, due diligence regulations, and policy mixes. Both chapters present extant and upcoming research relevant for the analysis of VSS internal and external dimensions. Following these two chapters that present a two-dimensional analysis, chapter three provides the conclusions. 1 1 The internal dimension: VSS strengths and weaknesses On the internal dimension of the SWOT analysis, the report highlights the strengths and weaknesses of VSS, focusing on how VSS operate and how this relates to the impact of VSS, equal value distribution opportunities via VSS, consultation mechanisms in VSS and adoption of VSS. 1.1 VSS INSTITUTIONAL DESIGN The design of VSS has long been argued as one of the key factors that influence the effectiveness of the standards (Marx et al., 2022; Lambin and Thorlakson, 2018; Fiorini et al., 2019). However, VSS are not consistent in their design and variation occurs even among VSS that are related to the same product category. This begets exploration on how VSS are designed, set standards and enforce them, and on the effects of VSS design on their impacts on the ground and on value distribution. In terms of strengths and weaknesses, this section unravels the state of play of standard-setting and enforcement mechanisms through multi-stakeholder approaches and identifies rooms for improvement. 1.1.1 Linking VSS design and impacts VSS have grown in number over the last decades and in some sectors, such as agriculture, the proliferation of VSS has been substantial (E.A. Elamin and Fernandez de Cordoba, 2020; Fernandes Martins et al., 2022; Tayleur et al., 2017) they have become a market reality and non-compliance can lead to the exclusion of producers from Global Value Chains (GVCs. The ITC Standards Map 2 is one of the repositories of VSS which currently lists more than 320 VSS and collects information about VSS design and content. More specifically, the ITC Standards Map allows for the identification of product type, scope, and requirements a VSS covers and provides information on governance attributes of a VSS such as how standards are set and how conformity with standards is assessed. As VSS expanded in number, researchers started focusing on the design of VSS in relation to how they set and enforce standards, more specifically through third-party audits, and highlighted that there is significant variation in the design of VSS. In parallel, impact studies on VSS have shown inconclusive evidence on the 2 ITC Standards Map can be accessed at: https://standardsmap.org/en/home © witsarut - Adobe Stock 2 Understanding Voluntary Sustainability Standards: : A Strengths, Weaknesses, Opportunities, and Threats Analysis sustainability impacts of VSS on the ground, which are heterogeneous and highly context specific. Hence, more recently, the research focus has been shifting towards understanding how variation in VSS design relates to variation in their sustainability impacts on the ground. In that respect, a key factor linking VSS design and impacts is compliance, i.e. the extent to which standards are effectively implemented by VSS adopters. Current research puts forward that VSS can encourage compliance through their design, which in turn increases the potential for positive sustainability impacts (Marx et al. 2022). In particular, Depoorter (forthcoming) identifies 3 mechanisms or pathways through which VSS design can foster compliance: (1) the enforcement mechanism, which consists in controlling compliance and sanctioning non-compliance; (2) the market-based incentives mechanism, which consists in encouraging and rewarding compliance; and (3) the capacity-building mechanism, which consists in enhancing the ability of VSS adopters to comply with and implement sustainability standards. These mechanisms are operationalised into several design attributes and indicators that allow to evaluate the degree to which a VSS uses these mechanisms respectively to generate compliance, as well as together to assess a VSS design overall compliance-orientation. From an empirical analysis of 13 VSS, the research finds heterogeneity in the overall compliance-orientation of the design of different VSS. In addition, VSS differ in terms of the mechanisms they use to generate compliance through their design, with some VSS relying strongly on the enforcement mechanism, while others invest more in the capacity-building mechanism to foster standards implementation. Factors such as identity elements of VSS or their history can explain these choices. The research also highlights differences in the extent to which the mechanisms are used across VSS, with the enforcement mechanism being most extensively used, which stems from an audit culture in voluntary regulatory schemes. Yet, efforts are also made to develop the capacity-building and market-based incentives mechanisms. The diversity in the mechanisms used to generate compliance through VSS design has implications for their adoption, legitimacy and effectiveness. 1.