APPENDIX 1. Themes of criteria and each criterion's underlying indicators that were used to compare the sustainable performance of Forest Stewardship Council, Canadian Standards Association Sustainable Forestry Management Standard, and Sustainable Forestry Initiative. Numbers refer to the reference in which the data were extracted. Bolded numbers correspond to references that found a certification system successfully met a sustainable forest management indicator. Italicized numbers correspond to references that found a certification system did not meet a sustainable forest management indicator. See Methods for details about how success and failure were assigned.

Theme, Criterion, and Indicators Time System
Forest Stewardship Council Canadian Standards Association's Sustainable Forestry Management Standard Sustainable Forestry Initiative
 
Theme 1. Product tracking and claims5
 
1.1 Labeling system7
Has a product label5, 7 Pre – 2002 7,12, 20, 21, 22, 25, 28 7, 12, 24 7, 20, 21, 23, 25, 28
  2003–2009 2, 5, 8, 15, 16, 17, 18, 19, 26, 27, 32 2, 5, 8, 15, 16, 17, 18, 19, 26, 27, 31 2, 5, 8, 15, 16, 17, 18, 19, 26, 27, 33
Has a credible Chain of Custody7 Pre – 2002 7, 20, 21, 25 7, 24 7, 20, 21, 23, 25
  2003–2009 5, 8, 11, 15, 16, 18, 19, 26, 27, 32 5, 8, 11, 15, 16, 18, 19, 26, 27, 31 5, 8, 11, 15, 16, 18, 19, 26, 27, 33
Chain of Custody is audited7 Pre – 2002 7, 25 7, 24 7, 25
  2003–2009 8, 16, 18, 27, 32 8, 16, 18, 27, 31 8, 16, 18, 27, 33
Does not use uncertified or illegal sources in product line5 Pre – 2002 7, 25 7, 24 7, 25
  2003–2009 2, 5, 8, 16, 17, 18,19, 27, 30, 32 2, 5, 8, 16, 17, 18, 19, 27, 30, 31 2, 5, 8, 16, 17, 18, 19, 27, 30, 33
 
Theme 2. System function
 
2.1 Certification
Assessment process with auditors is well coordinated4 Pre – 2002 4, 9 4, 9
  2003 – 2009 8, 13 8 8, 13
Clarity of certification4 and consistency in auditing Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003 – 2009 8, 11, 13, 16 8, 11, 16 8, 11, 13, 16
Third party certification team was of overall quality and expertise4 Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003 – 2009 13, 16 16 13, 16
Evaluation was thorough in all aspects4 Pre – 2002 4, 9 4, 9
  2003 – 2009 13, 16 16 13, 16
Assessment was efficient4 Pre – 2002 4, 9 4, 9
  2003–2009 13 13
Certification is at the Forest Management Unit and not regionally7 Pre – 2002 6, 7, 25 7, 24 6, 7, 25
  2003–2009 5, 8 5, 8 5, 8
Scheme is based on a minimum performance-based threshold Pre – 2002 7, 9, 25 7, 9 7, 25
  2003–2009 8, 11, 26, 32 8, 11, 26, 31, 34 8, 11, 26, 33
Certification is cost-effective for companies7 Pre – 2002 4, 7, 9 7, 24 4, 7, 9, 25
  2003–2009
Certification is updated periodically Pre – 2002 7, 25 7, 24 7, 25
  2003–2009 5 5 5
2.2 Stakeholder participation in certification and standard setting
Clear ecological participation Pre – 2002 4, 6, 7, 9, 20, 21, 22, 25 7, 24 4, 6, 7, 9, 20, 21, 23, 25
  2003–2009 8, 11, 16, 17, 19, 29, 32, 34 8, 11, 16, 17, 19, 29, 31, 34 8, 11, 16, 17, 19, 29, 33, 34
Clear social participation Pre – 2002 4, 6, 7, 9, 20, 21, 22, 25 7, 24 4, 6, 7, 9, 20, 21, 23, 25
  2003–2009 8, 11, 16, 29, 32, 34 8, 11, 16, 29, 31, 34 8, 11, 16, 29, 33, 34
Clear economic participation Pre – 2002 4, 6, 7, 9, 20, 21, 22, 25 7, 24 4, 6, 7, 9, 20, 21, 23, 25
  2003–2009 8, 11, 16, 29, 32, 34 8, 11, 16, 29, 31, 34 8, 11, 16, 29, 33, 34
Balanced and equal participation by all stakeholders Pre – 2002 4, 7, 9, 20, 21, 22, 25 7, 24 4, 7, 9, 20, 21, 25
  2003–2009 8, 16, 29, 32, 34 8, 16, 29, 31, 34 8, 16, 29, 33, 34
2.3 Public input4
On certification4 Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003–2009 17, 32, 32 17, 31, 34 17, 33
On forest management practices4 Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003–2009 17, 32 17, 31, 34 17, 33
On developing the standard5 Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003–2009 5, 8, 15, 17, 32 5, 8, 15, 17, 31, 34 5, 8, 15, 17, 33
On judging conformance to the standard5 Pre – 2002 7, 24, 25 7, 24 7, 25
  2003–2009 5, 17 5, 17, 34 5, 17
2.4 Repeatability6 and consistency7
Standards have clarity4 Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003–2009 8 8 8
Standards are consistent, comprehensive, and balanced4 Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003–2009 8, 32 8, 31 8, 33
Field visits are required8 Pre – 2002 7, 25 7, 24 7, 25
  2003–2009 8 8 8
Annual monitoring and audits8 Pre – 2002 7, 25 7, 24 7, 25
  2003–2009 8, 26 8, 26 8, 26
Clear and rigorous procedures for standard setting, certification, and accreditation Pre – 2002 4, 7, 9 7, 24 4, 7, 9, 25
  2003–2009 8, 11, 13, 16 8, 11, 16 8, 11, 13, 16
2.5 Adaptability
Forest managers/owners are committed to continuous forest management improvement7 Pre – 2002 4, 7, 9, 25 7 4, 7, 9, 25
  2003–2009 3, 5 3, 5 3, 5
When monitoring reveals that forest practices can be improved, the management plan changes3 Pre – 2002
  2003–2009 3 3 3
Demonstrated deficiencies in knowledge are identified and monitoring is adjusted3 Pre – 2002
  2003–2009 3 3 3
Standards are easily applied at the local level and accommodates additional strengthening measures4 Pre – 2002 4, 9 4, 9
  2003–2009
Accommodates unique forest management objectives at a local level4 Pre – 2002 4, 9 4, 9
  2003–2009
Standards are periodically revised to respond to new information3 Pre – 2002
  2003–2009 3, 5 3, 5 3, 5, 34
Discrepancies between results and expectations are taken into account in the next management plan3 Pre – 2002
  2003–2009 3 3 3
2.6 Applicability6
Certifies a variety of forest tenures7 Pre – 2002 6, 7, 24, 25 7, 24 6, 7, 25
  2003–2009 3, 14, 34 3, 14, 34 3, 14, 34
Certifies small forest companies Pre – 2002 7, 25 7, 24 7, 25
  2003–2009 14, 34 14, 34 14, 34
Certifies large forest companies Pre – 2002 7, 25 7, 24 7, 25
  2003–2009 14, 34 14, 34 14, 34
Certifies a wide variety of forest types and sizes7 Pre – 2002 7, 24, 25 7, 24 7, 25
  2003–2009 3, 5, 14, 34 3, 5, 14, 34 3, 5, 14, 34
Certifies regions Pre – 2002 6, 12, 20, 21, 22, 28 12 6, 20, 21, 23, 28
  2003–2009 2, 3, 5, 14, 15, 26, 34 2, 3, 5, 14, 15, 26, 34 2, 3, 5, 14, 15, 26, 34
Certifies nationally Pre – 2002 6, 12, 20, 21, 22, 28 12 6, 20, 21, 23, 28
  2003–2009 2, 3, 5, 14, 15, 26, 34 2, 3, 5, 14, 15, 26, 34 2, 3, 5, 14, 15, 26, 34
Certifies globally Pre – 2002 6, 12, 20, 21, 22, 28 12 6, 20, 21, 23, 28
  2003–2009 2, 3, 5, 14, 15, 26, 34 2, 3, 5, 14, 15, 26, 34 2, 3, 5, 14, 15, 26, 34
2.7 Transparency6, 7
Standard is transparent Pre – 2002 7, 25 7, 24 7, 25
  2003–2009 8, 17, 19, 26, 32 8, 17, 19, 26, 31 8, 17, 19, 26, 33
Certification is transparent Pre – 2002 6, 7, 25 7, 24 6, 7, 25
  2003–2009 16, 17, 19, 32 16, 17, 19, 31 16, 17, 19, 33
Scheme is fully transparent (freely available)7 Pre – 2002 6, 7, 25 7, 24 6, 7, 25
  2003–2009 16 16 16
Has a complaint procedure7 Pre – 2002 6, 7, 25 7, 24 6, 7, 25
  2003–2009 16 16 16
Complaint procedure is effective and transparent7 Pre – 2002 7, 25 7, 24 7, 25
  2003–2009 32 31 33
2.8 High credibility4
With industry4 Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003–2009 2, 16, 26 2, 16, 26 2, 16, 26
With landowners4 Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003–2009 2, 16 2, 16 2, 16
With government4 Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003–2009 2, 16, 26 2, 16, 26 2, 16, 26
With academia4 Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003–2009 2, 16 2, 16 2, 16
With public4 Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003–2009 2, 16, 35 2, 16, 35 2, 16, 35
With environmentalists4 Pre – 2002 4, 7, 9, 25 7, 24 4, 7, 9, 25
  2003–2009 2, 16, 26 2, 16, 26 2, 16, 26
2.9 Monitoring and research3
Crop performance and ecological conditions (soil, water, biodiversity, etc.) are monitored3 Pre – 2002 20, 21, 22, 28 20, 21, 23, 28
  2003–2009 3, 32 3, 31 3, 33
Results from monitoring exercises influence policy, regulations, standards, etc.3 Pre – 2002 20, 21, 22 20, 21, 23
  2003–2009 3, 32 3, 31 3, 33
Procedures are consistent and replicable to allow comparisons3 Pre – 2002
  2003–2009 3, 32 3, 31 3, 33
A long-term monitoring procedure is in place3 Pre – 2002 6, 7, 20, 21, 22, 25, 28 7, 24 6, 7, 20, 21, 23, 25, 28
  2003–2009 3 3 3
Records are accurate, accessible, and protected against mishap3 Pre – 2002
  2003–2009 3 3 3
Environmental impact assessments are conducted3 Pre – 2002 20, 21, 22 20, 21, 23
  2003–2009 3, 32 3, 31 3, 33
 
Theme 3. Quality of forest management2
 
3.1 Ecological issues
Prohibits or limits use of exotic species Pre – 2002 4, 9, 20, 21, 22 4, 9, 20, 21, 23
  2003–2009 1, 15 1, 15 1, 15
Protects rare, threatened, and endangered species Pre – 2002 4, 9, 28 4, 9, 28
  2003–2009 1, 2, 3, 11, 15, 32 1, 2, 3, 11, 31 1, 2, 3, 11, 15, 33
Prohibits or limits clear-cutting Pre – 2002 7, 20, 21, 22, 25 7, 24 7, 20, 21, 23, 25
  2003–2009 1, 2, 15, 16, 17, 19 1, 2, 15, 16, 17, 19 1, 2, 15, 16, 17, 19
Forest is regenerated/reforested after harvesting Pre – 2002 4, 7, 9, 20, 21, 22, 25, 28 7, 24 4, 7, 9, 20, 21, 23, 25, 28
  2003–2009 2, 3, 16 2, 3, 16 2, 3, 16
Percentage of forest soil is protected and conserved3 Pre – 2002 7, 20, 21, 22, 25 7, 24 7, 20, 21, 23, 25
  2003–2009 3, 16, 17, 19, 32, 34 3, 16, 17, 19, 31 3, 16, 17, 19, 33
Prohibits or limits use of harmful chemical pesticides Pre – 2002 4, 7, 9, 20, 21, 22, 25, 28 7, 24 4, 7, 9, 20, 21, 23, 25, 28
  2003–2009 1, 2, 11, 15, 16, 32 1, 2, 11, 15, 16, 31 1, 2, 11, 15, 16, 33
Prohibit or limits use of genetically modified organisms Pre – 2002 7, 20, 21, 22, 25 7, 24 7, 20, 21, 23, 25
  2003–2009 1, 2, 8, 15, 16 1, 2, 8, 15, 16 1, 2, 8, 15, 16
Prohibits or limits conversion of natural forest to plantation Pre – 2002 4, 7, 9, 20, 21, 22, 25 7, 24 4, 7, 9, 20, 21, 23, 25
  2003–2009 1, 2, 8, 15, 16, 19 1, 2, 8, 15, 16, 19 1, 2, 8, 15, 16, 19
Protects genetic- and bio-diversity Pre – 2002 4, 7, 9, 20, 21, 22, 25, 28, 29 7, 24, 29 4, 7, 9, 20, 21, 23, 25, 28, 29
  2003–2009 2, 16, 17, 19 2, 16, 17, 19 2, 16, 17, 19
Respects and protects reserves and high conservation value forests Pre – 2002 7, 20, 21, 22, 25 7, 24 7, 20, 21, 23, 25
  2003–2009 3, 8, 10, 15, 16. 17, 19, 29, 32, 34 3, 8, 15, 16, 17, 19, 29, 31, 34 3, 8, 15, 16, 17, 19, 29, 33, 34
Protects riparian forests and water bodies.3, 11 Water bodies are kept in good quality.4 Pre – 2002 4, 7, 9, 20, 21, 22, 25, 28 7, 24 4, 7, 9, 20, 21, 23, 25, 28
  2003–2009 3, 11, 17, 19, 32, 34 3, 11, 17, 19, 31, 34 3, 11, 17, 19, 33, 34
Protects wildlife habitat4 Pre – 2002 4, 7, 9, 20, 21, 22, 25, 28 7, 24 4, 7, 9, 20, 21, 23, 25, 28
  2003–2009 1, 2, 3, 10, 11, 15, 16, 17, 19, 32 1, 2, 3, 11, 15, 16, 17, 19, 31 1, 2, 3, 11, 15, 16, 17, 19, 33
Site damage is minimal4 Pre – 2002 4, 9, 20, 21, 22 4, 9, 20, 21, 23
  2003–2009 3, 19, 32 3, 19, 31 3, 19, 33
3.2 Social/economic issues
Requires training and safety for all workers4 Pre – 2002 4, 6, 9, 20, 21, 22 4, 6, 9, 20, 21, 23
  2003–2009 32 31 33
Protects workers rights Pre – 2002 20, 21, 22, 28 20, 21, 23, 28
  2003–2009 8, 10, 32 8, 31 8, 33
Protects cultural and historical areas Pre – 2002 4, 7, 9, 20, 21, 22, 25 7, 24 4, 7, 9, 20, 21, 23, 25
  2003–2009 2, 15, 16, 17, 19 2, 15, 16, 17, 19 2, 15, 16, 17, 19
Protects indigenous peoples rights Pre – 2002 4, 7, 9, 20, 21, 22, 25, 28 7, 24 4, 7, 9, 20, 21, 23, 25, 28
  2003–2009 8, 10, 11, 17, 19 8, 11, 17, 19 8, 11, 17, 19
Provides local economic benefits and opportunities4 Pre – 2002 4, 7, 9, 20, 21, 22, 25 7, 24 4, 7, 9, 20, 21, 23, 25
  2003–2009
Waste is utilized as much as possible4 Pre – 2002 4, 9, 20, 21, 22, 28 4, 9, 20, 21, 23, 28
  2003–2009
Promotes sustainability with staff and public4 Pre – 2002 4, 9, 20, 21, 22 4, 9, 20, 21, 23
  2003–2009 16 16 16
1Cashore et al. (2004), 2ÉM (2007), 3Hickey et al. (2005), 4Mater et al. (2002), 5Metafore (2006), 6Oliver (2001), 7Ozinga (2001), 8Ozinga and Krul (2004), 9Sample et al. (2003), 10Sverdrup-Thygeson et al. (2008), 11Tan (2003), 12Wilson et al. (2001), 13Cubbage et al. (2003), 14Oliver (2004), 15Hansen et al. (2006), 16ÉM (2008), 17Abusow (2006), 18Anderson and Hansen (2003), 19BC Market Outreach Network (2008), 20Meridian Institute (2001a), 21Meridian Institute (2001b), 22 Meridian Institute (2001c), 23Meridian Institute (2001d), 24Kill (2001), 25Heaton (2001), 26Sprang et al. (2006), 27Wingate and McFarlane (2005), 28Rickenback et al. (2000), 29Auld and Bull (2003), 30CEPT (2008a), 31CEPT (2008b), 32CEPT (2008c), 33CEPT (2008d), 34McDermott et al. (2008), 35Perera et al. (2008)