Joint Implementation Framework (JIF)

Transcription

1 Viet Nam European Union Voluntary Partnership Agreement on Forest Law Enforcement, Governance and Trade (VPA-FLEGT) Joint Implementation Framework (JIF) Version 4: December, 2017

2 List of Contents 1. Introduction Background Purpose of the Joint Implementation Framework Preparation of the framework Structure and content of the framework 6 2. Overall Monitoring Tool Description of Strategic Tasks and Outcome Areas Strategic Task 1: VPA ratification process Strategic Task 2: VPA management, monitoring and review mechanisms Organisational arrangements Priority actions and milestones in the JPC period and JIC period Strategic Task 3: Development of VNTLAS legal documents, regulations and information management systems 3.4 Strategic Task 4: Capacity building plans for verification agencies and private sector Training program for sub-national verification agencies Information, advisory and coaching services for the private sector Strategic Task 5: Monitoring and evaluation mechnaisms for VPA implementation Independent Evaluation (Annex VI) Independent assessment of readiness of VNTLAS (Annex VII) Public disclosure of information (Annex VIII) VPA impact assessment and monitoring Strategic Task 6: Information and communications strategy and products Strategic Task 7: Stakeholder engagement, coordination and out-reach mechanisms Multi-Stakeholder Implementation Core Group Out-reach mechanisms and FLEGT Forum events Strategic Task 8: VPA-FLEGT connected and supporting actions Practical Arrangements for JIF Investment and resource planning for JIF Coordination of Technical Assistance inputs Appendix 1. JIF Matrix of Actions Appendix 2 JIF Preparation steps ~ 1 ~

3 List of Tables and Figures Figure 1.1 Phases of VPA implementation 3 Box 1.1 Contents of the VPA 4 Figure 1.2 Elements of VNTLAS 5 Figure 1.3 Links between JIF and Annual Roadmap and detailed plans 10 Figure 2.1 Monitoring framework: critical pathway and milestones 13 Table 2.1 Monitoring framework: description of milestones and indicative timeline 14 Figure 3.1 Organisational arrangements for JIF 21 Figure 3.2 Linkages between priority actions under Strategic Tasks 3, 4, 6 and 7 27 Table 3.1 Potential out-reach channels for private sector target groups 36 Table 3.2 Indicative list of information disclosure agencies 34 Figure 4.1 Coordination of Technical Assistance inputs 44 List of Acronyms DARD DG-ENV EU EU-DEL FIPI FORMIS FSIV JIC JIF JPC LD MARD MOIT MONRE OCS VNFOREST VNTLAS VNGO Network Provincial Department of Agriculture and Rural Development Directorate General Environment, European Commission European Union European Union Delegation to Viet Nam Forest Inventory and Planning Institute Forest Management Information System Forest Sciences Institute of Viet Nam Joint Implementation Committee Joint Implementation Framework Joint Preparation Committee Timber Legality Definition Ministry of Agriculture and Rural Development Ministry of Industry and Trader Ministry of Natural Resources and Environment Organisations Classification System Viet Nam Administration of Forestry Viet Nam Timber Legality Assurance System VNGO FLEGT Network ~ 2 ~

4 1. Introduction 1.1 Background The negotiation of the Voluntary Partnership Agreement on Forest Law Enforcement, Governance and Trade (VPA-FLEGT) between Viet Nam and the European Union (EU) was formally concluded in May The contents of the Voluntary Partnership Agreement are listed in Box 1. Following initialling of the Agreement, it is expected that the transition period to full implementation will take a number of years, involving operationalization of Viet Nam Timber Legality Assurance System (VNTLAS) and the FLEGT Licensing Scheme and other important elements of the VPA. The implementation process can be divided into three broad phases, as shown in Figure 1.1. Figure 1.1 Phases of VPA implementation Initialling Agreement (May 2017) Ratification of Agreement (2018) Independent assessment of readiness of VNTLAS Start of FLEGT licensing Phase 1 Phase 2 Phase 3 Joint Preparation Committee established Joint Implementation Committee established In the first phase, Viet Nam and the EU will follow their respective procedures for ratification of the Agreement, with the expectation that the Agreement will be formally signed and ratified by the two parties within In this phase, preparatory work begins to develop the VNTLAS and the other elements of the VPA (Figure 1.2). A Joint Preparation Committee (JPC) will also be established to guide initial implementation. The JPC will be co-chaired by senior officials from the Ministry of Agriculture and Rural Development (MARD) on behalf of Viet Nam and the EU Delegation on behalf of the EU. The main tasks of the Joint Preparation Committee have been agreed as follows: To facilitate the exchange of information between the parties; To serve as the platform to discuss planning and preparation of the implementation of the Agreement before its entry into force; ~ 3 ~

5 To monitor progress in the design and implementation of the VNTLAS and the Agreement as a whole; and Any other tasks that the parties may jointly agree on. Box 1.1 Contents of the VPA Legal Text (the Agreement) Annex I: Product Coverage: the harmonized commodity codes for timber and timber products covered under the FLEGT Licensing Scheme Annex II: Viet Nam Timber Legality Definition (LD) Appendix 1A Legality Definition for Organisations Appendix 1B Legality Definition for Households Annex III: Conditions governing the release for free circulation in the Union of timber products exported from Viet Nam and covered by a FLEGT License Annex IV: FLEGT Licensing Scheme Appendix 1 FLEGT License format Annex V: Viet Nam Timber Legality Assurance System (VNTLAS) Appendix 1A Development, verification and approval of Legality Definition verifiers for Organisations Appendix 1B Development, verification and approval of Legality Definition verifiers for Households Appendix 2 Supply chain control Appendix 3 Standard form for self-declaration of imported timber sources Annex VI: Terms of Reference for Independent Evaluation Annex VII: Criteria for assessment of the operational readiness of the Viet Nam Timber Legality Assurance System Annex VIII: Public Disclosure of Information Annex IX: Functions of the Joint Implementation Committee In the second phase after ratification, the Agreement formally enters into force, which means that from this point onwards it becomes legally binding according to the provisions of the main text and annexes of the Agreement. In this phase, the Joint Preparation Committee will be replaced by a Joint Implementation Committee (JIC), the functions of which are specified in Article 18 of the Agreement and in Annex IX. ~ 4 ~

6 The actions in this second phase will lead up to a joint independent assessment of the operational readiness of VNTLAS (as specified in Article 12 of the Agreement and in accordance with the criteria specified in Annex VII). This assessment will begin when all the preparatory work has been completed, and the verification and licensing systems and other elements of the VPA are operational, including roll-out of the VNTLAS at subnational level and amongst the private sector. The independent assessment may be conducted in several stages, to allow for weaknesses and actions to be identified, addressed and then reassessed. Viet Nam and the EU will subsequently decide on a date for commencement of the FLEGT licensing scheme which will mark the beginning of the third phase (as specified in Article 12 of the Agreement). The date for commencement of FLEGT licensing will be subject to the successful outcomes of the independent assessment and agreement by the parties that all conditions have been met to move on to full implementation. Figure 1.2 Elements of VNTLAS (1) Timber Legality Definition (LD): Organisations and Households verifiers at all stages of supply chains (3) Organisations classification system and risk-based verification (4) Supply chain control Measures applied to the EU market 1.2 (7) Independent evaluation (2) Development, verification and approval of (6) Internal inspection, complaints and feedback mechanisms National system applied to all domestic and export markets (5) FLEGT Licensing Purpose of the Joint Implementation Framework The purpose of the Joint Implementation Framework (JIF) is to provide a framework for the Joint Preparation Committee, and later the Joint Implementation Committee, to guide and monitor the initial implementation of the Agreement. ~5~

7 The JIF covers the period leading up to the independent assessment of the operational readiness of VNTLAS (Phase 1 and 2 in Figure 1), and it focuses on the steps and actions required to achieve the requirements of the independent assessment. The Joint Implementation Framework has the following specific objectives: To identify the strategic tasks and priority actions needed to establish the institutional mechanisms to implement the Agreement and to prepare and operationalize the VNTLAS and other elements of the VPA; To identify responsibilities and sources of support and funding for these strategic tasks and priority actions; To help promote stakeholder engagement and coordination around the actions for implementation of the Agreement; and To provide a framework for monitoring implementation of the Agreement. 1.3 Preparation of the framework The Joint Implementation Framework has been prepared through a multi-stakeholder process, and is presented to the first meeting of the JPC for endorsement. The preparation steps are summarized in Appendix 2. It is intended that the JIF will be a living document that will be revised and adapted along the way as may be necessary. Implementation of the VPA will be a complex process, including many different technical elements and lines of activity, as well as involving a wide range of stakeholders. Therefore some flexibility will be needed to adapt the JIF as circumstances arise. Any major revisions to the JIF will be coordinated through VNFOREST and tabled for discussion at subsequent meetings of the JPC/JIC, and where needed at prior meetings of the Joint Expert Meeting. 1.4 Structure and Content of the JIF The JIF is organised around the following hierarchy: Eight Strategic Tasks Outcome Areas related to the strategic tasks Actions which contribute to and support each outcome area Milestones (or priority actions) to monitor progress. The JIF document includes five parts: ~ 6 ~

8 Overall Monitoring Tool (Section 2) Description of Strategic Tasks, Outcome Areas and Milestones (Section 3) Practical arrangements for JIF (Section 4) JIF Matrix (Appendix 1) Annual Roadmap Overall Monitoring Tool Section 2 of the JIF presents a Monitoring Tool that is designed to enable the JPC/JIC to monitor the overall progress of implementation leading up to the independent assessment of readiness of VNTLAS. The Monitoring Tool uses a number of Milestones (or priority actions) taken from the JIF Matrix (Appendix 1). Not all actions listed in the JIF Matrix are selected as milestones, but only those priority actions which are considered crucial to achieve progress in the initial implementation of the Agreement. The specific objectives of the Monitoring Tool are to enable the JPC/JIC to: (i) track progress under each of the Strategic Tasks and Outcome Areas; (ii) identify tasks and actions that may be experiencing delays or difficulties in implementation; and (iii) to provide an input for the JPC/JIC to assess the extent to which the outcome areas have been effectively achieved (i.e. towards establishing the nationally applied VNTLAS). The monitoring tool is linked to the JIF Matrix and Annual Roadmap, and as such will be periodically updated and will form part of the technical reporting to the JPC/JIC Strategic Tasks and Outcome Areas Section 3 of the JIF provides a description of the Strategic Tasks and Outcome Areas, which have been identified through consultation between VNFOREST and the EU and with other stakeholders during preparation of the JIF. It is intended that the strategic tasks and outcome areas will remain fixed; but there will be adjustment as may be needed to the supporting actions under each heading and sub-heading along the way. The eight Strategic Tasks and Outcome Areas are as follows: Strategic Task ❶ VPA ratification process 1.1 VPA document package completed 1.2 EU ratification procedure completed 1.3 Viet Nam ratification procedure completed 1.4 Agreement ratified and published ~ 7 ~

9 Strategic Task ❷ VPA management, monitoring and review mechanisms 2.1 JPC established, supported and fulfilling its functions (period before ratification) 2.2 JIC established, supported and fulfilling its functions (period after ratification) Strategic Task ❸ Development of VNTLAS legal documents, regulations and information management systems 3.1 VNTLAS investment and resource plan prepared 3.2 Preparatory work for VNTLAS and FLEGT licensing completed 3.2a Forest law violations information management system 3.2b Organisations Classification System (OCS) 3.2c Timber supply chain control system and timber product dossier requirements 3.2d Geographic risk categories for timber import controls 3.2e Species risk categories for timber import controls 3.2f Additional documentary evidence for timber import controls 3.2g Recognition by VNTLAS of voluntary and national certification schemes 3.2h FLEGT Licensing procedures 3.3 VNTLAS legal documents and regulations prepared and approved 3.4 Information management systems for OCS and FLEGT licensing established 3.5 VNTLAS guidelines and systems are field-tested Strategic Task ❹ Capacity building plans for verification agencies and private sector (Organisations and Households) 4.1 Capacity/training needs assessments conducted 4.2 Verification and licensing entities have capacity to implement VNTLAS 4.3 Organisations and Households are ready for VNTLAS implementation Strategic Task ❺ Monitoring and evaluation mechanisms for VPA implementation 5.1 Independent Evaluation and related complaints mechanisms underway (Annex VI) 5.2 Independent assessment of readiness of VNTLAS underway (Annex VII) 5.3 Provisions for public disclosure of information fully in place (Annex VIII) 5.4 Mechanisms in place for VPA impact assessment and monitoring Strategic Task ❻ Information and communications strategy and products 6.1 Information on the VPA and VNTLAS is effectively communicated jointly by the Parties 6.2 Information and communication programs for different stakeholder groups conducted Strategic Task ❼ Stakeholder engagement, coordination and outreach mechanisms 7.1 Stakeholder engagement and coordination mechanisms established and supported ~ 8 ~

10 7.2 FLEGT Forum events on VPA-FLEGT and VNTLAS initiated 7.3 Out-reach with provincial government leaders and local authorities 7.4 Out-reach with local communities and CSOs 7.5 Out-reach with non-domestic private sector actors Strategic Task ❽ VPA-FLEGT connected and supporting actions 8.1 Development of related industry standards on timber legality 8.2 VPA-FLEGT related research and studies 8.3 Technical developments related to VNTLAS implementation 8.4 Regional and cross-border initiatives related to VPA-FLEGT JIF Matrix A detailed Matrix of the Strategic Tasks and Priority Actions is given in Appendix 1. The purpose of the JIF Matrix is threefold. First, to provide an overall picture of the current situation with respect to the actions of stakeholders involved in the process, for which it is intended that the JIF Matrix will be periodically updated. Second, to help prioritize actions and to identify gaps in support. And third, to help promote coordination and synergy between these actions and the stakeholders involved. The JIF Matrix sets out the following information: (i) the main areas of action of different stakeholders related to each strategic task and outcome areas; (ii) responsibilities, including the lead agency or agencies that are responsible for each action and partner or supporting agencies; (iii) status of the action (proposed / planned / underway / completed); and (iv) the funding source or funding requirement Practical arrangements for JIF Section 4 sets out some practical arrangements for the JIF, including steps to ensure effective coordination of Technical Assistance inputs to the process. It should be noted that this section does not include the main VPA implementation mechanisms, which are covered as actions in other sections of the framework Annual Roadmap and detailed plans To implement the JIF, the JPC/JIC will prepare an Annual Roadmap that sets out the activities for each year, linked to the Monitoring Tool presented in Section 2. Two more detailed implementation strategies and plans will also be prepared for key elements of the JIF as shown in Figure 1.3. ~ 9 ~

11 Figure 1.3 Links between JIF, Annual Roadmap and detailed plans Annual Roadmap Joint Implementation Framework Strategic Tasks & Outcome Areas Monitoring Tool (Milestones) Matrix of Actions VNTLAS Investment and Resource Plan Public Disclosure of Information and Communications Strategy and Plan ~ 10 ~

12 2. Overall Monitoring Tool The Monitoring Tool is presented in Figure 2.1 and Table 2.1. Figure 2.1 identifies the 58 milestones (priority actions) that need to be achieved leading up to the independent assessment of readiness of VNTLAS. The milestones are shown in lettered boxes (A, B, C etc.) and the status of each milestone is colour-coded (blue = action underway; yellow = action completed/achieved). Table 2.1 gives a description of each milestone and an indicative timeline for implementation, together with narrative comments (progress and status of the action, reasons for any delays or difficulties in implementation, and effectiveness in achieving the milestones). In Table 2.1 the milestones are also cross-referenced with the corresponding action number in the JIF Matrix (Appendix 1). In Figure 2.1, the milestones are presented in a pathway which shows the connections between them. The milestones indicate the sequence of actions that is necessary to move forward on a strategic task and outcome area. In some cases, the milestones need to be fully completed and achieved before moving on to the next action: these critical actions are identified in the chart. In other cases, work can begin on an action in parallel with implementing the adjacent actions, for example in order to conduct preparatory studies and to build capacity. The milestone linkages that need to be achieved before commencing the independent assessment of readiness of VNTLAS correspond to sections of Annex VII, as follows: Milestone linkages V > AV X > AV AK > AV Explanation JIC decides/approves specific measures for VNTLAS, including: species risk categories for timber imports, and recognition of voluntary certification and national certification schemes. Appropriate and effective mechanisms for handling non-compliances and violations in place, including: systems for detection and recording noncompliances and violations and appropriate corrective actions. VNTLAS verification systems fully established and operating, including: verification of timber use rights, imported timber products, reconciliation of Section of Annex VII Section 2.4 and 3.3 Section 3.5 Sections 2.1, 2.2, 2.3, 2.4, 3.1, 3.2 & 3.4 ~ 11 ~

13 AL > AV AO > AV AP > AV AT > AV AY/AZ/BA > AV timber quantities, LD based verification, supply chain control, and verification agencies. FLEGT Licensing Scheme fully established and operating, including: licensing authority, licensing procedures, shipment-based licensing, and queries on issued FLEGT licenses. Relevant verification entities have the capacity for verification, licensing, data management and information systems. Organisations and Households along the supply chain are adequately informed about and are ready for VNTLAS implementation. Independent Evaluator appointed including: organisation for implementation and approved complaints mechanisms. Information publically disclosed. Section 4 Relevant articles Relevant articles Section 5 Relevant articles X ~ 12 ~

14 Figure 2.1 Monitoring framework: critical pathway and milestones ~ 13 ~

15 Action Number (cf. JIF Matrix) Milestone Table 2.1 Monitoring framework: description of milestones and indicative timeline Note: Under the column Main Responsibilities: VNFOREST refers to inputs from VNFOREST leadership and FLEGT Standing Office; Multi-Stakeholder Core Group refers to inputs from stakeholders coordinated through the Multi-Stakeholder Implementation Core Group; Tech. Panel refers to inputs by the Technical Review Panel. Strategic Tasks, Outcome Areas and Milestones Indicative Timeline Main Responsibilities Strategic Task 1: VPA ratification process Outcome 1.1 VPA Document package completed Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 A* Starting point: Initialling VPA (May 2017) Viet Nam & EU B* Legal scrubbing of VPA document package EU/DG-ENV (lead role) & Viet Nam Outcome 1.2 EU ratification procedure completed C Formal inter-service consultations on Agreement (and translation) EU D Submission of the Agreement by the Commission E Approval of Agreement by EU Council of Ministers EU F* Signing of Agreement by parties G* European Parliament consent and ratification of Agreement EU Outcome 1.3 VN ratification procedure completed H VPA Impact Assessment by MARD/VNFOREST VNFOREST & Multi-Stakeholder Core Group I Submission of the Agreement by MARD MARD, DOFA, DOJ J Approval of Agreement for signing by Government Government of Viet Nam F* Signing of Agreement by parties K* Approval of Agreement for ratification by Government Government of Viet Nam Outcome 1.4 Agreement ratified and published ~ 14 ~

16 L* 1.4 Agreement formally ratified and published by Viet Nam and the EU Viet Nam & EU Strategic Task 2: VPA management, monitoring and review mechanisms Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 Outcome 2.1 JPC established, supported and fulfilling its functions (period before ratification) M JPC established by MARD and EU Delegation (EU-DEL) > > > > > MARD/VNFOREST & EU-DEL N JIF prepared through multi-stakeholder process and adopted by JPC O Support bodies for JPC/JIC and stakeholder engagement mechanisms established P Rules of Procedure for JPC/JIC prepared and agreed by parties JPC Q Detailed VPA arbitration procedures prepared and agreed by parties JPC VNFOREST, EU & Multi- Stakeholder Core Group VNFOREST, EU-DEL & Multi- Stakeholder Core Group Outcome 2.2 JIC established, supported and fulfilling its functions (period after ratification) R JIC established after ratification of Agreement > > > > > > > MARD/VNFOREST & EU-DEL S Reporting system and information to be published by JIC established > > > > > > JIC T VNTLAS legal documents and implementation guidelines reviewed by JIC JIC U TOR for Independent Evaluation and joint independent assessment of VNTLAS endorsed by JIC, and funding secured (leading on to Actions to and Actions to 5.2.4) JIC V* JIC decides/approves specific measures for VNTLAS JIC Strategic Task 3: Development of VNTLAS legal documents, regulations and information management systems Outcome 3.1 VNTLAS investment and resource plan prepared Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 W 3.1 VNTLAS Investment and resource plan prepared VNFOREST/MARD Outcome 3.2 Preparatory work for VNTLAS and FLEGT licensing completed X 3.2a Forest law violations Information Management Information System VNFOREST, FPD & Tech. Panel Y 3.2b Organisations Classification System (OCS) VNFOREST, FPD & Tech. Panel Z 3.2c Timber supply chain control system and timber product dossier requirements VNFOREST, FPD & Tech. Panel AA 3.2d Geographic risk categories for timber import controls VNFOREST, FPD & Tech. Panel ~ 15 ~

17 AB 3.2e Species risk categories for timber import controls VNFOREST, FPD & Tech. Panel AC 3.2f Additional documentary evidence for timber import controls VNFOREST, FPD & Tech. Panel AD 3.2g Recognition by VNTLAS of voluntary and national certification schemes VNFOREST, FPD & Tech. Panel AE 3.2h FLEGT Licensing procedures VNFOREST, CITES & Tech. Panel Outcome 3.3 VNTLAS legal documents and regulations prepared and approved AF Drafting Board for VNTLAS legal documents and regulations established MARD/VNFOREST AG Draft VNTLAS legal documents and regulations completed Drafting Board AH Consultations on VNTLAS legal documents and regulations conducted VNFOREST, Multi-Stakeholder Core Group AI VNTLAS legal documents and regulations submitted to GOV for approval MARD/VNFOREST AJ* VNTLAS legal documents and regulations approved MARD/VNFOREST Outcome 3.4 Information management systems for OCS and FLEGT licensing established AK* OCS database system designed and established FPD AL FLEGT Licensing database system designed and established CITES MA Outcome 3.5 VNTLAS guidelines and systems are field-tested AM* Field-testing VNTLAS implementation conducted Strategic Task 4: Capacity building plans for verification agencies and private sector (Organisations and Households) Outcome 4.1 Capacity, information and training needs assessments conducted Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 VNFOREST, Multi-Stakeholder Core Group AN Capacity, information and training needs assessments VNFOREST, others Outcome 4.2 Verification and licensing entities have capacity to implement VNTLAS AO Training programs for sub-national verification agencies prepared and delivered > > > > > > > > VNFOREST, training organisations Outcome 4.3 Organisations and Households are ready for VNTLAS implementation AP Information, training and coaching programs for private sector strengthened > > > > > > > > > > > VNFOREST, Multi-Stakeholder Core Group ~ 16 ~

18 Strategic Task 5: Monitoring and Evaluation mechanisms for VPA implementation Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 Outcome 5.1 AQ 5.1.1/2 Independent Evaluation and complaints mechanisms underway (Annex VI) Procurement and selection of Independent Evaluator is ready (leading on from Action 2.2.5, including launching of contracting procedure and follow-on actions to be determined depending on the outcomes of the first assessment of readiness of VNTLAS) MARD/VNFOREST AR Inception Report by Independent Evaluator submitted to JIC Independent Evaluator, JIC AS Stakeholder comments and inputs on complaints mechanisms received AT* Outcome 5.2 Inception Report and complaints mechanisms and Independent Evaluation methodology approved by JIC and publicized Independent Assessment of readiness of VNTLAS underway (Annex VII) VNFOREST, Multi-Stakeholder Core Group JIC AU Consultant selected and work plan for independent assessment approved by JIC JIC AV* Independent assessment of readiness of VNTLAS underway JIC, Assessment consultants AW Outcome 5.3 Note: follow-up actions to be determined depending on the outcomes of the first assessment of readiness of VNTLAS Provisions for public disclosure of information in place (Annex VIII) AX Stock-take of current situation of public disclosure of information conducted VNFOREST, others AY Action plan for implementation of Annex VIII prepared > VNFOREST, others AZ System of information to be published by JIC in place > > > > > > > JIC BA Information to be published by Viet Nam in place > > > > > > > Viet Nam BB Information to be published by the EU in place EU Outcome 5.4 BC Mechanisms in place for VPA impact assessment and monitoring Development of complementary and coordinated approaches to (i) independent/participatory forest governance monitoring and (ii) social safeguards impact assessment Strategic Task 6: Information and communications strategy and products > > > > > > > > > > Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 VNFOREST, Multi-Stakeholder Core Group ~ 17 ~

19 Outcome 6.1 Information about the VPA and VNTLAS is effectively communicated jointly by the parties BD Standard information materials on VPA/VNTLAS published BE Coordinated information and communications strategy prepared and adopted BF On-line repositories of VNTLAS regulations and operational manuals established Outcome 6.2 Information and communication programs for stakeholders conducted (see Appendix 1) Strategic Task 7: Stakeholder engagement, coordination and out-reach mechanisms Outcome 7.1 Stakeholder engagement/coordination mechanisms established and supported BG 7.1 Multi-stakeholder Implementation Core Group established and supported Outcome 7.2 FLEGT Forum events on VPA-FLEGT and VNTLAS initiated BH 7.2 Series of FLEGT Forum events initiated Outcome 7.3 Out-reach with provincial government leaders and authorities (see Appendix 1) Outcome 7.4 Out-reach with local communities and CSOs (see Appendix 1) VNFOREST, Multi-Stakeholder Core Group > > > > > > > > > > VNFOREST, Multi-Stakeholder Core Group Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 > > > > > > VNFOREST, Multi-Stakeholder Core Group > > > > > > > > > > > > > VNFOREST, Multi-Stakeholder Core Group > > > > > > > > > > VNFOREST, Multi-Stakeholder Core Group Outcome 7.5 Out-reach with non-domestic private sector actors (see Appendix 1) Strategic Task 8: VPA-FLEGT connected and supporting actions Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 Q1-2 Q3-4 Outcome 8.1 Development of related industry standards on timber legality (see Appendix 1) Outcome 8.2 VPA-FLEGT related research and studies (see Appendix 1) Outcome 8.3 Technical developments related to VNTLAS implementation (see Appendix 1) Outcome 8.4 Regional and cross-border initiatives related to VPA-FLEGT (see Appendix 1) ~ 18 ~

20 3. Description of Strategic Tasks and Outcome Areas This section describes the eight Strategic Tasks and Outcome Areas. For each task a summary of the current situation in mid-2017 is given as a point of departure for a description of the strategy for implementing the task and the priority actions. Crossreference is made to the milestones in Figure 2.1 and Table 2.1 and actions in the JIF Matrix (Appendix 1). Cross-reference is also made to relevant corresponding Articles of the Agreement and sections of Annexes to the Agreement in squared-brackets [Ref. ]. 3.1 Strategic Task ❶ VPA ratification process This Strategic Task is divided into four outcome areas: 1.1 VPA document package completed 1.2 EU ratification procedure completed 1.3 Viet Nam ratification procedure completed 1.4 Agreement formally ratified and published Current situation. The starting point for the JIF is the initialling of the Agreement which took place in May 2017 (Milestone A). The parties have also agreed on a set of Interim Governance Arrangements to guide the initial implementation process. Priority Actions. This Strategic Task sets out the steps required for ratification of the Agreement. The first action is legal scrubbing of the VPA document package (Milestone B), which is a critical milestone which needs to be completed as a basis for the EU ratification procedure (Milestones C-G), the Viet Nam ratification procedure (Milestones H-K), and formal ratification and publication of the Agreement by both parties (Milestone L). Consultations will be undertaken at various stages in this process. The EU will conduct inter-service consultations on the Agreement as part of its ratification procedure (Milestone C). In Viet Nam, consultations will be undertaken as part of the VPA Impact Assessment (Milestone H), which needs to be completed prior to and as part of the submission of the VPA to the Government for approval (Milestone I). Consultations will also be undertaken by the Government in the approval procedure (Milestone J). The Government approval of the Agreement for ratification (Milestone K) is a critical milestone which needs to be realized before commencing preparation of the ~ 19 ~

21 VPA/VNTLAS legal documents and regulations under Strategic Task 3. This is because the Government approval will include instructions on the form of legislative documents required. Formal ratification of the Agreement (Milestone L) is also a critical milestone that needs to be achieved before establishment of the JIC. 3.2 Strategic Task ❷ VPA management, monitoring and review mechanisms This Strategic Task is divided into two outcome areas: 2.1 JPC established, supported and fulfilling its functions (period before ratification) 2.2 JIC established, supported and fulfilling its functions (period after ratification) Current situation. The organisational arrangements in the VPA negotiation phase included the Technical Working Group (TWG) which conducted the bi-lateral negotiation sessions, supported by the Joint Expert Meeting (JEM) with representatives from both parties. On the Viet Nam side, technical inputs were made by the LD and TLAS Working Groups, with support and coordination by the FLEGT Standing Office under VNFOREST. These organisational arrangements will be adapted and augmented to meet the requirements for VPA management and support in the implementation phase. Priority Actions. The actions under this Strategic Task relate to establishment of the JPC (Milestone M) and priority actions of the JPC in the period before ratification of the Agreement (Milestones N-Q); and establishment of the JIC (Milestone R) and priority actions of the JIC in the period following ratification (Milestones S-V). The priority actions in the JPC period and JIC period respectively are defined according to articles of agreement in the VPA text and annexes Organisational arrangements One first priority action will be to establish the organisational arrangements for the implementation phase (Milestone O), including JPC/JIC support bodies [Ref. Annex IX/Section 2e] and stakeholder engagement and coordination mechanisms [Ref. Article 15 of the Agreement]. The proposed arrangements are shown in Figure 3.1. Parties to the JPC/JIC The focal points for implementation of the Agreement in the JPC period will be MARD on behalf of Viet Nam and the EU Delegation in Hanoi on behalf of the EU. The JPC will be ~ 20 ~

22 co-chaired by senior officials from MARD and the EU Delegation, and the schedule for JPC meetings in the transition period will be agreed by the parties. The JIC will be established within three months of entry into force of the Agreement [Ref. Article 18 of the Agreement and Annex IX]. Each Party will designate representatives to the JIC and the JIC will be co-chaired by senior officials designated by each Party. The JIC will meet at least twice a year in the first two years and once per year in following years, on a date and with an agenda which are agreed in advance by the parties. Additional meetings may be convened at the request of either Party. Overall coordination and supervision within the Government of Viet Nam will be achieved through inter-ministerial representation on the JIC, together with interministerial meetings serving the functions of a steering committee. VNFOREST and FLEGT Standing Office On behalf of Viet Nam, the lead technical agency guiding the implementation process and supporting the JPC/JIC is VNFOREST. The FLEGT Standing Office, under the Department of Science, Technology and International Cooperation (DOSTIC), has been assigned to maintain its role in supporting the parties through the JPC/JIC, as well as coordinating the agreed actions in the JIF and Annual Work Plans agreed by the JPC/JIC. Figure 3.1 Organisational arrangements National Assembly Government Other Ministries Ministry of Agriculture & Rural Development EU Delegation in Viet Nam European Council European Commission DG Environment etc. Legislation Drafting Board Technical Review Panel Joint Expert Meeting Verification & licensing agencies JPC / JIC VNFOREST FLEGT Standing Office VPA-FLEGT Multi-stakeholder Implementation Core Group ~ 21 ~

23 Joint Expert Meeting In order to support the JPC/JIC on technical matters relating to VPA implementation, a Joint Expert Meeting (JEM) will be convened with representatives from both parties. The JEM will be led by the Vice Director General of VNFOREST on behalf of Viet Nam and by the Head of Development Coopration of the EU Delegation on behalf of the EU. The composition of the JEM may vary according to requirements, and the parties will notify each other of the members in advance of each meeting of the JEM The primary function of the JEM is to support the JPC/JIC by: (i) tracking and reviewing implementation progress, in particular the development and introduction of VNTLAS, the FLEGT Licensing Scheme and other supporting mechanisms for VPA implementation; (ii) preparing for meetings of the JPC/JIC and identifying issues that need to be discussed by the JPC/JIC; and (iii) making recommendations on technical matters and proposing solutions to any difficulties or delays in implementation. The modus operandi of the JEM will be through meetings held in advance of JPC/JIC meetings, as well as through interim meetings, video conferences and the exchange of documents as required. Technical sub-groups will be created and supervised by the JEM to deal with specific technical issues. Multi-stakeholder Implementation Core Group Viet Nam and the EU recognize that stakeholders have a crucial role to play in implementation of the Agreement and that it is essential that effective mechanisms for their contribution to the enforcement of VNTLAS are established. Viet Nam will hold regular consultations with stakeholders on VPA implementation and will promote appropriate strategies and modalities for this [Ref. Article 15 of the Agreement]. The focus for stakeholder engagement and coordination will be a Multi-Stakeholder Implementation Core Group, including representatives from the private sector, associations, non-governmental organisations, research institutes, FLEGT project holders, and verification agencies as active members, and development partners in observer status. As part of its functions, the Core Group will provide advice and feedback on the preparation and introduction of VNTLAS, and may propose issues for consideration by the JPC/JIC. The composition, mandate and functions of the Multi-Stakeholder Implementation Core Group are described in detail under Strategic Task 7. ~ 22 ~

24 Legislation Drafting Board According to Government regulations and procedures for the preparation of legal documents, a Legislation Drafting Board(s) will be established to prepare the VPA/VNTLAS legal documents and regulations as described under Strategic Task 3. The Drafting Board(s) will be established by MARD/VNFOREST as the proposing agency. The composition and tasks of the Drafting Board(s) will be determined according to Government instructions on the form of legislative documents required for the VPA/VNTLAS. Technical Review Panel To support the development of the VNTLAS, a Technical Review Panel may be convened by VNFOREST to help guide, coordinate and review technical inputs to the process (e.g. preparation of Terms of Reference and reviewing background and preparatory studies and reports etc.). The Technical Review Panel will be convened on an ad hoc basis, including representatives of relevant departments of MARD/VNFOREST, other ministries, specialists and development partners as required Priority actions and milestones in the JPC period and JIC period In addition to establishing the organisational arrangements and support bodies for the JPC/JIC (above), several priority actions are identified in the text and annexes to the Agreement that will need to be fulfilled by the JPC and JIC (Figure 2.1). It should be noted that these actions and milestones do not cover all tasks of the JPC or JIC, and the functions of the JIC in particular are set out in detail in Annex IX. The priority actions/milestones in the JPC period are as follows: Milestone P: Preparation and agreement of Rules of Procedure for the JPC/JIC [Ref. Article 18 & Annex VIII/Section 4.4]. Milestone Q: Preparation of detailed arbitration procedures [Ref. Article 22 of the Agreement]. Article 22 sets out principles for mediation and arbitration for the settlement of disputes. In the JPC period, detailed arbitration procedures will be drafted for agreement by the JIC after entry-into-force of the Agreement. The actions/milestones in the JIC period are as follows: Milestone S: System of regular reporting and information to be published by JIC established [Ref. Annex IX/Section 1f & Annex VIII/Section 4]. This system includes Annual Reports, minutes of meetings, summaries of decisions of JIC and other documents and information to be publicised by the JIC. ~ 23 ~

25 Milestone T: VNTLAS legal documents and regulations reviewed by JIC [Ref. Annex IX/Section 1j]. Prior to submission of the VNTLAS legal documents and regulations to the Government for approval, the JIC will review and comment on the draft documents to identify any adjustments required. Milestone U: Terms of Reference and selection of consultants for (a) Independent Evaluation and (b) independent assessment of readiness of VNTLAS endorsed by JIC as described under Strategic Task 5 [Ref. Annex VI, Annex VII & Annex IX/Section 3]. Milestone V: Specific measures related to VNTLAS approved/decided by JIC [Ref. Annex V & Annex IX/Section 1h & 1i]. These measures include amongst others: (i) approving the methodology for recognition of voluntary certification and national certification schemes meeting requirements of VNTLAS; and (ii) deciding on the list of high risk species for the control of timber imports, to review the species lists on a periodic basis, and to supplement the species lists as proposed by either Party. 3.3 Strategic Task ❸ Development of VNTLAS legal documents, regulations and information management systems This Strategic Task is divided into five outcome areas: 3.1 VNTLAS investment and resource plan prepared 3.2 Preparatory work for VNTLAS and FLEGT licensing completed 3.3 VNTLAS legal documents and regulations prepared and approved 3.4 Information management systems for OCS and FLEGT licensing established 3.5 VNTLAS guidelines and systems are field-tested Current situation. The starting point for this Strategic Task is the agreed VPA annexes that set out the VNTLAS, including Annex II Timber Legality Definition (LD), Annex IV FLEGT Licensing Scheme, Annex V VNTLAS and the technical appendices to these annexes. These documents describe the key contents of the VNTLAS and FLEGT Licensing Scheme and how, in principle, these systems will operate in practice. The LD and VNTLAS are based on the existing laws, legislation and regulations of Viet Nam. In addition, several commitments have been made by Viet Nam to introduce new legislation to implement the VPA and VNTLAS. These legislative commitments include: Timber import controls including due diligence and self-declaration responsibilities and obligations of importers; risk-based control of timber imports including species risk and country risk categories; and potential recognition by VNTLAS of voluntary certification and national certification schemes etc. ~ 24 ~

26 Organisations Classification System (OCS) including registration and selfassessment responsibilities of organisations; the OCS risk appraisal and classification by FPD or by other agencies assigned by the government; and the OCS procedures and management information systems etc. Verification for export including requirements for the timber product dossier for export and verification procedures based on the OCS risk categories, and management information systems for verification and supply chain control. FLEGT Licensing Scheme for exports to the EU including the licensing application and approval procedures, the operation of paper-based and on-line licensing systems, and associated management information systems etc. In the period 2016 to 2017, several preparatory studies have been undertaken to provide inputs to the development of the VNTLAS legal documents, regulations and management information systems (JIF Matrix: Action area 3.1). These include preparatory work on the forest violations database, species risk categories for timber import controls, recognition of voluntary/national certification schemes, and the OCS. Priority Actions. This Strategic Task represents the critical line-of-action in the JIF. The overall sequence of actions that will be required to prepare and promulgate the VNTLAS legal documents and regulations, and to design, establish and operationalize the management information systems for verification and licensing are as follows. In 2017 the Impact Assessment conducted by MARD (Milestone H) will include an assessment of the legislative and administrative impacts and requirements for the VPA. Work will also commence on preparing an overall Investment and Resource Plan for VNTLAS development and capacity building (Milestone W). It is also expected that the VPA will be approved by the Government in the first-half of 2018, together with instructions for the preparation of the legal documents (Milestone K). In 2018 priority will be given to preparatory work for development of the elements of VNTLAS and FLEGT licensing. The specific areas of work include: Milestone X Milestone Y Milestone Z Milestone AA Milestone AB Milestone AC Milestone AD Milestone AE Forest law violations information management system Organisations Classification System (OCS) Timber supply chain control system and timber product dossier requirements Geographic risk categories for timber import controls Species risk categories for timber import controls Additional documentary evidence for timber import controls Recognition by VNTLAS of voluntary and national certification schemes FLEGT Licensing procedures ~ 25 ~

27 In 2019, priority will be given to the preparation and promulgating the VNTLAS legal documents and regulations. This will include establishing a Drafting Board (Milestone AF) and the process of drafting the legal documents and regulations will commence, including inter-ministerial and stakeholder consultations (Milestones AG & AH). To support the drafting process, further TA inputs will be required, including field-testing the OCS with enterprises to inform the regulations. It is anticipated that this process will take up to 12 months (depending on the type of legislative documents required) and it is anticipated the VNTLAS legal documents and regulations will be submitted and approved before the end of 2019 (Milestones AI & AJ). As part of this process, Viet Nam will also develop provisions on complaints mechanisms under the VNTLAS, in line with the Law on Complaints, as well as consider the need to develop specific guidelines. In the period based on the approved VNTLAS legal documents and regulations detailed work will begin to design and establish the information management systems for VNTLAS verification and the OCS (Milestone AK) and FLEGT licensing (Milestone AL). These actions will include the preparation of operational manuals and guidelines for the verification agencies and private sector. In the period in parallel with establishment of the verification, OCS and FLEGT licensing systems, and training for sub-national verification agencies, it is intended that field-testing the systems will take place in several provinces (Milestone AM). The purpose of field-testing will be to assess the operation of the systems, prior to beginning the independent assessment of readiness of VNTLAS (Milestone AV). The VNTLAS legal documents, regulations and systems development will provide the foundation for capacity building plans for verification agencies and the private sector (Strategic Task 4); as well as related actions under Strategic Task 6 (communications strategy and information products) and Strategic Task 7 (stakeholder engagement, coordination and outreach mechanisms). The linkages between priority actions under these four Strategic Tasks are illustrated in the flow-chart in Figure 3.2. ~ 26 ~

28 Figure 3.2 Linkages between some priority actions under Strategic Tasks 3, 4, 6 and 7 Strategic Task 3 VNTLAS legal documents, regulations and systems development Strategic Task 4 Capacity building for verification agencies and private sector Strategic Task 6 Communications strategy and information products Strategic Task 7 Stakeholder engagement, coordination and out-reach mechanisms Starting point: agreed VPA document package Approved VNTLAS legal documents and regulations VNTLAS information management systems established Capacity and training needs assessments conducted Standard VPA/VNTLAS information materials Coordinated information and communications strategy Multi-stakeholder Implementation Core Group Out-reach with provincial government leaders and authorities Out-reach with local communities and CSOs Operational manuals and guidelines prepared Training program for sub-national verification agencies Out-reach with nondomestic private sector Field-testing VNTLAS regulations, guidelines and systems Information, coaching and advisory services for the private sector On-line information and services (including repositories of VNTLAS legal documents, regulations & guidelines) ~ 27 ~

29 3.4 Strategic Task ❹ Capacity building plans for verification agencies and private sector (Organisations and Households) This Strategic Task is divided into three outcome areas: 4.1 Capacity/training needs assessments conducted 4.2 Verification and licensing entities have capacity to implement VNTLAS 4.3 Organisations and Households are ready for VNTLAS implementation Current situation. Several capacity, training and information needs assessments related to VPA-FLEGT have been conducted in recent years or are on-going (JIF Matrix: Action area 4.1). These assessments have been conducted by the FLEGT projects and the target groups have included SMEs, intermediary organisations, CSOs, media agencies, and timber processors in industry villages. Reports on these assessments are available and provide a useful starting point for further actions. While some provincial departments (provincial FPD and customs etc.) have been involved in various consultation workshops and meetings during the VPA negotiation phase (JIF Matrix: Action area 4.1), so far there have been limited capacity building activities for the sub-national verification agencies. This will be one of the highest priorities in the coming period to roll-out the VNTLAS at sub-national levels. A diversity of information, training and capacity building activities for SMEs have been conducted in recent years, or are on-going, on topics related to VPA-FLEGT, EUTR, timber legality, risk mitigation and CoC systems etc. (JIF Matrix: Action area 4.3). In general, these have been pilot activities that have been conducted on a small-scale and have only reached a limited number of SMEs and households, and so far there has been limited information about VNTLAS made available to the private sector. Strategy and Priority Actions. As a starting point, it is anticipated that more comprehensive capacity and training needs assessments will need to be conducted for both verification agencies and for the private sector (Milestone AN). The assessments will be conducted in parallel with developing the VNTLAS legal documents and regulations; and will use the legal documents and regulations as the foundation for assessing appropriate strategies, target groups, contents, service providers, and investment and resource requirements (see Figure 3.2 above) Training program for sub-national verification agencies This action includes the preparation, coordination and delivery of a nationwide training program on VNTLAS for sub-national verification agencies, including the provincial and district FPD, customs authorities, and other relevant provincial and district agencies (Milestone AO). ~ 28 ~