Forests Sourcebook - HCV Resource Network

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■ ■ Forests are a global public good, and their degradation imposes global costs, such as climate change, environmental degradation, and species loss. Improving governance will help contain the negative environmental, economic, and social consequences at the global level. There are less visible—though highly insidious—costs resulting from the erosion of institutions, the spread of corruption across the economy, and lower growth. These spillover effects are the most far-reaching and significant aspects of the problem of poor sectoral governance. The problem originates in the forest sector but the impacts are transmitted through the economy, weakening governance and the rule of law, impeding investments in legitimate commerce, and undermining the overall governance structure. Some of the complexities of these relationships and the magnitude of the task to improve forest governance are captured in figure 5.1. The box in the center of the figure lists “entry points,” or opportunities within the forest sector itself, directed toward reducing the means, motives, and opportunities for crimes and misdemeanors in the forest sector (see note 5.5, Addressing Illegal Logging and Forest Crime). The surrounding boxes indicate the “embedded” nature of the problem in the economy and of the need for other sectors, institutions, and actors to support and complement the within-sector efforts at improving governance and law enforcement. They elaborate on the roles of the overall political structure; of national and international checks and balances; and the contributions of civil society, media, the private sector, and local communities. Figure 5.1 Identifying “Entry Points” and a Sustainable Reform Process to Improve Forest Governance Political accountability • Political competition, broad-based political parties • Transparency and regulation of party financing • Asset declaration by legislators and parliamentarians • Disclosure of parliamentary votes Checks and balances • Independent, effective judiciary • Independent oversight institutions • Global initiatives: UN, OECD Convention, anti-money laundering and asset forfeiture Building blocks for effective forest sector management • Adequate legislative frameworks and law enforcement capacity • Robust institutions with a servicedelivery orientation • Competent leadership based on meritocracy and technical skills • Institutional oversight including an independent forests monitor • Transparent forest fiscal systems based on easy-to-track revenue flows • Sound sector policy conducive to competitive domestic markets and international trade Civil society and media • Freedom of press and information • Civil society watchdogs • Participatory country diagnostic surveys • Report cards, client surveys Private sector interface • Streamlined regulation • Public-private partnerships • Corporate social responsibility Ownership and decentralization • Property and access rights • Decentralization with accountability • Community driven development • Oversight by user groups and citizens organizations • Beneficiary participation in projects 152 CHAPTER 5: IMPROVING FOREST GOVERNANCE
Improving forest governance and legislative compliance has been the focus of international attention for a number of years. For maximum effectiveness, the World Bank’s efforts in this area need to be closely aligned with those of other partners, both in client countries and at the regional and international levels. This is especially important because effective action in this area requires collaboration among governments in producer and consumer countries, private sector operators, and civil society. Since 2001, regional Forest Law Enforcement and Governance (FLEG) ministerial conferences have been conducted in East Asia (2001), Africa (2003), and Europe and Northern Asia (2005). The resulting ministerial declarations are important tools that can be used in the dialogue with client governments, as well as in building alliances with the private sector and civil society actors. The World Bank has had a key role in facilitating these conferences and supporting their follow-up. Several multilateral, bilateral, civil society, and private sector initiatives have also originated from these efforts, which can provide traction for the World Bank’s work in this area. An independent and especially relevant initiative is the European Union (EU) Regulation and Action Plan on Forest Law Enforcement, Governance and Trade (FLEGT). An essential part of the EU FLEGT is the negotiation of Voluntary Partnership Agreements (VPAs) between the EU and interested timber-producing countries. VPAs aim to develop an agreement between producing and importing EU countries that only timber originating legally will be exported and allowed to be imported. If successful, the implementation of the VPAs will result in increasing demand for country-level financing in such areas as strengthening and reforming laws, regulations, and institutions in the forest sector; strengthening the capacity of indigenous and rural communities to manage forests sustainably; independent certification of sustainable forest management; implementation of timber tracking systems; forest products and trade-related information and statistics; and monitoring of forest cover changes to detect illegal activities. This will provide both the need and opportunities for improved collaboration between bilateral and multilateral financing institutions, including the World Bank. The FLEG initiative enables the World Bank’s project managers and task team leaders to incorporate FLEG into their projects using the political momentum and stakeholder coalitions it creates. PAST ACTIVITIES A review by the World Bank’s Operations Evaluation Department of the performance of the World Bank’s 1991 Forests Strategy (Lele et al. 2000) pointed to the failure to address governance issues as a serious gap in the World Bank’s work in forestry and recommended that the World Bank help reduce illegal logging by actively promoting improved governance and enforcement of laws and regulations because poor laws and legislation and poor enforcement are fundamental failings in the sector. As a result, the World Bank placed forest governance and illegal logging high on the agenda in its 2002 Forests Strategy. Indeed, the World Bank committed itself to collaborate with borrower countries and partners to reduce by half the estimated annual financial losses from illegal logging by 2013. Likewise, the World Bank’s 2001 environment strategy emphasizes the comparative advantage of the World Bank in supporting better governance, increased transparency, access to environmental information, and public participation in client countries (World Bank 2001). The earliest explicit attention to forest crimes in Bank project design was in the Philippines in 1983 in the context of the Multisectoral Forest Protection Committees. These issues started to appear in a more systematic way in project design in the 1990s. Adjustment operations in Papua New Guinea in the 1990s supported the introduction of private sector administration of log export taxation. Work in Cambodia in the late 1990s involved the first use by the World Bank of forest law enforcement professionals in policy analysis and project design. Experiments in third-party independent monitoring of forest crime reporting, support for case tracking systems, and recommendations for timber theft prevention planning were among the innovations. In Africa, similar work, including independent forest monitors, was developed in Cameroon, and timber and postconflict issues are now being addressed in Liberia (see box 5.7). Country Assistance Strategies. To examine the extent to which FLEG and related issues are taken into account in Bank Country Assistance Strategies (CASs) today, a review of the most recent CASs for 18 forest-rich countries was carried out in 2006 (World Bank 2006). These 18 countries represent 75 percent of all forests in developing countries. Of these 18 CASs, 17 mention forestry, with 11 containing explicit forestry components. Nine CASs mention FLEG issues specifically, with at least seven outlining FLEG activities (both lending and nonlending) to be undertaken. Five CASs link deforestation to governance issues, and six describe links between poverty and deforestation. Lending operations. A review in 2006 (World Bank 2006) found there are currently more than 50 active forestry projects in the World Bank’s lending portfolio, with a total cost of CHAPTER 5: IMPROVING FOREST GOVERNANCE 153
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INTRODUCTION OPPORTUNITIES AND CHAL
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Forest law enforcement and governan
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■ Protecting vital local and glob
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Figure 3 Commitment from the World
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Figure 6 Regional Distribution of I
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management and biodiversity conserv
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PART I Priority Themes and Operatio
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Angelsen and Wunder 2003; and Malli
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harvesting forest products that are
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forest management and ownership hav
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Institutional development of capaci
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Contreras-Hermosilla, A., and M. Si
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Box 1.4 Poverty-Forest Linkages Too
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Box 1.6 An Overview of the Tools fo
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NOTE 1.2 Community-Based Forest Man
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the biophysical resource through fo
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Box 1.12 Andhra Pradesh Community F
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Box 1.14 Community Forestry in Mexi
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World Bank, 1978. Forestry. Sector
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[Indigenous Peoples’] rights of o
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inappropriate. Thus, development pr
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nity territory into individual plot
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LESSONS LEARNED AND RECOMMENDATIONS
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Borrini-Feyerabend, G., M. Pimbert,
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In what are considered public fores
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Figure 1.1 Toward Tenure Security:A
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Box 1.21 Opportunities to Advance C
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NOTE 1.5 Making Markets Work for th
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■ environmental groups to produce
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Box 1.25 Medicinal Plants as NTFPs
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CHAPTER 2 Engaging the Private Sect
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dred to tens of thousands of new jo
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Box 2.2 Since 1995, Brazilian small
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Macqueen, D., N. Armitage, M. Jaeck
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NOTE 2.1 COMPANY-COMMUNITY PARTNERS
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inputs (communities), and cost savi
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community arrangements, such as eth
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NOTE 2.2 Small and Medium Enterpris
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must be distinguished from products
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overregulation falls most heavily o
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da Amazônia (IPAM) and the Interna
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NOTE 2.3 Innovative Marketing Arran
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Table 2.2 World Bank Projects with
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payments for reforestation can enco
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Wunder, S. 2005. “Payments for En
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Box 3.1 Technical Definitions Wood
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Table 3.2 Wood Fuel Data for Select
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ered it important to have the World
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operations (such as community-based
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Page 104 and 105: NOTE 3.1 Mainstreaming Conservation
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Page 108 and 109: Box 3.7 Applying HCVF in Papua New
Page 110 and 111: Finally, any existing protections,
Page 112 and 113: However, these general rules are se
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Page 116 and 117: management practices in selected en
Page 118 and 119: Reforms) provide the framework for
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Page 123 and 124: CHAPTER 4 Optimizing Forest Functio
Page 125 and 126: People and human societies are seen
Page 127 and 128: Encourage stakeholder participation
Page 129 and 130: Box 4.5 Tradeoffs Framework Used in
Page 131 and 132: Sector and Thematic Evaluation, Ope
Page 133 and 134: Identify planning team members and
Page 135 and 136: Involve relevant stakeholders in de
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Page 139 and 140: NOTE 4.2 Assessing Outcomes of Land
Page 141 and 142: Box 4.13 Possible Indicators for As
Page 143 and 144: NOTE 4.3 Using Adaptive Management
Page 145 and 146: ■ ■ ■ ■ Develop a project p
Page 147 and 148: Another important and useful proces
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Page 151: CHAPTER 5 IMPROVING FOREST GOVERNAN
Page 155 and 156: tant part of the World Bank’s con
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Page 159 and 160: NOTE 5.1 Decentralized Forest Manag
Page 161 and 162: Assess the overall decentralization
Page 163 and 164: Box 5.5 Nicaragua: Asymmetries Betw
Page 165 and 166: Parker, A. 1995. “Decentralizatio
Page 167 and 168: ■ ■ ■ Management of forests (
Page 169 and 170: such as designing a transparent con
Page 171 and 172: Box 5.11 Citizen Report Cards: Benc
Page 173 and 174: NOTE 5.3 Strengthening Legal Framew
Page 175 and 176: Box 5.13 Working on the Law with La
Page 177 and 178: In addition, the process of public
Page 179 and 180: ANNEX 5.3B SIX DRAFTING PRINCIPLES
Page 181 and 182: forestry policy or to promote other
Page 183 and 184: The most common fiscal incentives i
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Page 187 and 188: ANNEX 5.4A A SUMMARY OF THE DIFFERE
Page 189 and 190: NOTE 5.5 ADDRESSING ILLEGAL LOGGING
Page 191 and 192: Box 5.17 Measures Specific to Comba
Page 193 and 194: ■ ■ ■ initially have to compe
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Page 197 and 198: NOTES 1. This note is based on Worl
Page 199 and 200: ANNEX 5.5B TYPICAL CONTEXTS OF ILLE
Page 201: Typical contexts Potential drivers
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Box 6.1 Indonesian Structural Adjus
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Box 6.2 Upstream Analyses on Energy
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Box 6.3 Positive Impact of Agrarian
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Box 6.4 Use of the Rapid CEA Approa
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———. 2005. “Development Pol
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NOTE 6.1 Using National Forest Prog
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Box 6.6 Basic Principles of NFP Pre
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Implementation. The implementation
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allow for each country’s differen
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limited in the coverage and duratio
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Box 6.12 The Use of DPLs to Support
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Box 6.13 Using DPLs in Lao PDR for
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OPCS. 2004. “Good Practice Notes
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OPERATIONAL ASPECTS Prioritizing th
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orientation of the DPL operations c
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Indicators are helpful in these sit
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ANNEX 6.3A SELECT TOOLS TO ASSIST S
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NOTE 6.4 Assessing Cross-Sectoral I
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Box 6.16 The Forests Component in t
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Considering the above issues, an in
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Box 6.19 Implementation of the Keny
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World Bank SEA Web resources: http:
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Box 7.1 Monitoring Promotes Changes
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collected via remote sensing rather
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Discussions and proposals on how to
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Assessment (www.millenniumassessmen
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FAO. 2004. “Manual for Environmen
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■ ■ ■ enables implementation
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selecting the technology. Technolog
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USFS Field Guides: www.fia.fs.fed.u
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Box 7.13 System Architecture of a S
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Box 7.14 FMIS in Bosnia and Herzego
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and client-rich system, which would
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ANNEX 7.2A MODEL TERMS OF REFERENCE
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■ ■ ■ ■ ■ ■ ■ ■ ■
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NOTE 7.3 Spatial Monitoring of Fore
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■ ■ ■ ■ Availability of ref
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Box 7.19 Selecting the Appropriate
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Table 7.4 Existing Satellite Remote
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Tropical Ecosystem Environment Obse
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PART II Guidance on Implementing Fo
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forestry activities was counterprod
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waterways, or the quantity or quali
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■ ■ ■ ■ ■ an independent
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■ In the case of forest harvestin
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■ ■ harvesting supported by Wor
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However, some of the World Bank’s
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■ ■ ■ ■ ■ ■ Examine the
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Box 9.2 Participation Strategy To m
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Box 9.5 Process Framework for Invol
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Box 9.8 Market Analysis A market an
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“no-project” option); and recom
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Box 9.16 Environmental Management P
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■ ■ ■ ■ ■ ■ ■ ■ ■
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the detailed Biodiversidade Brasile
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■ ■ management plan—prepared
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CHAPTER 10 Consultation and Communi
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media, NGOs, other interest groups,
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Box 10.4 Consultation in the Democr
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Box 10.6 Elements of Communication
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Table 10.2 Listening to the Public
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■ - Preliminary research should i
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Box 10.8 Managing Risks through Str
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Bank project cycle related to Commu
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CHAPTER 11 Forest Certification Ass
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carried out under a specific certif
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once more practical experience has
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ANNEX 11A MODEL TERMS OF REFERENCE
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ANNEX 11B PROCEDURES AND TERMS OF R
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CHAPTER 12 Applying OP 4.10 on Indi
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lack of opportunities relative to o
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Box 12.2 When a project affects Ind
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ples receive social and economic be
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Bank’s supervision team must incl
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ANNEX 12A ELEMENTS OF AN INDIGENOUS
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forest monitoring, 275b social and
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FOMAS. See National Forest Sector M
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and forest certification, 335 toolk
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applying to Indigenous Peoples, 347
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strategic partnership, LFI example,
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Eco-Audit Environmental Benefits St
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Forests Sourcebook - HCV Resource Network

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