Forests Sourcebook - HCV Resource Network

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ANNEX 5.5A DRIVERS OF ILLEGAL LOGGING AND OTHER FOREST CRIME: MOTIVE, MEANS, AND OPPORTUNITY Using the motive, means, and opportunity elements to analyze illegal logging and other forest crimes illuminates fundamental drivers of the problem (Magrath et al. 2007). This annex presents an overview of some of these drivers derived from a set of country-level studies and assessments. Motive ■ Overriding need to generate foreign exchange ■ Imperative to finance military operations ■ Poverty and lack of alternative income ■ Lack of affordable fuel alternatives ■ Denial of access by local people to resources they need for subsistence or livelihoods ■ Indiscriminate (regarding legality of origin) demand for timber in neighboring countries ■ Indiscriminate international demand for timber ■ Economic factors and policies favoring forest conversion ■ Low cost of illegal timber (that is, ineffective sanctions) and rent-seeking business culture in the forest sector companies ■ Overcapacity in the wood processing industry ■ Difficulty complying with legal regulations (especially by small-scale producers, concession holders, communities, and private forest owners) ■ Bureaucratic laws related to forest management (cost of complying with laws is too high) Means ■ Roads, navigable rivers, harbors, and other transport infrastructure ■ Labor in forest areas (often without alternative sources of livelihoods) ■ Capital to finance illegal logging and other forest crime ■ ■ Equipment for logging and transport of timber and wood products Opportunities for money laundering to hide financial proceeds Opportunity ■ Weak governance in parts or all of the country (including areas affected by conflict and war) ■ Breakdown of institutional controls and lack of accountability of public officials ■ Rapid and disorganized decentralization and lack of institutional capacity at decentralized levels (see note 5.1, Decentralized Forest Management) ■ Ambiguous forest land tenure (that is, lack of legal definition, overlapping uses, conflicting laws, and so on) (see note 1.4, Property and Access Rights) ■ Inadequate or inappropriate legal framework (not based on a social contract with key forest users) (see note 5.3, Strengthening Legal Frameworks in the Forest Sector) ■ Lack of or weak recognition of customary rights (of local and indigenous communities) ■ Weak internal organization of these communities ■ Inadequate or inappropriate prescriptions for forest management and use (regulations) ■ Lack of reliable and up-to-date information on forest resources and their use ■ Weak, poorly managed, or corrupt forest administration ■ Ineffective or corrupt law enforcement ■ Ineffective or corrupt judiciary ■ Weak governance or contradictory policies in sectors related to forestry ■ Weak control of illegal exports in producing countries or imports in purchasing countries Source: Modified from Puustjarvi (2006b). 198 CHAPTER 5: IMPROVING FOREST GOVERNANCE
ANNEX 5.5B TYPICAL CONTEXTS OF ILLEGAL LOGGING: DRIVERS AND POTENTIAL RESPONSES Typical contexts Potential drivers Potential responses Type (motive, means, opportunity) Illegal logging Illegal logging • People unable to meet their basic needs • Legalize illegal use or simplify regulations P for securing subsistence concerning access to public forest or wildlife resources • Create opportunities for income generation P • Lack or high cost of alternative energy • Offer alternatives to fuelwood as source of energy P Small-scale illegal • Poverty • Create opportunities for income generation P logging to enhance • Complex legal procedures related to • Reduce bureaucracy and fees associated with P livelihoods by harvesting and access to forest resources legal timber harvesting • people without legal • Disputes over land tenure rights • Clarify land tenure, consider establishing local P access to forest land tenure of forest land • managers or owners • Poorly organized, under-resourced, and • Strengthen forest law enforcement D+S of community forests corrupt forest law enforcement • Improve internal control on law enforcement staff D+S • private forest owners • Corrupt community leaders • Improve internal control in communities D+S • Criminal groups organizing illegal logging by • Strengthen cooperation with police force and D+S recruiting rural poor judiciary and target the organizers or financiers behind these activities • Inefficient legal procedures • Amend forest-related legislation and penal code P • Use money laundering and asset forfeiture laws Large-scale commercial • Poorly motivated staff in public forest • Reorganize public forest administration to P illegal logging administration or enterprises increase staff motivation • High cost of legal timber • Reduce bureaucracy and fees associated with P legal timber harvesting • Capacity of wood processing industries • Embark on phased program of capacity reduction P exceeding legal supply in wood-processing industries • Increase supply by establishing plantations or P adjusting forest management regulations • Export demand insensitive to legality • Collaborate with governments and private sector P of timber in importing countries to increase demand for legal timber and deter imports of illegal timber • Poorly organized and corrupt forest law • Increase resources and enhance independence D+S enforcement and auditing system of forest law enforcement • Enhance effectiveness of financial audits on D public forest administration or enterprises • Provide support to patrolling networks among D private forest owners • Use anti-money-laundering laws • Inadequate monitoring data on timber flows • Promote independent forest monitoring D and origin of timber • Improve data management and transparency P in public forest administration or enterprises • Promote responsible business practices (chain-ofcustody systems, certification) in private industries • Inefficient legal procedures • Strengthen cooperation with police force and S judiciary • Provide owners or managers of community and S private forests with legal services • Amend forest-related legislation and penal code P Conflict timber • High cost of armed conflict • Focus on conflict resolution and management P • Poor control of timber imports in recipient • Improve controls on origin of timber D countries • Promote international collaboration in sanctioning S • Ineffective international sanctions conflict timber (continues on the following page) NOTE 5.5:ADDRESSING ILLEGAL LOGGING AND OTHER FOREST CRIME 199
Page 1 and 2:
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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also needs to be extended in many c
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NOTE 3.1 Mainstreaming Conservation
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areas that can be used more intensi
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Box 3.7 Applying HCVF in Papua New
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Finally, any existing protections,
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However, these general rules are se
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the origin of products from a certi
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management practices in selected en
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Reforms) provide the framework for
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lenges to weak institutions, which
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CHAPTER 4 Optimizing Forest Functio
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People and human societies are seen
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Encourage stakeholder participation
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Box 4.5 Tradeoffs Framework Used in
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Sector and Thematic Evaluation, Ope
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Identify planning team members and
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Involve relevant stakeholders in de
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needs of implementing partners and
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NOTE 4.2 Assessing Outcomes of Land
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Box 4.13 Possible Indicators for As
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NOTE 4.3 Using Adaptive Management
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■ ■ ■ ■ Develop a project p
Page 147 and 148: Another important and useful proces
Page 149 and 150: theless, it is never too late to st
Page 151 and 152: CHAPTER 5 IMPROVING FOREST GOVERNAN
Page 153 and 154: Improving forest governance and leg
Page 155 and 156: tant part of the World Bank’s con
Page 157 and 158: sector with broader governance and
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
Page 185 and 186: is reasonable to allow the administ
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
Page 195 and 196: enterprises may be motivated to joi
Page 197: NOTES 1. This note is based on Worl
Page 201: Typical contexts Potential drivers
Page 204 and 205: Box 6.1 Indonesian Structural Adjus
Page 206 and 207: Box 6.2 Upstream Analyses on Energy
Page 208 and 209: Box 6.3 Positive Impact of Agrarian
Page 210 and 211: Box 6.4 Use of the Rapid CEA Approa
Page 212 and 213: ———. 2005. “Development Pol
Page 214 and 215: NOTE 6.1 Using National Forest Prog
Page 216 and 217: Box 6.6 Basic Principles of NFP Pre
Page 218 and 219: Implementation. The implementation
Page 220 and 221: allow for each country’s differen
Page 222 and 223: limited in the coverage and duratio
Page 224 and 225: Box 6.12 The Use of DPLs to Support
Page 226 and 227: Box 6.13 Using DPLs in Lao PDR for
Page 228 and 229: OPCS. 2004. “Good Practice Notes
Page 230 and 231: OPERATIONAL ASPECTS Prioritizing th
Page 232 and 233: orientation of the DPL operations c
Page 234 and 235: Indicators are helpful in these sit
Page 236 and 237: ANNEX 6.3A SELECT TOOLS TO ASSIST S
Page 238 and 239: NOTE 6.4 Assessing Cross-Sectoral I
Page 240 and 241: Box 6.16 The Forests Component in t
Page 242 and 243: Considering the above issues, an in
Page 244 and 245: Box 6.19 Implementation of the Keny
Page 246 and 247: 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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