Forests Sourcebook - HCV Resource Network

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Box 6.13 Using DPLs in Lao PDR for Advancing the Forest Sector Agenda Box 6.14 Transparency and Predictability: An Example from Armenia In the Lao People’s Democratic Republic, a natural resource management component under public sector reform was incorporated into a structural adjustment operation (People’s Democratic Republic of Lao Financial Management Adjustment Credit [FMAC], FY02). The overall objective of this component was to involve local communities in the management of forests and improve legislation on conservation. The project was under the control of the Minister of Finance, but the day-today implementation and monitoring was done by a high level interministerial coordination committee. For release of the second tranche, Lao PDR had to accomplish two forest sector–related actions. A quality-at-entry review suggested that the inclusion of reforms in forestry regulations unnecessarily broadened the scope of the conditions. The objectives of the natural resource management subcomponent were partially achieved, but local participation was less than envisaged partly because of capacity limitations and political resistance. The implementation completion report states that the legal framework has established technically sound forest management with basic provisions for planning, mapping, consultation, and control. Source: Authors’ compilation. the macroeconomic and larger cross-sectoral level will be to mainstream effective monitoring of forest outcomes into these operations, where these are identified as being potentially significant. Successful and effective monitoring of forest outcomes in policy lending operations will facilitate the implementation of “no fault” and relatively inexpensive monitoring of forest outcomes during implementation of lending operations. One of the primary uses of monitoring information on forest outcomes under development policy lending will be to develop more quantitative and analytical approaches to projection of likely forest outcomes. LESSONS LEARNED AND RECOMMENDATIONS FOR PRACTITIONERS DPL can facilitate sector reform. DPL has not been generally thought of within the World Bank as an instrument The Republic of Armenia PRSC III is the third in a proposed series of four annual single tranche PRSCs intended to support policy and institutional reforms in furtherance of the government’s PRSP. The PRSCs focus on four critical reform themes: (i) consolidating macroeconomic discipline and strengthening governance, (ii) sharpening competition and entrenching property rights, (iii) mitigating social and environmental risks, and (iv) modernizing the rural economy. Under the component on Reducing Risks in Natural <strong>Resource</strong> Management, the action taken under PRSCs I and II included adopting a national forestry policy and forest code, outlining the institutional restructuring plan for the sector, establishing a pilot system for monitoring illegal forest exploitation, and promoting community forest management. The Policy and Institutional Reform Actions under PRSC III included controlling illegal logging within agreed targets, and expanding community forest management. The trigger in PRSC II (as approved by the Board) was controlling illegal logging and forest removal within targets to be agreed with IDA by March 2006. As a result of political factors, the proposals for the structure, powers, and functioning of the illegal logging monitoring system were developed, but have not yet been adopted. The condition was deferred to PRSC IV. Source: Authors’ compilation using World Bank 2007. for specific sectoral reforms, yet it may in fact have more potential to effect the sort of fundamental changes in forest sector policy and practices than is available under traditional sector investment lending. Ministries of Finance are involved in implementing policy loans, and the inclusion of forest sector reform considerations in a policy loan can facilitate mainstreaming forest considerations into national policy dialogue and raise the profile of governance and institutional issues of concern in this sector. Prior policy dialogue. Development policy loans require particularly advanced policy dialogue on sector policy reforms and reform implementation. Such loans can only be built upon strong collaboration between central economic and technical ministries, and in the presence of com- 226 CHAPTER 6: MAINSTREAMING FORESTS INTO DEVELOPMENT POLICY AND PLANNING
pleted or unfolding national financial management, auditing, and procurement reforms. In the cases of Cameroon and Gabon outlined in box 6.12, these conditions were created through long processes of intersectoral dialogue with the government and strong collaboration within the country team. The results were not uniformly successful, and at times proved difficult and contentious, but some measure of reform was enabled by the process. This, however, needs to be viewed in a context where, in this region, two decades of World Bank experience in providing assistance via sector investment lending to the forest sector clearly revealed the limits of traditional sector investment projects in reforming forest sectors traditionally dominated by political patronage and vested interests. Good governance as an entry point. Good governance is a strong entry point for sector reforms (see chapter 5, Forest Sector Governance, and associated notes). Linking forest sector governance reforms with a broader extractive industries transparency initiative, or positioning them as part of the overall good public sector management effort (for example, an anticorruption, transparency, or improved governance component) can strengthen its hold in a policy loan. Done this way, forest sector reform could be included as a trigger or prior action, making the reform component binding and essential for release of a tranche. Avoid mixed results and signals. When a client is performing well in general, and has achieved all the prior actions for a policy reform loan except those associated with forests, a decision needs to be made on whether to withhold the release of the tranche of one unfulfilled prior action. In some cases, the World Bank has employed a floating tranche, disbursable when particular conditions are expected in some way to be difficult, or more drawn-out than others in the policy matrix: the Cameroon structural operation is a case where this approach was applied to forest outcomes. In other cases (see box 6.9), the nature of the operation itself ensured that activities and measures undertaken complemented investment loans that were focused on specific sectors. It is sometimes possible to transfer policy objectives related to a single sector or related group of sectors into investment loans that are coordinated with DPLs, and can follow policy developments that are foreshadowed and perhaps initiated under a DPL, but require longer time frames for implementation. 3 The primary requirement is that the World Bank remain internally consistent in its approach to dealing with forests and broader natural resource outcomes, in cases where these are important. If a sector-specific condition has not been achieved by a well-performing client, it is important to identify how to modify the condition rather than drop it. Natural resource and forest outcomes are not trivial adjuncts to economic reform objectives, but may play a significant role in the successful achievement of those objectives. Analytical work should look at all influences on forests. The use of analytical work should be carefully considered in the context of forests and DPLs. Essentially, what is required here is a broad scoping exercise that examines the status of DPLs, proposed forest sector or larger natural resource project activities, and other cross-sectoral developments that are indicated in CASs and business plans. Sector work should not be based simply on problems within the forests sector, as perceived by forest agencies in the country and the World Bank sector staff, but on a broader appreciation of all influences and changes likely to affect forests, and an analysis of what combination of macroeconomic, crosssectoral, and within-sector measures are likely to produce the best outcomes from national economic, environmental, and social perspectives. For forest outcome monitoring to be effective, the World Bank needs to undertake continuing research on how changes at the macroeconomic and broad cross-sectoral levels flow through the economic and social systems to manifest as impacts on forests. Ownership matters. Policy conditions in DPL, as in investment lending, are more likely to result in sector policy reform when there is clear borrower ownership, commitment, and demand at the sector level, and when the appropriate central ministry (such as the Ministry of Finance) is part of the dialogue and supports the agreements reached. NOTES 1. For this note, a policy lending instrument will be called a development policy loan. 2. For further information on the points raised in this section, please refer to World Bank (2006). 3. There is some risk attached to this strategy, in that a government may successfully implement the DPL that foreshadows further policy changes under investment lending but then decides not to proceed with those investment loans. SELECTED READINGS Numerous relevant references are available at http:// go.worldbank.org/4OJ07BWKQ0. NOTE 6.2: PROSPECTS FOR USING POLICY LENDING TO PROACTIVELY ENABLE FOREST SECTOR REFORMS 227
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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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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
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Another important and useful proces
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theless, it is never too late to st
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CHAPTER 5 IMPROVING FOREST GOVERNAN
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Improving forest governance and leg
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tant part of the World Bank’s con
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sector with broader governance and
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NOTE 5.1 Decentralized Forest Manag
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Assess the overall decentralization
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Box 5.5 Nicaragua: Asymmetries Betw
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Parker, A. 1995. “Decentralizatio
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■ ■ ■ Management of forests (
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such as designing a transparent con
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Box 5.11 Citizen Report Cards: Benc
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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 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
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
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Page 222 and 223: limited in the coverage and duratio
Page 224 and 225: Box 6.12 The Use of DPLs to Support
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:
Page 248 and 249: Box 7.1 Monitoring Promotes Changes
Page 250 and 251: collected via remote sensing rather
Page 252 and 253: Discussions and proposals on how to
Page 254 and 255: Assessment (www.millenniumassessmen
Page 256 and 257: FAO. 2004. “Manual for Environmen
Page 258 and 259: ■ ■ ■ enables implementation
Page 260 and 261: selecting the technology. Technolog
Page 262 and 263: USFS Field Guides: www.fia.fs.fed.u
Page 264 and 265: Box 7.13 System Architecture of a S
Page 266 and 267: Box 7.14 FMIS in Bosnia and Herzego
Page 268 and 269: and client-rich system, which would
Page 270 and 271: ANNEX 7.2A MODEL TERMS OF REFERENCE
Page 272 and 273: ■ ■ ■ ■ ■ ■ ■ ■ ■
Page 274 and 275: 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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