Forests Sourcebook - HCV Resource Network

esource management and conservation, including all types
of forestry, protected areas, and similar investments. The
Natural Habitats OP 4.04 applies as well to all these types
of investments, as long as they involve natural forests or
other kinds of natural habitats.
As a practical, quick summary, the largely overlapping
safeguards requirements of the Forests and Natural Habitats
policies can be summarized as follows:
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If a nonforestry project complies with OP 4.04, it also
automatically complies with OP 4.36.
If a nonforestry project complies with OP 4.36, it also
complies with OP 4.04, except where nonforest natural
habitats are involved (in which case OP 4.04 needs to be
specifically applied).
All forestry projects (involving natural forests as well as
plantations) are subject to the additional requirements in
OP 4.36.
OTHER RELEVANT SAFEGUARD POLICIES
The remaining eight safeguard policies can sometimes apply
to projects involving forests (for more information on each
of these policies, please refer to the World Bank Safeguards
Web site):
Indigenous Peoples. The Indigenous Peoples Policy
(OP/BP 4.10) specifies how Indigenous Peoples need to be
consulted and involved in the design of projects that may
affect them (positively or negatively). Many projects involving
forests also involve Indigenous Peoples, who are important
stakeholders in forest-based activities. Key requirements
of OP 4.10 are social assessment; free, prior, and
informed consultations leading to broad community support
to the project; and development and disclosure of an
Indigenous Peoples Plan or Planning Framework (see chapter
12, Applying OP 4.10 on Indigenous Peoples).
Involuntary Resettlement. The Involuntary Resettlement
Policy (OP/BP 4.12) applies to projects involving either
(i) the involuntary taking of (forested or any other) land for
project purposes that leads to physical relocation, loss of
assets, or loss of income sources or livelihoods for the
affected persons; or (ii) the involuntary restriction of access
to legally designated protected areas that leads to adverse
impacts on the livelihoods of the affected persons. To address
these impacts, the policy requires the preparation of (i)
either a Resettlement Plan or Resettlement Policy Framework
in the case of involuntary land taking; and (ii) a Process
Framework in the case of involuntary restriction of access to
the natural resources within parks and protected areas. The
policy does not cover restrictions of access to natural
resources outside of formal protected areas, such as community-based
natural resource management projects (OP 4.12,
footnote 6), or the regulation of forests or other natural
resources at a national or regional level (OP 4.12, footnote
8). (See the World Bank’s Involuntary Resettlement Sourcebook,
and for more details on the preparation of a Process
Framework, see also “Guidance on Development of Terms of
Reference Related To OP 4.36” in chapter 9.)
Pest Management. The Pest Management Policy (OP 4.09
and BP 4.01, annex C) applies to projects that (i) involve
(through World Bank or counterpart funds) the procurement
of pesticides or pesticide application equipment;
(ii) would lead to substantially increased pesticide use; or
(iii) would maintain or expand pest management practices
that are unsustainable or risky from an environmental or
health standpoint. Some forestry projects involve significant
pest management issues (sometimes including pesticide
use) in natural or plantation forests as well as in tree nurseries
(for guidance on applying this OP, please refer to the
Pest Management Guidebook).
Physical Cultural Resources. The Physical Cultural
Resources Policy (OP/BP 4.11) was issued in April 2006,
replacing the substantially similar Management of Cultural
Property in World Bank–Financed Projects OPN 11.03. This
policy applies to projects that might affect sites and objects
of archaeological, paleontological, historical, architectural,
religious, aesthetic, or other cultural significance. Projects
involving forests that might also trigger this policy include,
among others, those with (i) civil works (including forestry
roads, small buildings, and manual tree planting) that might
uncover previously unknown relics; and (ii) forested sites of
special cultural significance (including sacred forests identified
by local communities).
Projects in Disputed Areas. This policy (OP 7.60) prescribes
special consultation and due diligence procedures
for any projects proposed in geographic areas that are disputed
between two or more countries. Many such areas are
remote and forested.
Projects on International Waterways. This policy (OP
7.50) covers projects that could appreciably affect international
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