Forests Sourcebook - HCV Resource Network

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ut also to consider intermediary phases using a step-wise approach. Progress could then be monitored against previously agreed upon milestones. NOTES 1. Standard setting: The process by which a standard for forest management is developed. Conformity assessment and certification: Assessment of forest management against the standards. If successful, this will result in a certificate being issued. Accreditation: The procedure by which an authoritative body gives formal recognition that a body or person is competent to perform conformity assessment and certification. 2. The Forest Stewardship Council (FSC) has developed standards that give consideration to small and low-intensity managed forests, available online at http://www.fsc .org/slimf/. Burger, D., J. Hess, and B. Lang, eds. 2005. Forest Certification: An Innovative Instrument in the Service of Sustainable Development? Eschborn, Germany: Deutsche Gesellschaft für Technische Zusammenarbeit. Nussbaum, R., and M. Simula. 2005. The Forest Certification Handbook. London: Earthscan. Richards, M. 2004. “Certification in Complex Socio- Political Settings: Looking Forward to the Next Decade.” Forest Trends, Washington, DC. REFERENCES CITED World Bank. 2004. The World Bank Operational Manual, Operational Policies OP 4.36, <strong>Forests</strong>. World Bank, Washington, DC. World Bank–WWF Alliance. 2006. Forest Certification Assessment Guide—A Framework for Assessing Credible Certification Systems/Schemes. Washington, DC: World Bank–WWF Alliance. http://www.panda.org/about_wwf/ what_we_do/forests/publications/index.cfm?unewsID= 81080. SELECTED READINGS 340 CHAPTER 11: FOREST CERTIFICATION ASSESSMENT GUIDE: SUMMARY ON USE
ANNEX 11A MODEL TERMS OF REFERENCE FOR ASSESSMENT OF CERTIFICATION SYSTEMS Background. In its global strategy on forests, the World Bank recognizes the integration of forests into sustainable economic development as one major pillar of its investments in the sector, including enabling or directly supporting commercial use of the forest. At the same time, the World Bank must limit negative social or environmental impacts of forest use by setting preconditions for supporting commercial operations in the forest. The policy framework laid out in OP 4.36 stipulates that in order to receive Bank support, commercial harvesting of forests carried out on an industrial scale must be certified by a system deemed acceptable by the World Bank. The forest management standards required by such systems and their operational procedures must conform to the elements further specified in paragraphs 10 and 11 of OP 4.36. The World Bank, in close collaboration with the WWF, developed an assessment guide that details the principles of the policy (World Bank–WWF 2006) and provides a framework to assess the quality of certifications systems. This instrument is recognized as the basis for the assessment of certification systems according to World Bank requirements. The TOR listed in this document summarize the key steps in assessments carried out according to the World Bank–WWF guide on assessing certification systems. The assessment will provide information on the performance level achieved by certification systems in relation to World Bank principles and identify the gaps that may still exist in the system’s standard requirements of operational procedures. This analysis can support decisions regarding the acceptability of systems, but further judgment will need to be exercised when certification systems do not fully comply with all requirements, and consideration be given to the potential impacts that may result from these deficits in a particular project environment. Tasks. Different tasks can be performed depending on the background of the assessment. The issues listed under the first three tasks can be carried out in a stand-alone assessment that does not require a decision on the acceptability of systems. The fourth and fifth tasks are recommended if the assessment is to provide the basis for investment decisions under OP 4.36 and in cases where the assessment showed deficits in the system’s standards or procedures. The consultant shall perform the following tasks: 1. Analyze the respective certification system for its conformance with the OP 4.36 requirements using the World Bank–WWF guide as a reference document. This should include direct consultations with certification systems personnel on draft findings. 2. On the basis of this assessment, compile a list of required elements with which the system is not in compliance. 3. Compile a list of those elements for which an assessment was not possible due to a lack of information or lack of access to procedures or operations of certification, accreditation, or standard-setting bodies working under the system. 4. Analyze the identified deficits in the context of the overall project environment and conduct a risk assessment on the potential negative impacts of the identified deficits. This exercise can be supplemented by consultations with relevant stakeholders in the World Bank client country. 5. On the basis of the findings, produce a substantiated judgment on whether the system meets OP 4.36 requirements and can provide sufficient assurance that certificate holders fully comply with the World Bank’s requirements for forest management certification listed in paragraph 10 of OP 4.36. Qualifications. The qualifications necessary for assessing the elements of a certification system may, in many cases, require the employment of an audit team rather than a single auditor. The assessor or the assessment team should have the following qualifications: ■ ■ ■ ■ ■ practical experience and knowledge in forest certification profound understanding of the different elements of systems for accreditation, certification, and standard setting, and their various interactions broad knowledge of ISO guides 62, 65, and 66; ISO standard 17011; and practical experience in assessing bodies against the requirements set in these norms advanced degree in forest resource management or related field no conflicts of interest with regard to the certification system under assessment For a judgment on the impacts of identified system deficits, the consultant(s) should have ■ in-depth knowledge of the overall economic, ecological, and social environment, and the country’s legal and policy context; and CHAPTER 11: FOREST CERTIFICATION ASSESSMENT GUIDE: SUMMARY ON USE 341
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
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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
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Box 5.13 Working on the Law with La
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In addition, the process of public
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ANNEX 5.3B SIX DRAFTING PRINCIPLES
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forestry policy or to promote other
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The most common fiscal incentives i
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is reasonable to allow the administ
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ANNEX 5.4A A SUMMARY OF THE DIFFERE
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NOTE 5.5 ADDRESSING ILLEGAL LOGGING
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Box 5.17 Measures Specific to Comba
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■ ■ ■ initially have to compe
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enterprises may be motivated to joi
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NOTES 1. This note is based on Worl
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ANNEX 5.5B TYPICAL CONTEXTS OF ILLE
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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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Page 314 and 315: the detailed Biodiversidade Brasile
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Page 319 and 320: CHAPTER 10 Consultation and Communi
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Page 325 and 326: Box 10.6 Elements of Communication
Page 327 and 328: Table 10.2 Listening to the Public
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Page 331 and 332: Box 10.8 Managing Risks through Str
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Page 335 and 336: CHAPTER 11 Forest Certification Ass
Page 337 and 338: carried out under a specific certif
Page 339: once more practical experience has
Page 343 and 344: ANNEX 11B PROCEDURES AND TERMS OF R
Page 347 and 348: CHAPTER 12 Applying OP 4.10 on Indi
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Page 351 and 352: Box 12.2 When a project affects Ind
Page 353 and 354: ples receive social and economic be
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Page 357: ANNEX 12A ELEMENTS OF AN INDIGENOUS
Page 360 and 361: forest monitoring, 275b social and
Page 362 and 363: FOMAS. See National Forest Sector M
Page 364 and 365: and forest certification, 335 toolk
Page 366 and 367: applying to Indigenous Peoples, 347
Page 368 and 369: strategic partnership, LFI example,
Page 372: Eco-Audit Environmental Benefits St
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