Forests Sourcebook - HCV Resource Network

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■ the ability to analyze certification systems and their impact in a given environment. REFERENCES CITED World Bank–WWF Alliance. 2006. Forest Certification Assessment Guide—A Framework for Assessing Credible Certification Systems/Schemes. Washington, DC: World Bank–WWF Alliance. 342 CHAPTER 11: FOREST CERTIFICATION ASSESSMENT GUIDE: SUMMARY ON USE
ANNEX 11B PROCEDURES AND TERMS OF REFERENCE FOR THE DEVELOPMENT AND ASSESSMENT OF A TIME-BOUND ACTION PLAN FOR CERTIFICATION Background. The World Bank supports investments in the forest sector under OP 4.36. To qualify for this support, operations involving commercial forest harvesting on an industrial scale must achieve certification under a system acceptable to the World Bank. Alternatively, operations can qualify by adhering to a time-bound action plan that is adequate to achieve certification within a specified time frame. Preparation of investments in this area should therefore include the following steps: ■ ■ ■ ■ ■ selection of a certification system assessment of the performance of the operation in relation to the forest management standard elaboration of a time-bound action plan assessment of the plan’s acceptability under World Bank terms monitoring of the implementation of the plan Each of these individual steps is associated with different responsibilities, tasks, issues to consider, qualifications required, and actors involved, which are outlined below. Selection of a certification system. Selection of a certification system that conforms with World Bank requirements and is operational in the country of the applicant is a precondition for assessing the performance of the operation. Details describing the World Bank’s approach to selection of certification systems are given in this chapter of the sourcebook. The decision has to be made by the applicant, but preferably in close collaboration with the World Bank’s contact person for the project, normally the task team leader. To prepare for the selection, the consultant will do the following: ■ ■ ■ Identify the forest management certification systems that are operational in the country of the applicant. Assess the systems against World Bank requirements in accordance with the World Bank’s instruments for assessment of forest certification schemes (annex 11A). The consultant should draw upon the results of assessments conducted for similar projects in the country, or previous assessments commissioned by other bodies, if available. If the certification systems are not entirely in compliance with World Bank requirements, the consultant will provide the World Bank with a list of deficits, together with a substantiated judgment regarding risks that could potentially emerge for the project because of the identified system’s deficiencies. Assessment of the applicant operation. The assessment should highlight the strengths and weaknesses of the applicant in relation to the forest management standard of the certification system. Because the tasks involved are similar to those performed during normal audits, the assessment should be conducted by a team that is familiar with the regular audit procedures of the system and be selected according to the same criteria applied by the respective certification system. It is essential that team members have sufficient competence and local knowledge to analyze the legal framework, the ecological and social aspects of forest management, and its broader impact on the well-being of adjacent communities. During such a preassessment for certification, the consultant(s) will perform the following tasks: ■ ■ ■ ■ ■ Assess the applicant’s forest management practices for compliance with each element of the selected certification system’s standards. Compile a list of issues where the company’s performance falls below the requirements of the standard. If applicable to the selected certification system, group the deficits into minor noncompliance issues that could be resolved after certification has been awarded, and major noncompliance issues that would prevent the operation from obtaining immediate certification. Highlight the strengths and weaknesses of the operation. Identify appropriate measures to improve forest management to the level required for full certification. Development of the time-bound action plan. On the basis of the identified deficits, the company should develop a plan detailing actions envisaged for improvement. Although external consultants can assist in this step, senior staff should play a leading role in this process to ensure a close connection between the company and the action plan. Depending on the situation, it may be necessary to introduce a step-wise approach by defining interim performance levels to be achieved. This approach may be necessary depending on, among other issues, the previous record of the company applying for assistance, the commitment of senior management or the owner to implementation of the action plan, the time frame set for full compliance in relation to the duration of the project, as well as the gravity and CHAPTER 11: FOREST CERTIFICATION ASSESSMENT GUIDE: SUMMARY ON USE 343
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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
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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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waterways, or the quantity or quali
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Page 294 and 295: ■ In the case of forest harvestin
Page 296 and 297: ■ ■ harvesting supported by Wor
Page 298 and 299: However, some of the World Bank’s
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Page 302 and 303: Box 9.2 Participation Strategy To m
Page 304 and 305: Box 9.5 Process Framework for Invol
Page 306 and 307: Box 9.8 Market Analysis A market an
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Page 310 and 311: Box 9.16 Environmental Management P
Page 312 and 313: ■ ■ ■ ■ ■ ■ ■ ■ ■
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 323 and 324: Box 10.4 Consultation in the Democr
Page 325 and 326: Box 10.6 Elements of Communication
Page 327 and 328: Table 10.2 Listening to the Public
Page 329 and 330: ■ - Preliminary research should i
Page 331 and 332: Box 10.8 Managing Risks through Str
Page 333 and 334: Bank project cycle related to Commu
Page 335 and 336: CHAPTER 11 Forest Certification Ass
Page 337 and 338: carried out under a specific certif
Page 339 and 340: once more practical experience has
Page 341: ANNEX 11A MODEL TERMS OF REFERENCE
Page 347 and 348: CHAPTER 12 Applying OP 4.10 on Indi
Page 349 and 350: lack of opportunities relative to o
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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Forests Sourcebook - HCV Resource Network

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