Forests Sourcebook - HCV Resource Network

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Borrini-Feyerabend, G., M. Pimbert, M. T. Farvar, A. Kothari, and Y. Renard. 2004. Sharing Power: Learning by Doing in Co-management of Natural Resources Throughout the World. CENESTA, Tehran: IIED and IUCN/CEESP/CMWG. Clay, J. W., J. B. Alcorn, and J. R. Butler. 2000. “Indigenous Peoples, Forestry Management and Biodiversity Conservation.” World Bank, Washington, DC. Collier, R., B. Parfitt, and D. Woollard. 2002. “A Voice on the Land: An Indigenous Peoples’ Guide to Forest Certification in Canada.” National Aboriginal Forestry Association, Ottawa, and Ecotrust Canada, Vancouver. Cruz, M. C. J., and S. H. Davis. 1997. “Social Assessment in World Bank and GEF-Funded Biodiversity Conservation Projects: Cases Studies from India, Ecuador, and Ghana.” Working Paper No. 18176, World Bank, Washington, DC. Davis, S. H., J. Uquillas, and M. Eltz. 2004. “Lessons of Indigenous Development in Latin America: The Proceedings of a World Bank Workshop on Indigenous Peoples Development.” Sustainable Development Working Paper No. 20, World Bank, Washington, DC. International Working Group for Indigenous Affairs. Not dated. “Indigenous Peoples, Forest, and Biodiversity.” International Alliance of Indigenous-Tribal Peoples of the Tropical Forest, and International Work Group for Indigenous Affairs, Copenhagen. Ortega, R. 2004. “Models for Recognizing Indigenous Land Rights in Latin America.” Environment Department Working Paper No. 99, World Bank, Washington, DC. Reichel-Dolmatoff, G. 1996. The Forest Within: The Worldview of the Tukano Amazonian Indians. Dartington, U.K.: Themis Books. Stevens, S. ed. 1997. Conservation Through Cultural Survival: Indigenous Peoples and Protected Areas. Washington, DC: Island Press. REFERENCES CITED Clay, J. W., J. B. Alcorn, and J. R. Butler. 2000. “Indigenous Peoples, Forestry Management and Biodiversity Conservation.” World Bank, Washington, DC. Gautam, M., U. Lele, H. Kartodihardjo, A. Khan, I. Erwinsyah, S. Rana. 2000. Indonesia. The Challenges of World Bank Involvement in Forests. OED Evaluation Country Case Study Series. Washington, DC: World Bank. Kumar, N., N. Saxena, Y. Alagh, K. Mitra. 2000. India. Alleviating Poverty Through Forest Development. OED Evaluation Country Case Study Series. Washington, DC: World Bank. Lele, U., V. Viana, A. Verissimo, S. Vosti, K. Perkins, S. Arif Husain. 2000. Brazil. Forests in the Balance: Challenges of Conservation with Development. OED Evaluation Country Case Study Series. Washington, DC: World Bank. Lisansky, J. 2004. “Fostering Change for Brazilian Indigenous People during the Past Decade: The Pilot Program’s Indigenous Lands Project.” In S. H. Davis, J. Uquillas, and M. Eltz, “Lessons of Indigenous Development in Latin America,” 31–43. World Bank, Washington, DC. State Planning Committee and National Statistical Centre. 2000. “Poverty in the Lao PDR: Participatory Poverty Assessment.” Vientiane: State Planning Committee. World Bank. 1997. “Introduction to Environmental and Social Assessment Requirements and Procedures for World Bank-Financed Projects.” Environment Department Report No. 26115. World Bank, Washington, DC. ———. 2002a. Project Appraisal Document, Natural Resource Management and Rural Poverty Reduction Project—Santa Catarina (P043869). Report No. 23299. World Bank, Washington, DC. ———. 2002b. Project Appraisal Document, Andhra Pradesh Community Forest Management Project (P073094). Report No. 24184-IN. World Bank, Washington, DC. ———. 2004. Implementation Completion Report for Mexico Community Forestry Project. Report No. 29582. World Bank, Washington, DC. ———. 2005. “Social Analysis Guidelines in Natural Resource Management: Incorporating Social Dimensions into Bank-Supported Projects.” Social Development Department, World Bank, Washington, DC. ———. 2007. Brazil Indigenous Lands Project. ICR0000338. World Bank, Washington, DC. World Bank OED. 2001. “Participation in Development Assistance.” Precis No. 209, World Bank, Washington, DC. ———. 2005. The Effectiveness of World Bank Support for Community-Based and -Driven Development: An OED Evaluation. Washington, DC: World Bank. CROSS-REFERENCED CHAPTERS AND NOTES Note 1.2: Community-Based Forest Management Note 1.4: Property and Access Rights Note 1.5: Making Markets Work for the Forest-Dependent Poor Chapter 5: Improving Forest Governance Note 5.4: Strengthening Fiscal Systems in the Forest Sector Chapter 6: Mainstreaming Forests into Development Policy: Assessing Cross-Sectoral Impacts Section II: Guide to Implementing Forests Policy OP 4.36 48 CHAPTER 1: FORESTS FOR POVERTY REDUCTION
NOTE 1.4 Property and Access Rights In many countries, most of the forest estate remains publicly owned and managed, despite legitimate local claims to the forests, extensive occupation by agrarian people, and the limited ability of governments to protect these vast resources. Legal frameworks and rural land-use policies often discourage or deny local people’s rights to own, use, and trade their forest products and services. A current dilemma is the complementarity between these frameworks and policies and environmental laws and regulations, which may evolve with limited attention to tenure and rights implications. Development projects promoting agriculture expansion, large-scale irrigation, and industrial (and mining) development have often impinged on forest areas and forest inhabitants. Often, indigenous and forest-dependent communities do not directly benefit from these activities. Similarly, forestry projects that deal with industrial and logging concessions, government-controlled logging quotas, protected area enlargements, and plantation developments can, if not appropriately designed and planned, affect tenure and customary rights of indigenous and other forest communities. Most of these forestry projects affect traditional forest users, those with ancestral forest rights, shifting cultivators, and NTFP gatherers (such as in Cambodia, Lao PDR, and Vietnam). Operationally, it is difficult to avoid these undesirable impacts in absence of clarity on tenure and property rights (see note 1.3, Indigenous Peoples and Forests). Emerging payment schemes and markets for ecosystem services, such as water flow and biodiversity conservation, present both similar and special sets of issues for forest tenure and property rights. Unless done properly, poor people are less likely to participate in these markets because of their inability to assume risk, the lack of organization to create economies of scale, limited land and investment capital, and often unclear property and use rights. These emerging markets can be a means for government and local communities to enhance forest rights in a pilot watershed credits or a carbon credits scheme and provide complementary technical support, as well as providing additional returns to poor producers managing forests on the margin. If not done sensitively, they can, however, also set dangerous precedents by introducing new uncertainties—deeming shifting cultivation or other traditional practices unacceptable, establishing long-term contracts in regions where forest tenure is contested, extinguishing traditional use and access, and raising the price of forests beyond the reach of local people. Clearly defined rights are essential if the forestdependent poor are to improve their income and wellbeing. If individuals, communities, and businesses are to invest in forest resources, take responsibility for their conservation, and participate regularly and openly in the marketplace, they need to be confident of their property rights. Growing evidence from around the world demonstrates that recognizing local rights and improving local governance is politically feasible. It is also a cost-effective strategy for rural poverty alleviation. Emerging trends show that more countries are now actively engaged in reforming their forest land and management practices. Many communities and Indigenous Peoples are asserting their rights to manage their forests, and some governments are introducing substantive changes to forest tenure and to policies and rules governing markets, and linking these to agrarian and related sector policies. The forest sector is now undergoing important reforms, arguably the most important set of policy and market shifts since the end of the colonial era, and these present historic opportunities for, and sometimes threats to, the well-being—livelihoods, rights, freedom and choices, and culture—of the 1.6 billion poor people who live in and around forests. These reforms affect the way in which forest people manage and conserve forests and affect the provisioning of forest environmental goods and services that benefit society as a whole. 49
Page 1 and 2: INTRODUCTION OPPORTUNITIES AND CHAL
Page 3 and 4: Forest law enforcement and governan
Page 5 and 6: ■ Protecting vital local and glob
Page 7 and 8: Figure 3 Commitment from the World
Page 9 and 10: Figure 6 Regional Distribution of I
Page 11 and 12: management and biodiversity conserv
Page 13: PART I Priority Themes and Operatio
Page 16 and 17: Angelsen and Wunder 2003; and Malli
Page 18 and 19: harvesting forest products that are
Page 20 and 21: forest management and ownership hav
Page 22 and 23: Institutional development of capaci
Page 24 and 25: Contreras-Hermosilla, A., and M. Si
Page 26 and 27: Box 1.4 Poverty-Forest Linkages Too
Page 28 and 29: Box 1.6 An Overview of the Tools fo
Page 30 and 31: NOTE 1.2 Community-Based Forest Man
Page 32 and 33: the biophysical resource through fo
Page 34 and 35: Box 1.12 Andhra Pradesh Community F
Page 36 and 37: Box 1.14 Community Forestry in Mexi
Page 38 and 39: World Bank, 1978. Forestry. Sector
Page 40 and 41: [Indigenous Peoples’] rights of o
Page 42 and 43: inappropriate. Thus, development pr
Page 44 and 45: nity territory into individual plot
Page 46 and 47: LESSONS LEARNED AND RECOMMENDATIONS
Page 50 and 51: In what are considered public fores
Page 52 and 53: Figure 1.1 Toward Tenure Security:A
Page 54 and 55: Box 1.21 Opportunities to Advance C
Page 56 and 57: NOTE 1.5 Making Markets Work for th
Page 58 and 59: ■ environmental groups to produce
Page 60 and 61: Box 1.25 Medicinal Plants as NTFPs
Page 63 and 64: CHAPTER 2 Engaging the Private Sect
Page 65 and 66: dred to tens of thousands of new jo
Page 67 and 68: Box 2.2 Since 1995, Brazilian small
Page 69 and 70: Macqueen, D., N. Armitage, M. Jaeck
Page 71 and 72: NOTE 2.1 COMPANY-COMMUNITY PARTNERS
Page 73 and 74: inputs (communities), and cost savi
Page 75 and 76: community arrangements, such as eth
Page 77 and 78: NOTE 2.2 Small and Medium Enterpris
Page 79 and 80: must be distinguished from products
Page 81 and 82: overregulation falls most heavily o
Page 83 and 84: da Amazônia (IPAM) and the Interna
Page 85 and 86: NOTE 2.3 Innovative Marketing Arran
Page 87 and 88: Table 2.2 World Bank Projects with
Page 89 and 90: payments for reforestation can enco
Page 91: Wunder, S. 2005. “Payments for En
Page 94 and 95: Box 3.1 Technical Definitions Wood
Page 96 and 97: Table 3.2 Wood Fuel Data for Select
Page 98 and 99:
ered it important to have the World
Page 100 and 101:
operations (such as community-based
Page 102 and 103:
also needs to be extended in many c
Page 104 and 105:
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
Page 110 and 111:
Finally, any existing protections,
Page 112 and 113:
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
Page 125 and 126:
People and human societies are seen
Page 127 and 128:
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
Page 135 and 136:
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
Page 163 and 164:
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
Page 179 and 180:
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
Page 252 and 253:
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
Page 292 and 293:
■ ■ ■ ■ ■ 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
Page 300 and 301:
■ ■ ■ ■ ■ ■ 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
Page 347 and 348:
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
Page 362 and 363:
FOMAS. See National Forest Sector M
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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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