Forests Sourcebook - HCV Resource Network

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Figure 1.1 Toward Tenure Security:Actors and Actions Public law groups Legal cases Training locals Dispute resolution Activists and NGOs Mobilizing Demarcating Planning Tenure security Researcher Mapping Information dissemination Judiciary or arbitrator Legal recognition Internal institutions Political constituency Regulatory mechanisms Policy groups Inform decision making Public education Lobbying Property rights Community development and training organizations Organizational skills Conflict resolution Business management Government agencies Legal framework Implementing Dispute resolution Source: Ellsworth and White 2004, Ellsworth 2004. Participation in commercial markets. The ability of forest rights holders to manage and make use of their resources is linked to their level of, and opportunities for, participation in commercial markets (see note 1.5, Making Markets Work for the Forest-Dependent Poor). Forest tenure cannot be analyzed in isolation from world market trends, which both drive demand and create pressures on existing forest regimes. Newly created market opportunities for poor forest producers and forest owners can only be realized if the blend of tenure and other policies and regulations create the enabling environment. Changing long-established patterns of governance and industrial behavior inevitably entails a degree of political, economic, and environmental risk and adjustments in forest product supply and demand. Clear and secure tenure rights are necessary but not sufficient to engender these changes. Experience in Papua New Guinea shows that local landowners failed to manage enterprises for the long term when short-term returns were not high enough to encourage a change in behavior. Furthermore, technical and organizational support in early stages is essential. Mexican ejidos and communities have faced strong market competition from imports and subsidies to private plantations, requiring stronger enterprises and more flexible forest regulations to survive. Assistance in meeting these challenges will determine whether development and forest investments have pro-poor outcomes (box 1.20). LESSONS LEARNED AND RECOMMENDATIONS FOR PRACTITIONERS The transition to greater forest tenure and property rights occurs through a varied combination of strategies—both reforms fostered by political elites and bottom-up reforms demanded by civil society and community organizations. Development organizations have enabled reform processes through PRSP dialogue, but unless well linked to organic processes of civil society and empowered decentralization, these usually fail to make timely changes. Lessons from a variety of countries on successful strategies for change are listed in box 1.21. 52 CHAPTER 1: FORESTS FOR POVERTY REDUCTION
Box 1.19 Characteristics of Secure Community Tenure Security of community tenure encompasses a number of characteristics: 1. Requires that there is clarity as to what the rights are. Confusion about one’s rights can significantly undermine the effectiveness and enthusiasm with which rights are exercised. 2. Requires certainty that rights cannot be taken away or changed unilaterally and unfairly. In almost any situation, of course, there are circumstances where it may be appropriate for rights to be taken away or diminished, but conditions for doing so need to be fair and clearly spelled out, the procedures fair and transparent, and compensation addressed. 3. Is enhanced if the duration of rights is either in perpetuity or for a clearly spelled-out period that is long enough for the benefits of participation to be fully realized. If rights are to be in force only temporarily—as in some comanagement arrangements or community forestry leases—care should be taken to ensure that agreements are at least as long as is realistically required to reap the appropriate degree of benefits. 4. Means that rights need to be enforceable against the state (including local government institutions)— that is, the legal system has to recognize an obligation of the state to respect those rights. 5. Requires that the rights be exclusive. The holders of rights need to be able to exclude outsiders or control the access of outsiders to the resource over which they have “rights.” A corollary to exclusivity is that there must be certainty both about the boundaries of the resources to which rights apply and about who is entitled to claim group membership. A second corollary to exclusivity where comanagement concerns government land is that the government entity entering into the agreement must have clear authority to do so, authority that the responsible entity is empowered to fulfill. 6. Requires that the law recognizes the holder of the rights. The law should provide a way for the holder of the rights to acquire a legal personality, with the capacity to apply for credits and subsidies, enter into contracts with outsiders, collect fees, and so forth. 7. Requires accessible, affordable, and fair avenues for seeking protection of the rights, for solving disputes, and for appealing decisions of government officials. Source: Lindsay 1998. Box 1.20 Examples of Potentially Pro-Poor Approaches to Tenure Reform in <strong>Forests</strong> ■ ■ ■ ■ ■ ■ Overarching forest sector reform programs (Uganda, Ghana, Guyana, and South Africa) Titling of indigenous territories in Latin America and the Philippines Collectively managed community forests in Latin America—from extractive reserves to social forestry, to ejidos (Brazil, Guatemala, and Mexico) Recognition of community rights in Africa (The Gambia and Tanzania) Devolution of state and collectively owned forests to individual households (China and Vietnam) Joint forest management and collaborative management, where communities are given greater control ■ ■ ■ ■ over degraded resources, with the purpose of rehabilitating the resource (Cambodia, India, and Nepal) Decentralization of some decision making over forests (Indonesia) opening political spaces for local communities Some ethnic minority control over forests through peace negotiations (Myanmar, the Philippines, and Northeast India) Outgrower schemes where large-scale plantations have become politically untenable (Indonesia and South Africa) Comanagement in protected areas Source: D. Kaimowitz, personal communication, in Hobley 2005. NOTE 1.4: PROPERTY AND ACCESS RIGHTS 53
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 48 and 49: Borrini-Feyerabend, G., M. Pimbert,
Page 50 and 51: In what are considered public fores
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
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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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■ ■ ■ ■ ■ 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
Page 368 and 369:
strategic partnership, LFI example,
Page 372:
Eco-Audit Environmental Benefits St
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