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Wunder, S. 2005. “Payments for Environmental Services: Some Nuts and Bolts.” CIFOR Occasional Paper No. 42, Center for International Forestry Research, Indonesia. SELECTED READINGS: COUNTRY CASES Ashley, C., and Z. Ntshona. 2003. “Transforming Roles but not Reality? Private Sector and Community Involvement in Tourism and Forestry Development on the Wild Coast.” Overseas Development Institute, U.K., and University of Western Cape, South Africa. Howard, M., P. Matikinca, D. Mitchell, F. Brown, F. Lewis, I. Mahlangu, A. Msimang, P. Nixon, and T. Radebe. 2005. “Small-Scale Timber Production in South Africa: What Role in Reducing Poverty?” Small and Medium Forest Enterprise Series, Discussion Paper No. 9. London: International Institute for Environment and Development. Mayers, J. 2006. “Poverty Reduction Through Commercial Forestry. What Evidence? What Prospects?” TFD Publication No. 2, School of Forestry and Environmental Studies, Yale University, New Haven, CT. Vermeulen, S., and D. Walubengo. 2006. “Developing Partnerships for Sustainable Management of Forests in Kenya: Review of Existing Models and Set of Options for Further Support.” Report prepared for the Forest Department Kenya and PROFOR (Program on Forests), World Bank. International Institute for Environment and Development, London. Vidal, N. 2005. “Forest Company-Community Agreements in Mexico: Identifying Successful Models.” Forest Trends, Washington, DC. REFERENCES CITED Ashman, D. 2001. “Civil Society Collaboration with Business: Bringing Empowerment Back.” World Development 29: 1097–1113. Brody, S. D., S. B. Cash, J. Dyke, and S. Thornton. 2006. “Motivations for the Forestry Industry to Participate in Collaborative Ecosystem Management Initiatives.” Forest Policy and Economics 8: 123–34. Howard, M., P. Matikinca, D. Mitchell, F. Brown, F. Lewis, I. Mahlangu, A. Msimang, P. Nixon, and T. Radebe. 2005. “Small-Scale Timber Production in South Africa: What Role in Reducing Poverty?” Small and Medium Forest Enterprise Series Discussion Paper No. 9. London: International Institute for Environment and Development. Landell-Mills, N., and I. T. Porras. 2002. Silver Bullet or Fools’ Gold? A Global Review of Markets for Forest Environmental Services and Their Impacts on the Poor. Instruments for Sustainable Private Sector Forestry series. London: International Institute for Environment and Development. LATIN (Lembaga Alam Tropika Indonesia). 2000. “Corporate Community Partnership Between PT Xylo Indah Pratama and the Local Community in Musi Rawas District, South Sumatera, Indonesia.” LATIN, Bogor, Indonesia, and International Institute for Environment and Development, London. Mayers, J., and A. Vermeulen. 2002. Company-Community Partnerships in Forestry: From Raw Deals to Mutual Gains? Instruments for Sustainable Private Sector Forestry series. London: International Institute for Environment and Development. Nawir, A. A., and L. Santoso. 2005. “Mutually Beneficial Company-Community Partnerships in Plantation Development: Emerging Lessons from Indonesia.” International Forestry Review 7 (3): 177–92. Stronza, A. 2000. “‘Because It is Ours’: Community-Based Ecotourism in the Peruvian Amazon.” Unpublished thesis, University of Florida at Gainesville. Vermeulen, S. 2006. “Company-Community Partnerships.” Note submitted to World Bank as input to Forests Sourcebook. Unpublished. World Bank, Washington, DC. Vermeulen, S., and D. Walubengo. 2006. “Developing Partnerships for Sustainable Management of Forests in Kenya: Review of Existing Models and Set of Options for Further Support.” Report prepared for the Forest Department Kenya and PROFOR (Program on Forests), World Bank. International Institute for Environment and Development, London. Vidal, N. 2005a. “Forest Company-Community Agreements in Brazil: Current Status and Opportunities for Action.” Forest Trends, Washington, DC. ———. 2005b. “Forest Company-Community Agreements in Mexico: Identifying Successful Models.” Forest Trends, Washington, DC. Yeboah, R. 2001. “Short Report on Social Responsibility Agreements in Ghana.” International Institute for Environment and Development, London. CROSS-REFERENCED CHAPTERS AND NOTES Note 2.3: Innovative Marketing Arrangements for Environmental Services Note 5.1: Decentralized Forest Management Note 5.4: Strengthening Fiscal Systems in the Forest Sector 76 CHAPTER 2: ENGAGING THE PRIVATE SECTOR IN FOREST SECTOR DEVELOPMENT
NOTE 2.2 Small and Medium Enterprises SMFEs are business operations aimed at making profit from forest-based activity. They are commonly defined by employment (between 10 and 99 full-time employees), by annual turnover (US$10,000–US$30,000,000), or by annual roundwood consumption (3,000–20,000 cubic meters) (Macqueen and Mayers 2006). SMFEs can offer a trajectory out of poverty. SMFEs play a critical role in securing poor people’s basic needs, spreading wealth locally, enabling local innovation, and preserving cultural identity and practices (Macqueen 2005; Macqueen and Mayers 2006). SMFEs grouped together in clusters or associations can reduce transaction costs for the poor, develop strategic alliances, and shape the policy environment through lobbying on behalf of the poor (Macqueen, Figueiredo et al. 2005; Macqueen, Vermeulen et al. 2005). SMFEs are diverse and complicated to deal with. SMFE diversity is linked to a number of factors, including that they span both timber and NTFPs, and include rural producers, suppliers to large firms, primary and secondary processors, and forest service providers. It is difficult to make generalizations regarding SMFEs; thus, it is important to consider the following: ■ ■ ■ ■ how supportive the policy and institutional environments are toward SMFEs (Macqueen 2005) whether the market structure offers real opportunity or merely options of last resort whether the business structures adopted by SMFEs are those of profit-driven companies, democratically accountable social cooperatives, or something in between (Macqueen 2006) whether SMFEs are isolated entities or an integral part of a broader network SMFEs tend to be underrepresented in policy initiatives and development programs. This could be on account of the following: ■ ■ ■ ■ the complexity of linking with diverse SMFEs in multiple locations—even when they are grouped into associations (there are 2,000–3,000 forest-based associations in Uganda; Kazoora et al. 2006) the constitutional diversity of these enterprises, which diminishes the likelihood of common agendas, lesson learning, and diffusion of relevant solutions (Saigal et al. 2006) the small individual scale of each enterprise, which reduces both per unit impact (that is, the perceived benefit to the development agency) and comparative human and financial costs of compliance (that is, the perceived benefits to the enterprise) The lack of formal incorporation and collateral through which SMFEs become visible to public bodies and private sector investors. For example, the informal economy makes up 41 percent of gross national income in developing countries (Schneider 2002) and is highest where incomes and assets are not evenly distributed (Becker 2004) Despite their potential, it can be challenging to make SMFEs sustainable. Exploitative SMFEs can easily go unchecked. Informality, insecure tenure, low investment, and low profitability may reduce scope for social or environmental benefits. Lack of management capacity in SMFEs may lead to resource depletion. Risks are highest in “distress diversification,” where SMFEs seek refuge in low-skill activities and seasonal migration for products without long-term prospects. High risks often lead policy makers and decision makers to marginalize SMFEs, but perhaps because of this, many self-help solutions have evolved around local enterprise associations and networks. Responsive support to these local institutions in areas such as market information, secure resource access, sustainable management, design and technology, and financial and business administration can make all the difference. 77
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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
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 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: community arrangements, such as eth
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
Page 106 and 107: areas that can be used more intensi
Page 108 and 109: 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
Page 114 and 115: the origin of products from a certi
Page 116 and 117: management practices in selected en
Page 118 and 119: Reforms) provide the framework for
Page 120 and 121: lenges to weak institutions, which
Page 123 and 124: CHAPTER 4 Optimizing Forest Functio
Page 125 and 126: 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
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strategic partnership, LFI example,
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Eco-Audit Environmental Benefits St
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