Forests Sourcebook - HCV Resource Network

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Institutional development of capacity takes time. Thus, longterm technical assistance appears to be an indispensable part of future poverty-oriented interventions. Experiences in Brazil and Mexico suggest that options for the delivery of technical assistance should include consideration of training of rural producers and careful exploration of the tradeoffs involved in privatizing technical assistance because the latter can reduce the possibility of building up institutional capacity of government agencies. Often, investments by national governments in rural areas are low. This is partly due to an inadequate understanding of poverty rates and poverty density in forest areas. Poverty Reduction Strategy Papers (PRSPs) have become the main mechanism for governments in developing countries and some middle-income countries to define their budget and policy priorities and discuss those priorities with the international community. Unfortunately, however, in the initial PRSPs, interim PRSPs, and National Forest Programs (NFPs), the pivotal role of forests in sustaining rural livelihoods, especially those of the poor and marginalized, has been neglected. There has been relatively little analysis of the contribution of forests to rural livelihoods, nor of the measures required to capture or expand the potential. Forest and tree products, particularly nontimber forest products, often fall between sectors with neither forestry nor agricultural agencies collecting data on household collection, use, and sales (see note 1.1, Mainstreaming the Role of Forests in Poverty Alleviation: Measuring Poverty-Forest Linkages). FUTURE PRIORITIES AND SCALING-UP ACTIVITIES In many regions the issues of natural resource management, poverty reduction, and local empowerment are loosely intertwined and cannot be tackled in isolation. Most of the linkages between forestry and rural poverty are also closely associated with what is happening in agriculture and the rural economy. For example, conversion of forests to either temporary or permanent agriculture can contribute to poverty alleviation. Forestry and agriculture activities need to be closely aligned with components of rural development strategies and programs. This could be done through the following: ■ Adapting forestry and agriculture interventions to changes being introduced in forestry, agriculture, and rural economies. For example, agroforestry, tree crop plantations, and scattered trees on farmland can potentially assist ■ ■ with poverty alleviation while conserving forests. Forest and tree components will be more important where changes in agriculture result in greater reliance on agroforestry; this could occur as a result of the availability of land, labor, or capital favoring tree crops; agricultural income increasing local commercialization of subsistence goods such as fuelwood; or improved rural infrastructure providing farmers with greater access to markets. Exploiting opportunities that rural development interventions create for forest-based activities. The growing importance of nonfarm rural activities as a source of rural household income and the share of nonfarm total income accounted for by forest product activities make this an important avenue by which forests can contribute to poverty alleviation. Understanding and taking into account information on cross-sectoral impacts of forest-based poverty situations. For forest activities to have pro-poor impacts and reduce poverty, future activities must focus on better distribution of resource rights, both property and procedural. Control over and access to resources critical to growth and livelihoods is the main governance issue for rural people, including Indigenous Peoples and other communities with customary rights. There is a need for greater commitment to ensure that the rights of communities and forest-dependent households are entrenched in appropriate legislation and regulations, that mechanisms exist to implement them, and that these mechanisms are functioning properly. This includes establishing ownership and precisely defining rights, which will provide incentives for the poor to invest in forest management. Equally important is the need for forms of governance for common pool resources that can address the weaknesses in many existing comanagement systems (see note 1.3, Indigenous Peoples and Forests, and note 1.4, Property and Access Rights). Timber harvesting must become more pro-poor. Local access to and management of natural forests, smallholder tree growing, and small-scale enterprise development as strategies to avoid capture by local elites in CBFM are central to a more pro-poor use of timber (see note 1.2, Community-Based Forest Management). There is a need to remove regulatory barriers and excessive state regulation to facilitate CBFM in areas other than degraded forests and enable management of forests for multiple purposes. From an analytical standpoint, there is a need for more research into pluralistic systems of comanagement that really do function effectively and equitably and for pilot testing of those models that show promise. 22 CHAPTER 1: FORESTS FOR POVERTY REDUCTION
Frameworks, regulations, and encouragement are needed to make natural resource markets work for the poor. This requires responding to market failures and imperfect competition and identifying new opportunities that allow the poor to take advantage of their available assets. The collection and sale of timber and nontimber forest products are important for the poor. There is a need to look into their value-added potential and improved marketing strategies. Additionally, strategies need to ensure that the poor are not negatively affected by increasing commercialization (see note 1.5, Making Forests Work for the Forest-Dependent Poor). Studies should also be undertaken to determine whether growing urban domestic markets for forest products have significantly benefited the poor. Similarly, payment for environmental services, such as carbon sequestration, biodiversity conservation, hydrological benefits, and forest-based tourism, is a potentially important source of revenue. It is important for the structure of such payments to allow for benefits to flow to the poor as well as for maintenance of services (see note 2.3, Innovative Marketing Arrangements for Environmental Services). There is a need to create and enhance the role of forestdependent communities and households in SMFEs and to foster forest partnerships between communities and the private sector. This will require incentives, regulations, and actions at the national level that facilitate these arrangements. Technical support must be provided to communities, and private entities must be required to look beyond logging and the timber processing industry to the long-term sustainability of forest resources (see chapter 2, Engaging the Private Sector in Forest Sector Development). To promote forest uses for poverty alleviation, forest activities that primarily address biodiversity conservation need to be refocused to take a balanced approach that includes poverty alleviation. Conservation objectives for forests of value to local people will need to be revised from being predominantly protection oriented to encouraging sustainable systems that produce livelihood benefits. The increased recognition of Indigenous Peoples rights to their land and natural resources should also be further enhanced in biodiversity conservation activities (see note 1.3, Indigenous Peoples and Forests). National forest programs can provide a broad platform with which to engage in a poverty reduction agenda by working toward coherent sector policies—and forests need to be integrated into a comprehensive rural development strategy (see note 6.4, Assessing Cross-Sectoral Impacts: Use of CEAs and SEAs). Such integration will be facilitated by improved knowledge and understanding of the extent to which the very large numbers of poor people living in or near forests depend upon those forests for their livelihood—a matter of significance to poverty alleviation outcomes in general in some countries (see note 1.1, Mainstreaming the Role of Forests in Poverty Alleviation: Measuring Poverty-Forest Linkages). It is important to gather information on whether the depletion of forest resources has had a negative impact on poor people, and whether the poor have been able to find alternatives to forest safety nets and gap fillers (see also note 1.3 on the particular risks and impacts to Indigenous Peoples). Equally important is a comprehensive examination of how existing World Bank data systems and records could be used to improve knowledge about the forest dependency of people dwelling in or near large natural forest resources in World Bank client countries. This needs to be developed through the appropriate networks of the World Bank in collaboration with Country Departments. SELECTED READINGS Angelsen, A., and S. Wunder. 2003. “Exploring the Forest- Poverty Link: Key Concepts, Issues and Research Implications.” CIFOR Occasional Paper No. 40. Center for International Forestry Research, Bogor, Indonesia. Chomitz, K. M., P. Buys, G. De Luca, T. S. Thomas, and S. Wertz-Kanounnikoff. 2006. At Loggerheads? Agricultural Expansion, Poverty Reduction and Environment in the Tropical Forests. Washington, DC: World Bank. Sunderlin, W. D., A. Angelsen, B. Belcher, P. Burgers, R. Nasi, L. Santoso, and S. Wunder. 2005. “Livelihoods, Forests, and Conservation in Developing Countries: An Overview.” World Development 33 (9): 1383–1402. Sunderlin, W. D., S. Dewi, and A. Puntodewo. 2006.“Forests, Poverty, and Poverty Alleviation Policies.” Background paper. World Bank, Washington, DC. World Resources Institute (WRI) in collaboration with United Nations Development Programme, UNEP, and World Bank. 2005. World Resources 2005: The Wealth of the Poor—Managing Ecosystems to Fight Poverty. Washington, DC: WRI. REFERENCES CITED Angelsen, A., and S. Wunder. 2003. “Exploring the Forest- Poverty Link: Key Concepts, Issues and Research Implications.” CIFOR Occasional Paper No. 40, CIFOR, Bogor, Indonesia. Arnold, J. E. M. 2001. “Forestry, Poverty and Aid.” CIFOR Occasional Paper No. 33. CIFOR, Bogor, Indonesia. CHAPTER 1: FORESTS FOR POVERTY REDUCTION 23
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 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 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
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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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■ ■ ■ ■ ■ 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,
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Eco-Audit Environmental Benefits St
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