SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT FOREST TENURE ASSESSMENT TOOL AND USER GUIDE Suggested Citation: World Bank. 2020. “Securing Forest Tenure Rights for Rural Development Forest Tenure Assessment Tool and User Guide.” Program on Forests (PROFOR). Washington, DC. World Bank. Disclaimer: All omissions and inaccuracies in this document are the responsibility of the authors. The findings, interpretations, and views expressed in this guide do not necessarily represent those of the institutions involved, nor do they necessarily reflect the views of PROFOR, The World Bank, its Board of Executive Directors, or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. Published November 2020 © 2020 International Bank for Reconstruction and Development / The World Bank 1818 H Street NW Washington DC 20433 Telephone: 202-473-1000 Internet: www.worldbank.org Rights and Permissions: The material in this work is subject to copyright. Because The World Bank encourages dissemination of its knowledge, this work may be reproduced, in whole or in part, for noncommercial purposes as long as full attribution to this work is given. Financing for this study was provided by the Program on Forests (PROFOR). Design: Patricia Hord.Graphik Design Cover: Photo by Gerardo Segura Warnholtz/World Bank SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT FOREST TENURE ASSESSMENT TOOL AND USER GUIDE iv | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gladys Garcia Osorio FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | v CONTENTS Acknowledgements VI Abbreviations VII Foreword 1 Introduction 3 Overview of the Assessment Methodologies 7 Opportunities and risks analysis 7 Assessment of key elements and dimensions of forest tenure security 8 Process Guidance 13 Step 1: Initiate the assessment 13 Step 2: Identify overall objectives and core team 13 Step 3: Develop a plan for the assessment process based on an initial scoping of key stakeholders and issues 14 Step 4: Conduct background studies 15 Step 5: Convene a stakeholder and experts’ validation workshop to review and elaborate on findings and recommendations 16 Step 6: Draft a policy roadmap based on the assessment report to facilitate a dialogue among relevant government agencies 18 Step 7: Ensure that assessment findings and recommendations inform relevant national policy dialogues and reforms 19 Applications and Modalities of Implementation 21 Conclusions 29 References 30 Appendices 32 Appendix 1: Guidance for opportunities and risks analysis 35 Appendix 2: Key elements, indicators and scoring methodology 41 Appendix 3: Lessons from the Democratic Republic of Congo, Myanmar and Zambia 93 Appendix 4: Guidance for stakeholder mapping, analysis and engagement 125 vi | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT ACKNOWLEDGEMENTS This Forest Tenure Assessment Tool (FTAT) and User World Bank Group staff who have shared their advice Guide was produced by the World Bank’s Securing include: Sofia Ahlroth, Garo Batmanian, Benoit Blarel, Forest Tenure for Rural Development program led Benoit Bosquet, Carter J. Brandon, Timothy H. Brown, by Gerardo Segura Warnholtz. The program has Mark A. Constantine, Stephen R. Davenport, Klaus been implemented through a partnership with the W. Deininger, Charles Di Leva, Bastian G.P Delich, Global Land Alliance. The tool has been prepared by Luis Felipe Duchicela, Erick C.M. Fernandes, Mary Gerardo Segura Warnholtz, Malcolm Childress and Lizbeth Gonzales, Douglas J. Graham, Ian Munro Gray, Jenny Springer, with inputs from Naysa Ahuja, Nalin Valerie Hickey, Thea Hilhorst, Laura A. Ivers, Anders Kishor and Logan Sander.  Jensen, Werner L. Kornexl, Stamatis Kotouzas, Patricia M. Kristjanson, George Ledec, Jonathan Mills Lindsay, Three pilot interventions, conducted to test and refine Andrew M. Mitchell, Jorge A. Muñoz, Enrique Pantoja, the FTAT, were assisted by: Christian A. Peter, Dianna M. Pizarro, Markus Pohlmann, Susan S. Shen, Iain G. Shuker, Nicholas Meitaki Soikan, Democratic Republic of Congo: Loïc Braune, with the Victoria Stanley, Kennan W. Rapp, Julius M. Thaler, Mika- support of Aymar Nyenyezi Bisoka and the Reference Petteri Torhonen, Asyl Undeland and Wael Zakout. Center for the Expertise on Central Africa (CREAC) The authors also thank Safia Aggarwal, Arun Agrawal, Myanmar: Nina Doetinchem and Werner Kornexl, Myrna Cunningham, David Kaimowitz, Anne Larson, with the support of Shivakumar Srinivas Steven Lawry, Juan Martinez, Leticia Merino, Augusta Molnar, James Smyle, Andrew B. Taber, Victoria Tauli- Zambia: Iretomiwa Olatunji and Neeta Hooda, with Corpus, Peter Veit and Andy White for their external support from the firm of Tetra Tech, led by Matt reviews and comments. Sommerville, Nicholas Tagliarino and Royd Vinya. Funding for the Forest Tenure Assessment Tool was Comments on the initial concept and previous provided by the World Bank’s Program on Forests versions of this report are gratefully acknowledged. (PROFOR). FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | vii ABBREVIATIONS AF Analytical Framework AFD Agence Française de Développement APEM Action pour la Promotion et Protection des Peuples et Espèces Menacés CBNRM Community-Based Natural Resource Management CBPA Conservation of Biodiversity and Protected Areas Law CBFP Congo Basin Forests Partnership CBTR Community Based Tenure Rights CDD Community-Driven Development CF Community Forestry CFM Community Forest Management CFMG Community Forest Management Group CHRO Chin Human Rights Organization CMU Country Management Unit CONAREF National Commission for Land Reform CPF Country Partnership Framework CRB Community Resource Boards CSO Civil Society Organization DALMS Department of Agricultural Land Management and Statistics DNPW Department of National Parks and Wildlife DPF Development Policy Financing DPO Development Policy Operations DRC Democratic Republic of Congo EAO Ethnic Armed Organization EIA Environmental Impact Assessment ENB GP Environment, Natural Resources and Blue Economy Global Practice ESF Environmental and Social Framework EURAC European Network for Central Africa FAO Food and Agricultural Organization of the United Nations FCPF Forest Carbon Partnership Facility FD Forest/Forestry Department FPIC Free, Prior and Informed Consent FREDA Forest Resource Environment Development and Conservation Association FREDIP Myanmar Forest Restoration, Development and Investment Project (World Bank) FTA Forest Tenure Assessment FTAT Forest Tenure Assessment Tool GMA Game Management Area viii | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT GRZ Government of the Republic of Zambia IPLC Indigenous Peoples and Local Communities LGAF Land Governance Assessment Framework MATA Myanmar Alliance for Transparency and Accountability MECNDD Ministère de l’Environnement, Conservation de la Nature, et Développement Durable de la République Démocratique du Congo MERN Myanmar Environment Rehabilitation-Conservation Network MLNR Ministry of Lands and Natural Resources MoALI Ministry of Agriculture, Livestock and Irrigation MoNREC Ministry of Natural Resources and Environmental Conservation MRRP Myanmar’s National Restoration and Reforestation Program NCA National Ceasefire Agreement NGO Non-Governmental Organization NLUC National Land Use Council NLUP National Land Use Policy NRM Natural Resource Management NSDI National Spatial Data Infrastructure NTFP Non-timber Forest Products NWFP Non-wood Forest Products PPF Public Protected Forest POINT Promotion of Indigenous and Nature Together PROFOR Program on Forests RECOFTC Center for Forests and People REDD+ Reducing Emissions from Deforestation and Forest Degradation REPALEF Réseau des Populations Autochtones et Locales pour la Gestion Durable des Ecosystèmes Forestiers RF Reserved Forest RFN Rainforest Foundation Norway SCD Systematic Country Diagnostic SDG Sustainable Development Goals SIA Social Impact Assessment UAGO Union Attorney General’s Office UNEP United Nations Environment Program UNPFII United Nations Permanent Forum on Indigenous Issues VFW Virgin, Fallow and Vacant Farmland Law WBG World Bank Group ZNCRBA Zambia National Community Resources Board Association FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | ix Photo by Gerardo Segura Warnholtz / World Bank x | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 1 FOREWORD The mission of the World Bank Group is to end to a rigorous test in early 2020 in three countries: extreme poverty and boost shared prosperity in a the Democratic Republic of Congo, Myanmar, and sustainable manner. Clarifying and securing forest Zambia. These pilots confirmed the solid analytical tenure rights around the world, and the associated foundation of the tool, along with its adaptability, management practices and livelihoods of indigenous practicality and effectiveness in influencing policy. peoples and local communities in forest areas, is critical to achieving these goals. With its flexibility and multi-sectoral approach, the tool is a useful instrument for a broad range Secure tenure is widely recognized as an essential of applications in different contexts. The tool can foundation for achieving a range of rural economic be freestanding or incorporated in a range of development goals. However, forest areas in low- and analytical and financial instruments, including: country middle-income countries face particular challenges diagnostics, development policy and investment in strengthening the security of land and resource financing, environmental and social risk analysis and tenure. Forest peoples are often among the poorest forest carbon financing. For technical teams and and most politically marginalized communities in their practitioners seeking to resolve tenure challenges in national contexts, and their tenure systems are usually forest landscapes, the tool fills an important gap. World based on customary, collective rights without formal Bank managers and high-level government officials can legal protection. Government presence and capacity benefit from the tool as a vehicle to drive policy reform in forest areas to support and defend local rights associated with opportunities and risks of forest tenure may be limited, and forest lands also face competing and its implementation on a global scale.   pressures for other land uses. In the face of increasing global focus on the role of forests in climate change We are pleased to share this new tool. We hope that mitigation, there is mounting evidence that securing it will be useful for those responsible for managing community tenure and supporting community-based and restoring forest landscapes, while also addressing forest management are key strategies to reduce climate change, food security and poverty reduction, deforestation. Addressing these longstanding particularly among marginalized indigenous peoples challenges has acquired new urgency. and other local communities. This Forest Tenure Assessment Tool and User Guide is a companion piece of the Analytical Framework (AF) published by the World Bank’s Securing Forest Tenure Rights for Rural Development program in 2019. The tool, developed to assess the links between Karin Erika Kemper tenure security and development goals, and the Global Director extent to which key elements of forest tenure security Environment, Natural Resources and Blue Economy are in place in specific national contexts, was put Global Practice 2 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 3 INTRODUCTION The Forest Tenure Assessment Tool (FTAT) and User § build consensus around actions that are needed to Guide consists of an integrated set of methodologies strengthen tenure security. and guidelines for assessing both why it is important to secure community-based forest tenure in a One part of the assessment methodology presented specific national or sub-national context, and what here asks, why forest tenure reform? It focuses needs to be done to strengthen forest tenure in that on consolidating country-specific evidence of the context. It is a companion piece to the Analytical linkages between community-based forest tenure Framework (AF1), developed during phase one of the security and several, particularly relevant SDG. The Securing Forest Tenure Rights for Rural Development methodology involves exploring opportunities initiative (published by the World Bank in 2019). The to achieve development goals by strengthening AF highlights the relevance of secure community- tenure security, as well as risks to the achievement based forest tenure to Sustainable Development of development outcomes where tenure is insecure. Goals (SDG), and presents a set of key elements This part of the methodology is aimed at developing derived from evidence and best practice in securing policy rationales for dialogue with high-level community forest tenure. Together, application of decision-makers in governments and the World these instruments is intended to provide the policy Bank. Potential government audiences for this rationale and a roadmap to help countries strengthen work include ministers and deputy ministers with community-based forest tenure and contribute to policy and public investment portfolios related to achieving SDG in forest landscapes. natural resource management, agriculture, poverty reduction, social protection and human rights. Other Community-based forest tenure is important because target audiences include senior Bank management tenure security is key in achieving a range of SDGs. As (e.g., country directors, global directors) and other highlighted in the AF, tenure security both underpins rural development donors. These audiences require positive development outcomes in forest areas and assessment results that enable them to understand ensures against negative impacts from land-based the inter-sectoral linkages of forest tenure with investment and other interventions. While many other sustainable development priorities and assign countries have implemented forest tenure reforms, priority to policy and investment proposals. research consistently points to gaps in the effective realization of tenure security. An assessment enables A second part of the methodology presented here stakeholders to: examines how to secure collective forest tenure, and focuses on assessing the current status of community § understand the links between forest tenure security tenure security in forest areas.2 The objective is and related development goals in specific contexts to enable participatory diagnostic assessments of the strengths and weaknesses of current land § identify the strengths and weaknesses of current and forest tenure frameworks, capacities and tenure frameworks, capacities and implementation implementation processes. In particular, it focuses processes 1 The Securing Forest Tenure Rights for Rural Development: an Analytical Framework publication is available in English, French and Spanish, and accessible at: https://www.profor.info/content/securing-forest-tenure-rights-rural-development-analytical-framework; and at https://documents. worldbank.org/en/publication/documents-reports/documentdetail/222361593489512904/securing-forest-tenure-rights-for-rural-development-an- analytical-framework 2 A particular issue for forest lands is that rights to land and trees are often dealt with separately through distinct (land and forest) laws. Legal recognition of rights to land in some countries does not automatically convey rights to trees or other resources on the land. Conversely, forestry laws recognizing rights to forests may not encompass rights to land. 4 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank on the extent to which key elements for securing indicators allows for comparisons across countries to and protecting the land and forest tenure rights of identify common challenges and provide a basis for indigenous peoples and local communities (IPLC)3 sharing good practice solutions. (as identified in the AF) are, or are not, in place. This assessment is primarily intended to support the efforts This assessment tool is designed for anyone interested of tenure stakeholders and practitioners to inform in understanding and strengthening community-based and promote practical actions to strengthen tenure- tenure security in forest landscapes in any country related policies and their effective implementation or region. This work responds to particular needs and enforcement. It also responds to particular needs identified by the World Bank. Users of the tool may identified by World Bank Group staff to enhance include not only Bank staff, but also governments and responses to tenure-related challenges in Bank- other local stakeholders, including IPLC organizations, supported projects and initiatives. This part of the NGOs and donors. As discussed below, for any sponsor methodology uses a set of indicators to organize the of the assessment, this tool emphasizes a participatory assessment and document the results. In addition process that engages key rights-holders, stakeholders to supporting systematic assessments, the use of and decision-makers. This approach is grounded in the recognition that accurate understanding and successful 3 The term Indigenous Peoples and Local Communities (IPLC) is used here as a synonym of the World Bank’s term of “indigenous peoples/Sub-Saharan African historically underserved traditional local communities” defined for the new Environmental and Social Framework established in 2017. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 5 reforms require inputs from multiple perspectives, Four appendices provide detailed guidance and as well as a process that promotes dialogue and the lessons learned for conducting the assessments. building of consensus and positive momentum (Kishor Appendix 1 supports the Opportunities and Risks and Rosenbaum 2012). A central element of this (why) analysis by providing a set of guiding questions participatory methodology is a validation process based for gathering evidence about the opportunities and on multi-stakeholder events that enable key actors to risks associated with forest tenure security. Appendix come together and build a common understanding of 2 supports the Key Elements (how) analysis by strengths, weaknesses and opportunities for change. providing a detailed set of 42 indicators, guidance and scoring scales for assessing the current status of forest The following sections provide an overview of the two- tenure security. Appendix 3 contains a condensed part assessment methodology for understanding the synthesis of findings and lessons learned from the why and how dimensions of community-based forest three pilot country assessments in the Democratic tenure (Section II); step-by-step process guidelines for Republic of Congo, Myanmar and Zambia. Finally, conducting assessments (Section III); a final section Appendix 4 provides useful guidance for the process that identifies five broad categories of Bank products of stakeholder engagement and workshop planning. and services that can benefit from the FTAT and a range of modalities of implementation that vary in cost and duration (Section IV). 6 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 7 OVERVIEW OF THE ASSESSMENT METHODOLOGIES The FTAT was primarily developed from the Analytical about the underlying contextual conditions among Framework (AF) as a practical tool for assessing the stakeholders. Although FTAT implementation may current state of tenure security and identifying key create a unique arena for participants and stakeholders strengths and weaknesses of community-based tenure to engage in the material, the assessment is intended in specific sub-national or national contexts. The FTAT primarily as an input into the process, not the process is intended to work alongside a policy dialogue and to itself. Individual country findings for DRC, Myanmar be a primary input for policymakers and stakeholders, and Zambia from the pilot implementation are providing a diagnostic of the status of tenure security summarized in Appendix 3.4 and to show opportunities for moving forward. This section presents an overview of the two Piloting the FTAT in countries with diverse contexts components of the integrated tool: 1) the assessment and challenges was critical to test the tool’s of opportunities and risks associated with forest adaptability, practicality and effectiveness. The tenure security; and 2) the assessment of the selection of countries for the pilot phase was based presence or absence of key elements of community on the following criteria: (i) relevance and opportunity forest tenure security. to inform the World Bank agenda and dialogue with the country (business development); (ii) timeliness of policy intervention (demand-driven); (iii) presence of OPPORTUNITIES AND RISKS ANALYSIS strong in-country partners; (iv) coordination with other This component of the tool systematically builds the related Bank activities/investments, particularly from case for forest tenure reforms through an empirical the natural resources management (NRM) and land understanding of the results that can be expected sectors; and (v) strength and availability of a technical from strengthening forest tenure versus continuing team to lead the assessment and policy dialogue with the status quo. It does this by collecting evidence with the country. Selected countries included the on the links between secure community-based forest Democratic Republic of the Congo (DRC), Myanmar tenure and specific SDG goals (ending poverty and and Zambia. hunger, inclusive and sustainable economic growth, Implementation of the FTAT has generated a strong gender equality and climate and forest sustainability, rationale for action, policy-relevant diagnostic with human rights as an enabling condition). information and practical policy guidance in the As highlighted in the AF, there is a substantial body three pilot countries. These substantive results give of international evidence on the links between immediate insight into the status of forest tenure secure community-based forest tenure and a range security in each country and an orientation to the of sustainable development outcomes. These links major issues and opportunities for progress. These include “opportunities” (ways that tenure security findings are expected to feed directly into the can provide enabling conditions for the realization of Systematic Country Diagnostic (SCD) and the policy development goals), as well as “risks” (potential for and dialogues conducted by the Bank to develop Country experience of negative outcomes where tenure is not Partnership Frameworks (CPF), the instrument used secure). The assessment explores these opportunities by the Bank to support its member countries. Other and risks within specific national contexts. development partners and bilateral donors may also benefit from this process and encourage consensus 4 The FTAT Pilot Phase Final Synthesis Report and the complete country reports for DRC, Myanmar and Zambia are available respectively at: https://documents.worldbank.org/en/publication/documents-reports/documentdetail/985171598633319925/; https://documents. worldbank.org/en/publication/documents-reports/documentdetail/690411598636444226/; https://documents.worldbank.org/en/publication/ documents-reports/documentdetail/383531594388453664/; https://documents.worldbank.org/en/publication/documents-reports/ documentdetail/531591598634181781/. 8 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT The methodology is evidence-based and policy- “ensure responsive, inclusive and representative directed. It produces an updated discussion of policy decision-making” through strong and just reform options based on a macro-level mapping institutions at local and national level and of opportunities and risks using the SDG goals as equitable partnerships between communities and points of reference. In each country, the opportunity governments or private sector. It consolidates and risk assessment draws on a structured review of evidence regarding the role of effective, the evidence base, which may be supplemented by accountable and transparent institutions to tools of geospatial analysis and data visualization, and improve access to information and justice for concludes with stakeholder validation feeding into all, address tenure issues, and therefore reduce a policy dialogue. By identifying critical pathways of corruption and conflict in the implementation of opportunity and risk, it presents the case for forest new economic activity. tenure policy in national development planning. The opportunities and risks analysis uses guiding The assessment is structured in accordance with the questions to structure the assessment (the full set four main sets of development goals included in the of guiding questions is presented in Appendix 1). AF, as follows: These questions provide consistency and a basis for comparing findings across countries, while also A. Ending poverty and hunger (SDG 1 and 2): This remaining adaptable to the context and availing data section of the assessment evaluates evidence in each country. about the relationship between community-based forest tenure security and poverty reduction Data sources may include national statistical data such outcomes, including food security. as household surveys covering forest areas, sectoral assessments, World Bank/IMF country diagnostics, B. Promoting sustained, inclusive and sustainable project-level socioeconomic assessments and impact economic growth (SDG 8): This section of the evaluations, Forest Carbon Partnership Facility assessment consolidates evidence about the (FCPF) and REDD+ assessments, FAO statistics, Land potential for secure community-based tenure to Governance Assessment Framework documentation, contribute to accelerating inclusive and sustainable Rights and Resources Initiative’s analytical work, economic growth in forest landscapes, while PrIndex, analytical work published by NGOs, Civil avoiding risks of social and environmental harm. Society Organizations (CSO) and donors and media reports. It may be possible to leverage emerging C. Achieving gender equality (SDG 5): This section geospatially linked data sources such as the Hidden of the assessment uses the SDG target on women’s Dimensions of Poverty database in the World Bank, equal “access to ownership and control over land LandMark mapping of community land rights and and other forms of property” as a benchmark for the Radiant Earth clearing house of spatial imagery exploring the current status of women’s forest for development analysis, among other sources tenure rights. It consolidates evidence regarding available locally. the contributions of women’s tenure security to increased gender equality and other development Analysis of issues around inclusive and sustainable benefits, with a particular focus on community- economic growth may also draw on feasibility studies based tenure arrangements. and investment planning documentation for specific sub-sectors and projects, documentation about pilot D. Combating climate change and sustaining projects and consultation with sector specialists in forests (SDG 13 and 15): This section of forest products, agroforestry, mining, ecotourism and the assessment consolidates country-specific other specialized areas of economic opportunity. evidence on opportunities to invest in securing tenure of IPLC for the management of climate The final step of this component of the analysis change mitigation and forest conservation, and focuses on making the case for the role of secure on risks to forest climate and conservation efforts forest tenure in national development strategies. It from failure to address tenure issues. synthesizes opportunities and risks within a realistic assessment of political conditions and identifies E. Fostering strong institutions and partnerships potential for building constituencies for tenure reform. for Growth (SGD 16 and 17): This section of The synthesis shows where tensions or trade-offs exist the assessment examines the existing tenure and evaluates where openings or synergies can take arrangement to identify risks and opportunities to FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 9 Photo by Gerardo Segura Warnholtz / World Bank advantage of opportunities and limit or manage risks Within each of these key elements and dimensions, within the national policy process. this component of the tool uses indicators to structure and guide the assessment. An indicator is “a quantitative, qualitative or descriptive attribute ASSESSMENT OF KEY ELEMENTS AND that, if assessed periodically, could indicate direction DIMENSIONS OF FOREST TENURE of change (e.g., positive or negative) in that SECURITY attribute” (Davis et al. 2013). The use of indicators is a common approach in assessment tools, including This component of the tool presents guidance for land and forest government assessment tools such conducting assessments of community-based forest as the Land Governance Assessment Framework tenure security using the framework presented in the (LGAF) and the PROFOR/FAO Forest Governance AF. The AF articulates nine “key elements” for secure Assessment Framework. community-based forest tenure, each of which is further elaborated into a number of “dimensions.” Advantages of indicators include: As noted in the AF, these key elements and § Comprehensiveness: As noted in Kishor and dimensions are a distillation of best practices from Rosenbaum (2012): “Using an indicator set brings multiple sources. They draw on elements identified order and a degree of comprehensiveness to the from empirical research as being critical for the assessment. In theory, an evaluator could simply contributions of community-based forest tenure to describe the state of governance through a SDGs, as well as on elements found in existing land narrative, without resorting to any standard outline and forest governance frameworks, guidelines and or plan. Such an assessment might overlook some standards.5 Drawing on these two main bodies of work, matters while exploring others deeply. Framing the the integrated set of key elements presented in the assessment around the scoring of these indicators AF includes both elements that are important for the prevents the evaluator from overlooking topics and achievement of development goals and others that encourages an organized assessment.” are essential to the overall functioning of the tenure security system. The key elements and dimensions are § Comparability: Using a consistent indicator set summarized in Figure 1. allows the same attributes to be assessed through time and/or across different places/contexts, and 5 Existing frameworks, guidelines and standards informing the AF key elements and dimensions include: the World Bank Land Governance Assessment Framework (Deininger et al. 2012, World Bank 2013), the PROFOR Forest Governance Framework (PROFOR and FAO 2011, Kishor and Rosenbaum 2012, World Bank 2009), the World Resources Institute Forest Governance Assessment Framework (Davis et al. 2013), the Voluntary Guidelines on the Governance of Tenure (FAO 2012) and associated technical guides (such as on forests [Mayers et al. 2013] and the Commons [FAO 2016]), FAO forest tenure guidelines (FAO 2013, Gilmour and Fisher 2011), the Securing Africa’s Land program framework (Byamugisha 2013), the Chatham House’s Forest Governance and Legality (https://forestgovernance.chathamhouse.org/) and others. 10 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT FIGURE 1. KEY ELEMENTS AND DIMENSIONS OF THE ANALYTICAL FRAMEWORK KEY ELEMENTS DIMENSIONS • Recognition of all rights and rights-holders, including women Legal Frameworks 1. • Recognition of a robust bundle of rights forTenure Rights • Recognition of a holistic “bundle of resources” Implementation of • Accessible, efficient procedures 2. Legal Recognition • Formal recognition of indigenous and community lands Appropriate • Regulations that are simple and appropriate to management Regulations for 3. objectives Land and Resource • Efficient implementation of permitting processes Management • Participatory and adaptive processes for decision making Effective Support • Political will and aligned incentives from Responsible • Clear and mutually supportive mandates for responsible 4. Government agencies Agencies • Capacities and financial resources for government implementation roles • Inclusive institutions and decision-making processes, with Empowered and particular attention to the inclusion of women Inclusive Indigenous • Community-defined rules and/or plans for land governance 5. and Community • Capacities and financial resources for tenure security roles of Governance community institutions • Multilevel links to advocacy and support organizations Systems for • Comprehensive and accurate information Recording 6. • Accessibility of the system—to record, maintain/update, and Community Forest share information on tenure rights Tenure Rights • Capacities and mutual support among institutions responsible Enforcement of 7. for enforcement Tenure Rights • Effective implementation of monitoring and enforcement systems Protection of • Legal clarity and resolution Collective Tenure • Mechanisms for rural policy coherence 8. Rights in Relation • Strong safeguards to avoid infringements on communal to other Forms of tenure rights—including Free, Prior and Informed Consent Tenure and Land Use (FPIC) and environmental and social standards • Accessible and competent mechanisms to resolve disputes Conflict and Dispute 9. over tenure rights Resolution • Effective resolution of disputes Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 11 thus allows for a comparison of the results. The pilots For an aggregation to be accurate and meaningful, demonstrated that the FTAT will be most relevant varying weights would need to be assigned to each for comparison of national or sub-national situations indicator, and that has not been done in this tool. at different points in time. The assessment will also Along with cautions about scoring within each analysis, enable qualitative comparisons across countries at caution is required in using scores by themselves to the level of key elements. compare across countries/assessment settings. While the use of a common set of indicators can provide The full set of indicators for this assessment tool can qualitative comparisons across countries, the emphasis be found in Appendix 2. Each indicator has a title and in this methodology on stakeholder engagement and a descriptive question, as well as brief background bottom-up, country-based assessments means that information and a scoring scale (1-4 scale) for assessing judgments about the assignment of scores are likely the status of the indicator. The indicators are intended to vary. For this reason, comparisons across countries for use during the background study step as guiding will be more useful for identifying common challenges questions for gathering/generating and organizing and cross-learning than for ranking of performance. information on each of the key elements of tenure security. During the assessment’s multi-stakeholder As with the opportunity and risk assessment, the engagement process, this background information is assessment of key elements draws on a structured validated, and indicators are scored by experts and review of the evidence base (sources of information stakeholders using the scoring scales. are included in Appendix 2). Through the background study, workshop dialogue and scoring by stakeholders Scoring the indicators using a numerical or “traffic and the policy dialogue, the assessment will identify the light” scale is a powerful way to present complex strengths and gaps in current tenure arrangements and assessment findings in a concise and accessible priorities for action. The outcome of this component of manner. At the same time, scoring carries with it some the assessment is an empirical justification and set of risks as there is often a tendency to focus attention recommendations on key aspects that require further on the score itself instead of using the score as a investment and strengthening as a foundation for snapshot of the underlying analysis, as is intended sustainable rural development in forest landscapes. here. In keeping with the approach used by LGAF and Box 1 discusses the main strengths of the FTAT learned other assessment processes, scores are not meant from the pilot operations. to be aggregated to generate a composite score for each key element or for the overall assessment (World Bank 2013). BOX 1: LESSONS FROM THE PILOTS STRENGTHS OF THE FTAT Lessons learned from the pilot applications of the FTAT in § Practical in terms of costs, the capacity of local partners DRC, Myanmar and Zambia demonstrated the value of this and Bank teams to implement it and timeframe (three to instrument to different stakeholder groups, institutional six months is required for the full methodology). Alternative contexts and levels. A carefully planned multi-stakeholder modalities of implementation requiring varying levels of engagement process, using a forest landscape approach, effort are also explored in this document. was a major component of the tool application. This effort promoted cross-sectoral policy dialogues and more ownership § Effective by contributing to build a sound and long-term and accountability of the assessment process by leading policy process through an assessment that is credible, government agencies. More specifically, the synthesis of robust and replicable; by establishing a clear baseline to results and lessons from the pilot points to three main measure success over time; and by providing evidence- strengths of the FTAT: based insights on “how” and “why” to strengthen forest tenure security. § Adaptable to different geographies, institutional contexts and country objectives, chiefly because the nine elements of the tool’s AF have near-universal applicability. 12 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 13 PROCESS GUIDANCE This section offers step-by-step guidance on the the pilot experiences show that assessments can be process of conducting a forest tenure assessment. used for a variety of applications and modalities of The level of effort anticipated is comparable to that implementation that will range in cost and duration of the pilot assessments conducted in DRC, Myanmar (see Section IV). and Zambia. It also incorporates good practice learned from these experiences (see Appendix 3 for The provisional timeline and identification of a more details), as well as other assessment processes “window of opportunity” in the policy process for developed and tested through initiatives such as supporting the assessment work should be clarified LGAF and PROFOR/FAO forest governance tools at this stage. Initial discussions with key partners and (for examples of other applications and modalities of other stakeholders will help to identify opportunities implementation including rapid and programmatic- to weave the assessment into an ongoing political level assessments refer to Section IV). process or larger scale intervention. Important benefits may be achieved if the assessment can be integrated The recommended steps include: into a pre-agreed upcoming policy dialogue through this linkage. In the end, the best results of the STEP 1. INITIATE THE ASSESSMENT assessment will evolve from a process that is framed in concrete actions and a follow-up strategy involving In this step, the proponent of the tenure assessment multiple participating stakeholders when possible. explores the idea of undertaking the assessment with the Bank’s local country office (Country Management Issues related to tenure clarity and security are Unit [CMU]), the main agencies responsible for tenure politically sensitive and affect a variety of stakeholders of forest lands in the client country, a subset of key in different ways. Initial discussions will help get an in-country stakeholders and other development early feel for who will support the assessment and partners. The proponent might be the WBG, an NGO who might be opposed to it, including the interest or another development bank or donor agencies and will of the government. This would help initiate a convinced of the value of conducting an assessment discussion on political economy issues and challenges in a specific context. These discussions should also (see Box 2). A more careful political economy analysis serve to raise awareness to the various stakeholders at is also recommended later in the process when national or sub-national levels. background and stakeholder diagnostic work is more advanced (see Step 6). Securing buy-in and leadership from the relevant government agencies is necessary to ensure the desirable political traction. Initially however, the STEP 2: IDENTIFY OVERALL OBJECTIVES assessment can be initiated with any level of official AND CORE TEAM support, with the intention of increasing commitment Specific country approaches will vary, so the next step to the process from other relevant government is to scope the assessment and define the specific agencies in the course of developing the assessment. objectives and audiences they should reach. The Additionally, bringing in the Bank’s CMU and other profiles and terms of reference for the core team major development partners adds credibility to the conducting the assessment should be assembled to process. This co-sponsorship can be especially critical achieve these goals. It is expected that each country will for success in cases where the trust between the require a senior coordinator (usually an experienced communities and the state is fragile. Bank task team leader) with a track record in the It is important at this stage to specify the general field and strong connectivity among policymakers purpose and expected outcomes of the assessment. in government, researchers and organizations This will help teams to define the scope and estimate representing forest communities. Additionally, the project costs. The funding source/s for the work opportunities and risks analysis (the “why”) requires should also be identified in this step. Lessons from a strong background in natural resource economics or 14 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT BOX 2: LESSONS FROM THE PILOTS POLITICAL ECONOMY CHALLENGES An important aspect of the assessment is the need for the influence and goodwill with the client, can reach out to the lead government agency and the World Bank to work together reform-minded stakeholders, in government and outside it, to address political economy challenges, beginning early and create a momentum for change. The Bank can make forest in the process. A deep structural change such as improving tenure security a part of its broader country policy dialogue; the security of forest tenure through policy reforms will specifically, it can identify the improvement of tenure security create gainers and losers. The forest communities who see a condition for its investments, particularly development policy themselves as gainers will be supportive, whereas others operations (DPO). Political economy issues are complex and do who benefit from the status quo will oppose any efforts at not get resolved in the short run. However, the Bank is often in reform. Often, this latter group is wealthy and influential, a strong position to engage in the long term and seek solutions and will exercise its power to obstruct and even derail in cooperation with the client. This is an important reason for the reform process. There are no easy solutions to this the lead agency supporting the assessment to work closely challenge, but the Bank, through its own convening power, with the Bank. public policy. The “how” analysis would benefit from the composition of core teams varied with context and a consultant with a strong track record in working at availability of local competencies. Thus, in the DRC, the community level and understanding the concerns researchers were able to facilitate field work in remote and perspectives of forest economics. Depending on assessment areas of the Mai Ndombe province by the experience of the senior coordinator, additional organizing expert meetings to provide inputs into the consultants may be required to address the challenges background study. In Myanmar, the government took of more specialized tasks. the lead and ownership of the process. In Zambia, consultants with deep experience, connections and A good practice learned from the pilots is to institutional knowledge were able to blend aspects of establish a small forest tenure working group or the FTA process into other ongoing efforts and attract steering committee with representatives from key participation by a diverse range of stakeholders. stakeholder groups to refine objectives and policy relevance of the assessment. Members of this group could also play a role as resource persons during STEP 3: DEVELOP A PLAN FOR THE the validation workshops and function as a point of ASSESSMENT PROCESS BASED contact to communicate important massages during ON AN INITIAL SCOPING OF KEY and after the assessment. In Myanmar, for example, STAKEHOLDERS AND ISSUES a government-led working group was established early on with representatives from different national Once the overall objectives have been defined and a and local government agencies and other key core team put in place, it will be necessary to develop representatives and experts. The group developed a a more detailed plan for the assessment process. One central role in convening a broad spectrum of actors dimension of this planning is substantive and involves and increased the level of trust and local ownership of consideration of the key stakeholders and issues that the pilot assessment process and its outcomes. should be considered. The other dimension of planning is operational and involves preparation of a detailed The core team should be familiar with the local work plan for the subsequent steps of the process. language, customs and culture, and be able to communicate effectively with forest communities and Multi-stakeholder engagement is fundamental for other stakeholders. The team will also need to recruit success. Thus, an early initial scoping is recommended an experienced facilitator to run the multi-stakeholder to identify key stakeholders and issues. This can be meetings and workshops. Major universities, think- conducted by convening an informal brainstorming tanks, NGOs or IPO/CBOs with strong analytical meeting or reaching out individually to people and capacities or other consultants can provide logistical organizations that are themselves stakeholders or and research support. The pilot experience shows how experts on community-based forest tenure. For FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 15 example, these may include representatives from: specific context of the focus country. indigenous peoples organizations; community forestry networks; women’s groups and other civil Teams can use geospatial tools for spatial analysis society organizations working on community land and integrate spatial and socioeconomic data and and forest issues; and relevant government agencies visualization of evidence related to key research (Appendix 4 provides more information on how to questions. The team should also work closely with identify and engage with stakeholders). the Bank’s CMU, technical teams from related global practices and units6 working in the country, key rights- One output of these scoping activities should be holder and stakeholder groups, government agencies the identification of key groups of rights-holders and and other development partners identified through stakeholders and ways to engage them. While a multi- the initial scoping. The team may also reach out to stakeholder validation workshop is the main platform other national and international researchers and recommended for this engagement, additional practitioners to fill out the analysis and explore the activities could include conducting interviews with critical inter-sectoral linkages identified in the AF and representatives of different groups as part of the detailed in the guiding questions of Appendix 1. background study and identifying a working group of representative stakeholders. (4B) DESK-BASED ASSESSMENT ON KEY ELEMENTS OF FOREST TENURE SECURITY A second output of scoping activities should be to The objective of this assessment is to summarize the identify key challenges or opportunities that should be current status of community-based forest tenure using considered in the assessment. The aim here is not to the key elements, dimensions and indicators of the AF limit the scope of the analysis. Instead, one benefit of a (Appendix 2) to define priority topics and organize comprehensive analysis is that it may reveal challenges the material. It should summarize available published or opportunities that are less prominent in current information, informal studies and reports; it may be national discussions of community-based tenure. supplemented by interviews with key experts. Identifying key issues ensures that important aspects of the tenure situation are not missed and may result in The team working on this assessment should avoid focusing effort on research into specific issues. “reinventing the wheel” by drawing on existing data and information relevant to the assessment The core team should develop a work plan for the topics. This study should be shared with relevant assessment process from the scoping activities. The stakeholders two or three weeks ahead of the plan would normally include: (i) steps to conduct validation workshop (see Step 5), so stakeholders the background studies; (ii) dates and location for have enough time to hold opinion-based discussions the stakeholder engagement process, including and score indicators against current on-the-ground the validation workshop and other related outreach evidence. The assessment should not express activities; (iii) a detailed definition of roles and opinions on needed reforms but might include a responsibilities of core team members and consultants; general set of initial policy recommendations as and (iv) a detailed costing of activities. topics for discussion. To serve effectively as a foundation for the validation STEP 4: CONDUCT BACKGROUND STUDIES workshop, this assessment should carefully document (4A) BACKGROUND STUDY ON OPPORTUNITIES sources of information and present them in a balanced AND RISKS and objective way. While the team should follow the organization of the nine key elements, the final The team assigned to conduct the opportunities and scoring of indicators should be left up to workshop risks analysis will prepare a scope of work and outline for participants, drawing on their multiple perspectives the background study based around the thematic areas and areas of expertise. of the analytical framework. They should systematically cover the opportunities and risks in each area using Experience from the pilots shows that rigorously the most current literature and evidence available. This prepared and well-supported background documents examines the “why” question of forest tenure in the had the most impact when shared with other 6 These may include: Agriculture, Climate Change, Development Economics, Environment and Natural Resources, Infrastructure, Land and Geospatial, Social Development and Water. 16 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank stakeholders well ahead of the validation exercise. While participants need to be identified in the local The case presentation of the “why” forest tenure context, the workshop will typically include several groups: security is important, and its linkages to SDG, was well received by stakeholders as a useful element to § representatives of the IPLC whose tenure rights are guide collective discussions on the “how,” including the main focus of the assessment the scoring of individual indicators. Experience also § stakeholders responsible for taking action on suggests that the “why” aspects of tenure security, various key elements of tenure security and/or who when accompanied by a robust “how” analysis from would be the focus of recommendations from the an inclusive, multi-stakeholder platform, can have a assessment. (These will include representatives more significant contribution to the policy dialogue. from government, legislators, forest community representatives, clan leaders, the private sector and STEP 5: CONVENE A STAKEHOLDER AND donors. Participants should be experts, stakeholders EXPERTS’ VALIDATION WORKSHOP TO and practitioners who are knowledgeable about the full range of topics to be discussed.) REVIEW AND ELABORATE ON FINDINGS AND RECOMMENDATIONS § experts from academic and research institutions and NGOs/CSOs working on community forest tenure. The validation workshop is a central opportunity to bring a wide range of rights-holders, stakeholders and While it is crucial to engage with a wide spectrum other experts together in the assessment process. Full of stakeholders, it is also important to be selective. and meaningful participation that includes multiple A large number of participants could make the perspectives, insights and areas of knowledge workshop unwieldy. If some participants perceive contributes to a successful outcome. This will also help that they are not being allowed to speak freely, they to add to the credibility of the process and further could become disruptive and make the engagement support assessment results and recommendations. counterproductive. It cannot be overemphasized FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 17 that stakeholder identification and selection should be recorded. Box 4 focuses on experience in scoring be a strategic step taken as early in the assessment from the pilot country assessments. Further guidance process as possible. on scoring is included in Appendix 4. The scoring of indicators is a key objective of the The suggested length of the validation workshop is validation workshop7. For the process to be useful, two and a half to three days. This includes about one the 42 indicators (Appendix 2) need to be carefully day for introductions and presentation and discussion studied, and, if needed, customized to the context of the opportunities and risks analysis (“why”); one and of the country in focus. Participants must see that a half days for the analysis of key elements and scoring indicators are relevant to their own local context. of indictors (“how”); and a half day for discussion and The core team should customize the indicators, refinement of recommendations (see Appendix 4 for drawing on the information from the two background additional guidance on workshop planning). studies, in consultation with key experts. Scoring of the customized indicators may be tested before the The workshop discussions, indicator scores and policy workshop to ensure relevance and clarity. This would recommendations should be carefully documented also ensure that semantic problems of questionnaires and integrated with the background studies into and score descriptions are minimized when working a final assessment report. Before the end of the with workshop participants (Box 3). workshop, the organizers should clearly communicate plans for using the information generated – such as Scoring the indicators is on a 4-point scale, with 1 for subsequent policy dialogues – and sharing of the representing the indicator is weak, and 4 strong. Final assessment report with the participants. An effort scoring should be determined by consensus. One should be made to circulate the draft report to all suggestion is to organize workshop participants into participants with the opportunity to provide their small break-out groups, with each group responsible comments inputs to the final document. for scoring only a small number of indicators. This ensures sufficient time to air all views in the group and An effective and transparent continuity of next reach consensus. If consensus cannot be reached, it steps in the political process leading to concrete is suggested that the dissenting opinion and score actions to improve tenure security is a critical action BOX 3: LESSONS FROM THE PILOTS CUSTOMIZATION Experience from country assessments suggests important modifications of the tool to meet specific needs of users. Local benefits from customizing the FTAT to local contexts. In experts were able to review and adapt key indicators to best fit Myanmar, the implementation team determined early in their needs while continuing to reflect the key element of the AF their assessment that some elements of the methodology to which they point. Customization was most effective in Step would need to be modified to better fit language and 3 of the assessment, during the initial scoping of stakeholders other local conditions. Not only were several key element and issues. In Myanmar, this process was highly participatory indicators revised and adjusted to fit the local context, but and structured to receive extensive feedback from stakeholders. an ad-hoc working group was also established to lead the These adaptations allowed the assessment to better capture process. The group also contributed to build capacities to local stories and support the policy process. understand the premises and apply the concepts of the AF. As a result, the government in Myanmar now has an When needed, customization was targeted to adapt to specific energetic team of more skilled staff to lead the dialogue on national and sub-national conditions and improve ownership tenure security and move forward. and participation of local stakeholders. Comparability of scores at any level could be maintained in most cases by framing the Customization showed that some revisions were needed results in terms of the nine key elements of the AF. Customized to increase the specificity of indicators in response to local assessments were more useful and comprehensive for conditions. The near universality of the AF allows for some policymakers and key local stakeholders. 7 In this workshop, participants could score the indicators by considering the desk-based assessment scores as reference (i.e. validation of previous scores), or they could score without reference to the previous scores. 18 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT BOX 4: LESSONS FROM THE PILOTS SCORING In the pilots, scoring the 42 indicators in the FTAT was one as a useful step to gain familiarity with relevant national of the most important elements of the process, but also one evidence. When needed, pre-scoring is also important for of the most complex. Several important results were derived articulating the customization of indicators before they are from this stage, including group consensus validation of the presented to other stakeholders. This exercise also helps to indicator scoring, a high degree of detail and feedback on the develop an agreed-upon process for scoring reconciliation local status of each indicator and a rich discussion amongst to improve the consensus-based scoring discussions during representative stakeholders. The indicators themselves proved the validation workshop. to be a productive element for deriving detailed, rich data on the situation of forest tenure security, and clarified discussion § The formal scoring by stakeholders at the validation about the on-the-ground situation. These positive results were workshop can take different forms. When possible, partially due to balanced stakeholder representation, strong individual scoring can be done online before the workshop. facilitation by people familiar with the FTAT and the indicator This increases the familiarity of participants with the customization prior to the workshops. indicators and the methodology, leaving more time for substantive discussions during the workshop. The scoring process promoted a rich discussion among representative stakeholders and generated a high degree of § At the workshop, scoring can also be done in several detail and feedback on the status of each indicator. Depending ways, where individual participants, homogeneous groups on each case, the experience suggests that one or more or diverse groups are assigned to either a subset or all scoring approaches can be used, particularly when these are indicators. The choice of one or a combination of these complementary and can contribute to enrich the final outcome: approaches should be used as the basis for a successful discussion and to reach a scoring consensus toward the § Pre-scoring can be conducted by the core team and expert end of the workshop. consultants during preparation of the background studies for maintaining and improving the dialogue with undertaking this assessment, with help from the core stakeholders. The core team, and later, the working team, if needed. When established, the working group (Step 2), should continue to function as the point group should also be involved in the development of contact and source of information for the participants of the roadmap and continue to communicate the in any future activities, including the development and developments to the different stakeholder groups. implementation of a forest tenure policy roadmap. An in-depth political economy analysis is recommended at this stage of the assessment STEP 6: DRAFT A POLICY ROADMAP process. Drawing from the discussions of political BASED ON THE ASSESSMENT REPORT economy challenges initiated in Step 1, this analysis TO FACILITATE A DIALOGUE AMONG should provide insights into the position of various stakeholders on the proposed action to improve RELEVANT GOVERNMENT AGENCIES tenure security. Identifying the “supporters” and Priority actions and policy interventions should “opposers,” and their influence in the reform process, be drafted based on the diagnostics and will help develop a strategy to strengthen consensus. recommendations from the validation workshop. The final policy and implementation roadmap should This facilitates an informed dialogue among relevant be widely disseminated to workshop participants and government agencies and results in the development to a wider group of stakeholders and experts working of a coordinated policy and implementation roadmap. on forest tenure. The roadmap should also be put on To promote ownership, political uptake and continuity the website of the lead government agencies so it is of actions, preparing the roadmap should be the in the public domain. main responsibility of the lead government agency FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 19 Photo by Logan Sander STEP 7. ENSURE THAT ASSESSMENT On the government side, relevant agencies would need FINDINGS AND RECOMMENDATIONS to work energetically to create conditions favorable to a pro-reform agenda. Forest tenure concerns identified INFORM RELEVANT NATIONAL POLICY in the roadmap should feed into national policy DIALOGUES AND REFORMS dialogues to increase the prospect of moving from assessment to action. Agencies will also need to work Even when the assessment process has produced a closely with stakeholders, especially pro-reform groups. clear and consensus-based policy roadmap, moving Using the “why” element of the assessment, the case from a roadmap to actual actions is not guaranteed. should be made to have priority actions included in The outcomes of the assessment will directly inform the overall development agenda of the country, and the dialogue of the Bank with its client countries, link these to international commitments (e.g., SDG, particularly by identifying priorities for the SCD and NDC). In some cases, there will be the need to raise the the subsequent preparation and negotiation of the urgency of undertaking reforms with other branches Country Partnership Strategy (CPF)8. Agreement on of government, such as the ministry of planning and/ priorities to improve tenure security would justify the or development. Finally, the government could also financial support to conduct targeted reforms and consider doing the assessment periodically to measure investment programs. the impact of interventions and the progress made from the initial baseline. 8 The Country Partnership Framework ​(CPF) builds selectively on the country’s development program and articulates a results-based engagement with client countries. A Performance and Completion, L​ earning Reviews (PLR) are conducted every two years, at mid-term or at the end to summarize progress in implementation and assess performance. 20 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 21 APPLICATIONS AND MODALITIES OF IMPLEMENTATION Motivations for undertaking the assessment and data gaps in key areas related to tenure security and deepening policy engagement on forest tenure will comprehensively addressing these gaps. In countries vary by time and place. In places where there is already where an FTA has been implemented, the diagnostics general consensus about the direction of forest and background documents are already useful tenure reform, the “how” sections of this integrated inputs. In contexts with no prior engagement with the methodology may be the main emphasis in order to FTAT, a modality of rapid assessment (checklist, rapid identify key areas for greater attention or investment. desk review and limited expert consultation) would In other contexts in which forest tenure reform is likely be an appropriate level of effort for ongoing incomplete or unclear in national policy dialogue, diagnostic work. These kinds of comprehensive the “why” aspects of the methodology may be the country assessments can also provide a basis for primary focus initially. In this case, the “how” elements cross-country comparisons and learning. of the methodology will follow after diagnostic inputs on the key directions for change are developed. 2. Development Policy Financing (DPFs). The FTAT can support the design of development policy operations (DPO) operations by utilizing its APPLICATIONS diagnostic elements (“how”) to identify specific policy reforms and results indicators (for example, The FTAT has been designed with the flexibility to strengthening community-based tenure objectives connect and inform a range of different interventions and sustainable financing for institutions critical and processes. Although the following five broad for tenure security). Because DPOs are rapidly categories of Bank products and services have been deployed, the rapid-assessment modality of the identified to directly benefit from its application, FTAT could be carried out, unless a prior project- the tool can also be used by governments, local level or programmatic-level FTA had already been stakeholders and donors working on tenure security completed to draw from. at national or sub-national levels. Other examples may include informing the 1. Country diagnostics and policy dialogues. In its identification and development of targeted engagement with client countries, the Bank identifies reforms at obsolete and counterproductive rules a set of development priorities through the Systematic and regulations that perversely affect tenure Country Diagnostic (SCD) and other sector and security goals; and instead, redirect financial policy analyses. These efforts are used to develop an support to critical government institutions charged agenda and stimulate an open and forward-looking with tenure security activities. In addition, new dialogue between client governments, the private policies may be supported, such as developing and sector and the broader public. The SCD process implementing a framework for public consultations culminates in a Country Partnership Framework around infrastructure development involving the (CPF), with performance evaluated regularly against forest sector. a results framework. In the review of constraints and opportunities, the analysis may identify community- 3. Investment Project Financing and Program for based and/or forest tenure security as an instrumental Results Lending9 need or key condition to achieve those goals. In this context, the FTAT can contribute by: (i) organizing A. Forestry and agriculture projects: The and structuring existing data; and (ii) identifying governance and accountability dimensions of forestry and agriculture projects is particularly 9 Investment Project Financing includes loans, credits and grants provide financing for a wide range of activities aimed at creating the physical and social infrastructure necessary to reduce poverty and create sustainable development. Program-for-Results (PforR) financing helps partner countries improve the design and implementation of their development programs and achieve lasting results by strengthening institutions and building capacity. 22 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT relevant when targeting IPLC in areas dominated D. Infrastructure operations in the transport, by community-based tenure systems. For energy and mining sectors: Many this type of project, the Bank commonly uses infrastructure projects involve land and forest a Community Driven Development (CDD) tenure considerations during the acquisition approach that aims at strengthening community of easements or land directly impacted by institutions and broad local participation. While development. For example, linear infrastructure few CDD projects focus on policy reforms, (e.g., roads, railroads and power lines) or dam an FTA offers a comprehensive view of all projects may require exclusive use of extensive components of tenure rights and situates the land/forest areas, potentially impacting key aspects of participation and community customary lands and community rights. Project/ governance in a broader vision of policy programmatic-scale assessments would be recommendations and action/investments to focused on all land areas impacted by a larger strengthen tenure security. This approach can project, and would include detailed feedback contribute to a strong rationale for community from diverse stakeholders as to the actual tenure and donor investment in CDD projects as security context the project is operating within. components of larger forest rights initiatives On a more limited scale, the rapid-assessment built alongside FTA stakeholder participation. modality of the FTAT would provide diagnostic information regarding IPLC tenure rights over a B. Biodiversity conservation projects: region informed by a comprehensive desk review. Biodiversity conservation and protected area and wildlife management projects are commonly 4. Environmental and Social Risk Assessment. situated in remote areas where tenure security As part of the broad and systematic strategy to is precarious. Often these areas are inhabited assess and mitigate environmental and social by IPLC under customary tenure systems not risks and impacts in investment project financing, legally recognized by governments. Project the Environmental and Social Framework (ESF) teams working in these areas should assess the functions as a core input into Bank project planning. tenure arrangements needed to support project Due to the complexity of tenure issues in many investments, including defining and enforcing contexts, and the importance of secure tenure for protected area boundaries and identifying if livelihoods, care is needed to ensure projects do resettlements and economic displacements will not inadvertently compromise existing legitimate be needed. An FTA can be a valuable instrument rights (including collective rights, subsidiary rights to understand the local contexts and the gaps to and the rights of women) or have other unintended address. Since most local communities in these consequences, particularly where the project areas access and manage biodiversity using supports land titling and related issues.10 traditional systems, the FTAT can be used to identify areas of opportunity for co-management The FTAT can provide a comprehensive and with a conservation approach. targeted assessment for the applications relevant to ESF Standards. Land and natural resources C. Land administration and forest reform tenure security are key components of three of the projects: This type of work offers another 10 Environmental and Social Standards (ESS): entry point as many countries seek to provide comprehensive approaches to land rights A. ESS1 on assessment and management of across both urban and rural landscapes. In these environmental and social risks and impacts cases, the tool can be used to gain greater addresses applicable laws and procedures, understanding of the situation and needs in along with project design features for: (a) forest landscapes governed through customary, recognition of relevant land tenure rights; (b) collective tenure. An assessment could also transparent and participatory processes for be linked to a land governance assessment resolving competing tenure claims; and (c) framework or forest governance assessment as informing affected people about their tenure a specific module focusing in greater depth on rights and provide access to impartial advice. community-based forest tenure. Several key elements of the FTAT focus on legal 10 The World Bank. 2017. Environmental and Social Framework. Page 20. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 23 frameworks, processes, dispute and conflict 5. Carbon Finance and REDD+ Operations. A resolution, governance and Free Prior and persistent challenge with REDD+ planning and Informed Consent (FPIC). implementation is ownership and benefit sharing related to forest rights. Clarification of tenure B. ESS5 on land acquisition, restrictions on land rights can provide motivation and incentives use and involuntary resettlement addresses for sustainable management, stakeholder restrictions on land use, such as customary participation and strong community institutions usage, timber and non-timber forest products and governance. The FTAT is a valuable instrument (NTFP) and other rights, including relocation for REDD+ planning by systematically identifying and compensation. strengths and weaknesses of community-based tenure security in a given context. For projects C. ESS7 on indigenous peoples/Sub-Saharan financed under the Bank’s FCPF’s Carbon Fund, African historically underserved traditional the FTA could also contribute to evaluate land local communities where the FTAT can be used and resources tenure regimes contemplated in the to understand the linkages of participation, Carbon Fund Methodological Framework.11 community governance, gender and the interactions of formal and customary institutions. TABLE 1: APPLICATIONS OF THE FOREST TENURE ASSESSMENT TOOL TYPE OF MAIN SCOPE MAIN PROJECT PROJECT OBJECTIVE OF MODALITY WHERE AUDIENCE EXAMPLES ASSESSMENT (WHY/HOW) (WHO) 1. Country Help teams Strong emphasis Mainly national Mainly Bank Analytical inputs diagnostics address relevant on the “why,” or sub-national managers to initial and and policy aspects of rural focusing on risks/ if the focus is and high-level second generation dialogues development opportunities, specific to a government SCD. May also Policy- oriented where tenure taking into region. policymakers. focus on elements analytics where security is at risk account political of a sector tenure security and/or contribute economy aspects review or more is relevant to to improve both at national specific policy sectoral reforms development and local levels. notes to inform and achievement outcomes. dialogues with of rural Different levels client countries, development of depth where including high- goals (e.g., tenure issues level policymakers. poverty and are not well hunger, economic understood but growth, climate suspected as change, relevant. sustainable use and restoration May take of ecosystems). the form of a checklist or rapid desk review. 11 World Bank. 2016. Forest Carbon Partnership Facility. Methodological Framework. 39 pp. https://www.worldbank.org/en/projects-operations/ environmental-and-social-framework. 24 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT TABLE 1: APPLICATIONS OF THE FOREST TENURE ASSESSMENT TOOL TYPE OF MAIN SCOPE MAIN PROJECT PROJECT OBJECTIVE OF MODALITY WHERE AUDIENCE EXAMPLES ASSESSMENT (WHY/HOW) (WHO) 2. Development Help teams Strong focus Mainly Bank managers, May be linked Policy identify focused on diagnostic national. task teams to public finance Financing (DPF) policy reforms aspects and high-level management; Loan, grant or and institutional (“how”) and government updating obsolete credit of rapid actions for specific policy policymakers. rules, guidelines financing for highly leveraged recommendations or regulations; borrower to impacts. within the scope direct support address actual of the DPF. to government or anticipated institutions development facing financial financing limitations. requirements and promote policy reform. 3. Investment Project Financing and Program for Results Lending 3.a Forestry Help teams Focus on the National/sub- Task teams Forestry and and agriculture frame the “how.” national and/or and other agriculture projects specific project area. practitioners projects in Investments objectives and FTA to be (e.g., NRM, customary areas, where tenure activities to conducted as a agriculture, CDD influenced by security is a improve tenure key activity of teams). recent tenure primary element security and project design, reforms, of the project design specific beginning in early which need objective. interventions to stages of project implementation Usually specific address it. identification/ and enforcement activities/ preparation. to achieve project components are Particularly objectives. included in the useful for CDD project design Projects. to address tenure security gaps. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 25 TABLE 1: APPLICATIONS OF THE FOREST TENURE ASSESSMENT TOOL TYPE OF MAIN SCOPE MAIN PROJECT PROJECT OBJECTIVE OF MODALITY WHERE AUDIENCE EXAMPLES ASSESSMENT (WHY/HOW) (WHO) 3.b Help teams Focus on the Mainly project Task teams and Biodiversity Biodiversity identify tenure “how.” area focus. practitioners conservation conservation security (e.g., and protected Investments elements that FTA to be biodiversity, area projects where tenure need to be in conducted as a NRM). that need to security needs place to ensure key activity of resolve boundary to be addressed specific project project design, issues and invest in project outcomes. beginning in early in alternative design to stages of project livelihood ensure project identification/ opportunities of outcomes. preparation. IPLC in neighboring customary areas. 3.c Land Informs sectoral Focuses on both the National/Sub- TTs/practitioners Land administration Administration reforms and “why” and “how”. national TTs (e.g. projects addressing and Forest programs to transfer Assessment to be Land, Forests, broader land sector Reform. Projects tenure rights and conducted as an Agriculture) objectives, where where investing strengthen TS of important activity community-based in improving IPLC. of project design forest tenure is an tenure security is beginning in early element of. the main primary Help teams to stages of project focus. identify gaps identification. Land or Forestry and investments The assessment project focusing on priorities leading could complement tenure security in to improve FTS other ongoing rural landscapes. diagnostic efforts (e.g. LGAF) or Forestry Projects focus on previously promoting devolution identified gaps of tenure rights to where attention is IPLC. a priority. May include forest land registration/ regularization titling as a main component of the project (e.g. DGM and FIP Programs in the Peruvian Amazon) 26 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT TABLE 1: APPLICATIONS OF THE FOREST TENURE ASSESSMENT TOOL TYPE OF MAIN SCOPE MAIN PROJECT PROJECT OBJECTIVE OF MODALITY WHERE AUDIENCE EXAMPLES ASSESSMENT (WHY/HOW) (WHO) 3.d Informs project Focuses on Project area Task teams and Infrastructure Infrastructure planning of the “how” and focus; for rapid- practitioners projects involving operations FTS elements, the diagnostic assessment, (e.g., linear land acquisition in the in the especially related strengths of the desk review of infrastructure and or restrictions to transport, to safeguards, FPIC FTAT. national context mining). resources access and energy and and the protection may be more use rights of IPLC in mining sectors of community practical customary areas. tenure rights in relation to other forms or tenure and land use. 4. Environmental Help teams The focus is on the National with Task Teams Large infrastructure and Social Risk identify potential how emphasis on (TTs), particularly and agriculture Assessment. social and Assessment is high risk project environmental investment projects Investment projects environmental best conducted areas and social that overlap with where tenure risks of TS and as part of project specialist customary lands with security may be at how to manage preparation supporting rural weak or no statutory risk due to specific them in investment activities and due infrastructure and recognition project activities project financing diligence actions large agriculture scenarios under the ESF. projects Provides support to ESS1, ESS5, and ESS7. 5. Carbon Help teams Focus on both the National and TTs/practitioners Carbon Finance Finance/REDD+. identify what “why” and “how” with project area (e.g. carbon Projects addressing Investment projects tenure issues need Assessment to be focus finance, forestry issues such as where one or more project attention conducted as key and NRM carbon ownership elements of tenure to avoid conflicts element of project specialists) and benefit sharing security are a key towards project design, particularly arrangements pre-condition to outcomes and to when ownership (e.g. Carbon fiancé achieve project maximize positive of carbon and projects in DRC, objectives impacts benefit sharing Mexico, Costa Rica) arrangements are unclear. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 27 MODALITIES OF IMPLEMENTATION expert consultants would use the AF and FTAT methodologies to guide a rapid desk-based Piloted FTAT methodologies included significant assessment focusing on specific project needs. stakeholder input and a deep review of a range of available resources. As such, they represent fairly ii. Project-Level Assessment. Similar in resourcing involved approaches to the tenure assessment. The and time to the three FTAT pilot interventions, robust and comprehensive underlying AF allowed for the level of effort and commitment of this option flexibility of the assessment process to be simplified should lead to inform and assess national or sub- to meet different objectives. The broad focus on national level initiatives. This option can generate forested landscapes contributed to understanding a a standalone product useful to inform policy constellation of resources and issues covering land, dialogues with client governments. It can also be agriculture, climate change and management of used to produce specific knowledge products natural resources, landscape restoration, ecosystem to inform project scoping and preparation. The services and biodiversity conservation. Based on these stakeholder engagement efforts of this option can experiences, three modalities of implementation of also serve as a platform to socialize and consult the FTAT methodologies are suggested below (See with other aspects of the project’s design. also Figure 2 below to compare investment and iii. Programmatic-Level Assessment. A more in- timeframes for each approach). depth assessment can be conducted for larger i. Rapid Assessment. The FTAT can be applied projects that need to focus on priority areas of during the project preparation phase, when interest or where a separate assessment of multiple a task teams need a systematic overview of sub-national areas (i.e., provinces or districts) is forest tenure security in a particular context. required. If embedded in a long-term program, Additionally, this assessment can be an input to the FTAT process, including stakeholder workshops social and environmental analyses leading to risk and feedback, could strengthen social capital and management solutions as part of the ESF due institutional capacity relevant to program outcomes. diligence process. In this modality, stakeholder A larger program could also incorporate an FTA to participation and feedback would be limited support policy dialogues seeking consensus on new to key expert informants. The team and/or legislation or policies. FIGURE 2: RELATIVE INVESTMENTS IN ASSESSMENT APPROACHES (THOUSANDS OF DOLLARS) 1 – 3 WEEKS 3 – 6 MONTHS 6 – 9 MONTHS RAPID- PROJECT-LEVEL PROGRAMMATIC- ASSESSMENT ASSESSMENT LEVEL ASSESSMENT (PILOT APPROACH) ($ 5-10) ($ 50-80) ($ 90-120) INVESTMENT IN TIME AND RESOURCES 28 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 29 CONCLUSIONS Achieving the 2030 Agenda for Sustainable level, and to inform initiatives for strengthening tenure Development will require increased attention to the security. The pilot application of the tool in the DRC, rights of forest peoples around the world who govern Myanmar and Zambia provided valuable findings and their lands and resources through customary, collective lessons. These experiences have led to a solid and tenure. Increasing the security of community-based improved instrument for the World Bank and its client tenure offers significant opportunities as it establishes governments, as well as for IPLC organizations, wider a critical enabling condition for the achievement of civil society and supportive development partners, goals on poverty reduction, food security, gender to secure natural resources, rights and sustainable equality, human rights, forest sustainability, biodiversity livelihoods across forest landscapes worldwide. conservation, and climate change. Tenure security also plays a significant role in guarding against risks and The country pilot experiences demonstrated success negative impacts that undermine the achievement of in achieving their objectives and confirmed the high these goals. adaptability, practicality and effectiveness of the tool. As presented in this publication, the instrument is The FTAT is distilled from a robust analytical sufficiently robust and readily available to assist in a framework. It is built from evidence of recent wide variety of forest landscape initiatives. Future research about the relevance of tenure security to the applications will yield new valuable insights and achievement of SDG, as well as a set of best practice lessons. As the tool is rolled out to other countries elements for realizing the security of community- in the coming years, the Bank will continue to based tenure rights in practice. As originally intended, systematize these experiences to update and upgrade the framework was the basis to develop the tool to its methodologies, outcomes and promote its political assess opportunities, risks and needs at the country relevance. 30 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT REFERENCES Congo Basin Forests Partnership (CBFP). 2006. “Les Ministère de l’Environnement, Conservation de la Forêts du Bassin du Congo – Etat des Forêts 2006.” Nature et Développement Durable de la République Kinshasa, Democratic Republic of Congo. Démocratique du Congo (MECNDD). 2015. “Protocole Methodologique et Resultats de l’Analyse Central Statistical Organization. 2016. Myanmar de Changement du Couvert Forestier 1990-2010 de Statistical Yearbook 2016. Nay Pyi Taw, Myanmar. la République Démocratique du Congo.” Central Statistical Organization, Ministry of Planning and Finance. https://www.unredd.net/documents/redd-papers- and-publications-90/other-sources-redd-papers- Davis, Crystal, Lauren Williams, Sarah Lupberger and-publications/reference-levels-96/15014- and Florence Daviet. 2013. “Assessing Forest protocole-methodologique-et-resultats-de- Governance: The Governance of Forests Initiative lanalyse-de-changement-du-couvert-forestier-1990- Indicator Framework.” Washington, DC. World 2010-de-la-republique-democratique-du-congo. Resources Institute. html?path=redd-papers-and-publications-90/other- sources-redd-papers-and-publications/reference- Debroux, L., T. Hart., D. Kaimowitz, A. Karsenty, and levels-96 G. Topa. 2007. “Forests in Post-Conflict Democratic Republic of Congo: Analysis of a Priority Agenda.” Mofya-Mukuka, R and A. Simoloka. 2015. “Forest Washington, DC. CIFOR, The World Bank and CIRAD. Resources for Rural Household Food and Nutrition Security: The Case of Eastern Province of Zambia.” https://www.cifor.org/publications/pdf_files/Books/ Working Paper No. 102. Lusaka, Zambia. Indaba BCIFOR0701.pdf. Agricultural Policy Research Institute. Environews. 2017. “RDC : Le Taux de Déforestation Mulenga, B.P., C. Nkonde and H. Ngoma. 2015. A Plus Que Doublé en 15 Ans.” https://www. “Does Customary Land Tenure System Encourage environews-rdc.org/2017/01/26/rdc-le-taux-de- Local Forestry Management in Zambia?: A Focus on deforestation-a-plus-que-double-en-15-ans/. Wood Fuel.” Working Paper No. 95. Lusaka, Zambia. Food and Agriculture Organization and the Indaba Agricultural Policy Research Institute. Government of the Republic of Zambia, Forestry Nyi Nyi, Kyaw. 2015. “Forests and Forestry in Department, Ministry of Lands and Natural Resources. Myanmar: Meeting the Challenges in the 21st 2016. “Integrated Land Use Assessment Phase II- Century.” Powerpoint presentation by the Director Report for Zambia.” Lusaka, Zambia. General of the Forest Department. https://prais.unccd.int/sites/default/files/2018-08/ ILUA%20II_Final%20Report_Zambia_19062016.pdf. United Nations Environment Programme. 2015. “Benefits of Forest Ecosytems in Zambia and the Forest Carbon Partnership Facility. 2013. Carbon Role of REDD+ in a Green Economy Transformation.” Fund Methodological Framework. Nairobi, Kenya. UNEP. Global Forest Watch. 2018. Zambia Country Profile. https://www.uncclearn.org/sites/default/files/ Washington, DC. World Resources Institute. https:// inventory/summary-benefits_of_forest_ecosystem_ www.globalforestwatch.org. zambia.pdf Karsenty, A. 2007. “Overview of Industrial Forest Zimba, S.C. 2007. Historical Development of Forest Concessions and Concession-based Industry in Policy and Forest Management Practices in Zambia. Central Africa and West Africa and Considerations Ndola, Zambia. Mission Press. of Alternatives.” Washington, DC. Rights and Resources Initiative. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 31 World Bank. 2016. World Bank Environmental World Bank. 2020. Forest Tenure Assessment in and Social Framework. Washington, DC. https:// DRC: Final Report. “Sécuriser les Droits Fonciers www.worldbank.org/en/projects-operations/ dans les Zones de Forêt en RDC.” Washington, DC. environmental-and-social-framework. Program on Forests (PROFOR). https://documents. worldbank.org/en/publication/documents-reports/ World Bank. 2017. “Securing Forest Tenure Rights documentdetail/690411598636444226/. for Rural Development. Lessons from Six Countries in Latin America.” Washington, DC. Program on World Bank. 2020. “An Assessment of Forest Forests (PROFOR). Tenure in Myanmar: Securing Forest Tenure https://www.profor.info/content/securing-forest- for Sustainable Livelihoods.” Washington, DC. tenure-rights-rural-development-lessons-six- Program on Forests (PROFOR). https://documents. countries-latin-america. worldbank.org/en/publication/documents-reports/ documentdetail/383531594388453664/. World Bank. 2019. Securing Forest Tenure Rights for Rural Development. An Analytical Framework. World Bank. 2020. Forest Tenure Assessment in Washington, DC. Program on Forests (PROFOR). Zambia: Final Report. Washington, DC. Program on https://www.profor.info/content/securing-forest- Forests (PROFOR). tenure-rights-rural-development-analytical-framework. https://documents.worldbank.org/ en/publication/documents-reports/ World Bank. 2020. Forest Tenure Assessment Tool: documentdetail/531591598634181781/. Final Synthesis Report. Washington, DC. Program on Forests (PROFOR). World Bank. 2019. Securing Forest Tenure Rights https://documents.worldbank.org/ for Rural Development. An Analytical Framework. en/publication/documents-reports/ Washington, DC. Program on Forests (PROFOR). documentdetail/985171598633319925/. https://www.profor.info/content/securing-forest- tenure-rights-rural-development-analytical-framework. 32 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Bastian AS FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 33 SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT FOREST TENURE ASSESSMENT TOOL 34 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 35 APPENDIX 1 GUIDANCE FOR OPPORTUNITIES AND RISKS ANALYSIS BUILDING THE CASE FOR SECURE FOREST TENURE INTRODUCTION A political economy analysis will augment the case. It should support these analyses with This component of the tool is intended to help build relevant justifications for benefits in the context of the case for forest tenure reforms by identifying: development goals (including reducing poverty and hunger, fostering inclusive and sustainable economic § points of entry and windows of opportunity growth, improving gender equality, contributing to § the interest groups involved in reform climate change mitigation and forest sustainability, and contributing to improving women’s rights and § justifications and benefits (and the cost of inaction). human rights). Through an initial analysis of political economy of forest The opportunities and risks analysis suggests a set of tenure reform and description of the most relevant guiding questions to structure the assessment. The full projects or policy processes, it is possible to highlight set of guiding questions is presented in Appendix 1. where the results of the assessment could be utilized. These questions are intended to provide consistency By using evidence about the links between secure, and a basis for comparing findings across countries, community-based forest tenure to development goals, while also remaining adaptable to the context and this part of the tool can strengthen the identification availability of data in each country. of entry points and windows of opportunity. Data sources for building up the justification for forest Each country context will determine the nature of tenure reform and the costs and benefits of different engaging in forest tenure reforms. However, it is scenarios may include: recommended to make explanatory linkages of the benefits and risks of securing community forest § national statistical data, including household tenure with the framing of the SDG in order to surveys covering forest areas deepen long-term commitments and find common cause with related policies and programs. Following § sectoral assessments the AF, this component of the tool identifies the § Bank/IMF country diagnostics critical opportunities for achieving benefits through § project-level socioeconomic assessments and increased security of forest tenure, as well as risks to impact evaluations the achievement of development goals where tenure is insecure. § FCPF/REDD+ assessments § FAO statistics It should make the strongest case for understanding the results that can be expected from strengthening § Land Governance Assessment Framework forest tenure or continuing with the status quo. The documentation analysis first should set out the context of forest tenure § PRIndex reform in the country (who is involved, in which areas, § analytical work published by NGOs under what legal and social conditions), then identify points of entry and windows of opportunity for reform. § media reports. It may be possible to leverage emerging geospatially linked data sources such as the Hidden Dimensions 36 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT of Poverty database in the World Bank, the To do this, the assessment may choose to incorporate LandMark mapping of community land rights and the a variety of thematic approaches and evidence, such Radiant Earth clearinghouse of spatial imagery for as the linkages of forest tenure reform with poverty development analysis. and food security, economic growth, gender equity and climate change adaptation and mitigation Analysis of issues around inclusive and sustainable and sustainable environmental management. This economic growth may also draw on feasibility appendix provides guiding questions useful for studies and investment planning documentation for orienting the qualitative assessment and evidence- specific sub-sectors and projects, documentation gathering on specific forest tenure reforms to areas of about pilot projects and consultation with sector national development strategies. specialists in forest products, agroforestry, mining, ecotourism and other specialized areas of economic These questions are intended to guide and structure opportunity. Women’s tenure rights data may draw the opportunities and risks analysis. This appendix further on ethnographic and qualitative studies and can be used as a template for documenting the reports about women’s status in forest tenure and assessment findings. on emerging data from the Research Consortium on Women’s Land Rights operated by Resource Equity 1. GUIDING QUESTIONS FOR ASSESSING in some countries. Assessment of forest climate and OPPORTUNITIES AND RISKS: IDENTIFYING conservation issues may extrapolate from existing ENTRY POINTS AND ACTORS AND MAKING studies of FCPF and REDD+ planning, including THE CASE FOR SECURE FOREST TENURE: related tenure/governance assessments. § What are the ongoing processes through which Making the Case for the Role of Secure Forest Tenure forest tenure reform is being discussed at a in National Development Strategies national policy level and at sub-national levels? The final step of the analysis is to synthesize the § What are the most relevant points of entry for opportunities and risks in all these areas within a achieving action in forest tenure reform? realistic assessment of political realities and potential for building constituencies for forest tenure reform. § Are there specific windows of opportunity (projects, This synthesis will identify where tensions, trade-offs programs, legislative engagements, policy fora) to and synergies exist; and it will find openings to take achieve action in forest tenure reform? advantage of opportunities and limit risks within the national policy process. § Who are the interested parties in forest tenure reform (government agencies, communities, civil society organizations, private sector actors, GUIDING QUESTIONS FOR OPPORTUNITIES international organizations and others)? What are AND RISKS ASSESSMENT their interests? Who supports forest tenure reform and who opposes it, and on what grounds? This appendix presents a set of guiding questions for conducting assessments of opportunities to § How can the forest tenure reform agenda achieve development goals by strengthening forest be clarified? how can agendas for action be tenure security as well as risks to the achievement of established within the entry points and windows of development outcomes where tenure is insecure. These opportunity identified? questions develop in further detail the set of topics § What are the linkages of forest tenure reform with presented above in Section 2 and summarized in Box 1. broader national development strategies and This is a qualitative assessment, supported by commitments, for example under the SDG? quantitative and statistical evidence, and will be § Can these linkages be exploited to leverage unique to each country and sub-national context. The attention, resources and commitments for forest main aim is to identify the channels and institutional tenure reform? If so, how? How can the forest processes in which forest tenure reform can be tenure reform agenda be included into the discussed and enacted by assembling evidence, and indicators, monitoring and reporting by countries make the case for reform clear and relevant for a for national development and the SDG? variety of actors in national development strategies. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 37 Photo by Gerardo Segura Warnholtz / World Bank The following thematic area questions are intended a. Thematic Area: Poverty and hunger (SDG to provide guides to potential linkages between Goals 1 and 2) the opportunities and risks of forest tenure reform with different types of development goals and their Guiding Questions: Opportunities and risks in relationship to SDGs. In each national and sub- linkages between poverty reduction and forest national context, each of these thematic areas may tenure reform: have relatively greater or lesser relevance for the § Which groups are most heavily dependent on interested parties in the forest tenure reform debate. forest-based natural resources for their livelihoods The assessment should be flexible and selective to and food security? What is their tenure status? decide in which, if any, of these thematic areas to What is their status in terms of poverty and food deploy evidence for benefits or costs from forest security? tenure reform (depending on the framing of the discussion in the given context and points of entry, the § How are current tenure arrangements enabling or availability of data and evidence and the potential for impeding access to critical livelihood resources? leveraging commitments and resources through the Are common property resources a key asset for linkage with the thematic area). local livelihoods? 38 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT § What are the best sustainable development are those opportunities and what kinds of opportunities in these forest areas for reducing partnerships might be developed? poverty and hunger? How can improved recognition of community-based forest tenure § Do existing tenure arrangements create a risk of support these opportunities? If possible, can the conflict in the implementation of new economic magnitude of these opportunities be estimated? activities, particularly between communities and investors, or communities and governments? § Are insecure tenure rights contributing to the physical and/or economic displacement of § Are existing tenure arrangements incentivizing the local people? What are some of the drivers? type of economic activities that are sustainable in Infrastructure development; concessions for agri- the long term from social and economic points business; timber; extractive industries such as of view? Are there data available to estimate mining, oil and gas; and/or the establishment of the economic value of alternative scenarios of state-protected areas for conservation? development in forest areas under different tenure and land use policies? § Given the above, are insecure rights creating risks of land loss to communities that directly impact § How can forest tenure policy steps be incorporated livelihoods? If so, where and how, and by whom? into national development strategy for economic growth, (for example through linkages with SDG § Is there scope for incorporating forest tenure Goal 8 for decent work and economic growth)? policy steps into national development strategies related to poverty and food security (for example c. Thematic Area: Achieving gender equality through linkages to national commitments under (SDG Goal 5) SDG Goals 1 and 2 leading, to no poverty and Guiding questions: Opportunities and risks in the zero hunger)? linkage between secure forest tenure and women’s b. Thematic Area: Promoting sustained, inclusive equality: and sustainable economic growth (SDG Goal 8) § Do women benefit equally from rights to forest Guiding Questions: Opportunities and risks in land and resources; are women’s rights and roles linkages between forest tenure and economic in forest tenure governance equal to men’s? growth and employment: § What are the impacts of existing/proposed forest § What are the main economic activities of tenure arrangements on women’s livelihoods, community and small-scale producers in forest family well-being and productive activities, and areas? What are estimates of the economic their social and political status? output of these activities? How many people are § How do existing tenure arrangements, including employed in these activities? community-based tenure, contribute to and/or § Do existing tenure arrangements create enabling impede aspects of women’s equality, particularly conditions for communities to pursue inclusive in relation to decision-making structures, i.e., and sustainable economic activities to their full women’s inclusion in, and rights to participate in, potential? If not, how could tenure arrangements decision-making processes and benefit equally as support expanded economic activity? How do men from these processes? tenure arrangements establish the rights of access § Is there evidence available (quantitatively to and benefits from production of agricultural or qualitatively) of women’s tenure security commodities, timber harvesting, non-timber contributing to wider development benefits, such forest products, minerals, water and payments for as family health and well-being, food security environmental services? and/or increased investment in the productivity § Are there opportunities in forest tenure reform and sustainability of natural resources? to create a foundation for equitable partnerships § How can forest tenure policy steps be for economic activities between communities incorporated into national development strategy and governments or the private sector? What gender equality (for example through linkages FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 39 to national commitments under SDG Goal 5 on linkages to national commitments under SDG gender equality)? Goals 13 and 15 on climate action and life on land)? d. Thematic Area: Combating climate change and e. Thematic Area: Strong institutions and sustaining forests (SDG Goals 13 and 15) partnership for growth (SDG 16 and 17) Guiding questions: Opportunities and risks in linkages § Are there opportunities in forest tenure reform between secure tenure by indigenous peoples to create a foundation for equitable partnerships and local communities (IPLC) and the sustainable for economic activities between communities management of forests and forest carbon: and governments or the private sector? What are those opportunities and what kinds of § What are the estimated areas of forest and partnerships might be developed? amounts of forest carbon stored and managed (formal or informal) by forest communities under § Do existing tenure arrangements create a risk of community-based tenure? conflict in the implementation of new economic activities, particularly between communities and § Do these community lands include areas of high investors, or communities and governments? biodiversity and/or areas with potential for forest restoration? § How can forest tenure policy steps be incorporated into the national development strategies for § What is the current experience/evidence with ensuring strong and just institutions and robust forest and climate outcomes where tenure is partnerships (for example through linkages to secure (or not secure)? national commitments under SDG 16 and 17 on effective, accountable and inclusive institutions § Are there current or planned payments for and partnership for growth)? environmental services or REDD+ payments related to the forest areas, and to what extent do current tenure arrangements enable (or potentially 2. GUIDING QUESTIONS FOR INITIAL impede) the ability of communities to influence, EXPLORATION OF POLITICAL ECONOMY participate in and benefit from such initiatives? ISSUES LINKED TO FOREST TENURE REFORMS § Are there areas in the country, either currently § What opportunities and risks are present within or planned, designated for habitat or species these processes to build constituencies and protection, which contain human populations political support for forest tenure reform? using the area under community-based tenure § Who are the supporters and opponents of a forest arrangements? tenure reform agenda, and why? § Do existing forest tenure arrangements contribute § Where do tensions or trade-offs exist for the forest to negative outcomes in terms of deforestation tenure reform agenda among these supporters and conservation that could be ameliorated by and opponents? tenure reforms? § Where do potential policy openings exist to § Is there data available to provide estimates take advantage of opportunities and limit risks be made of the magnitude and costs of those within these national policy processes? How can potential negative outcomes? those policy openings be engaged in short and § How can forest tenure policy steps be incorporated medium term? into the national development strategies for environmental management and climate change adaptation and mitigation (for example through 40 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 41 APPENDIX 2 KEY ELEMENTS INDICATORS The following draft indicators (sequentially numbered in red) are organized in relation to each key element and dimension in the AF. Each draft indicator includes: § a label/title and indicator question § background notes on how to interpret and use the indicator. Many of these contain explanatory information from the AF (in boxes). § sources of information (in some cases) where there is information/data related to that indicator from international studies and databases, beyond national laws and other in-country sources of information § 1-4 point scoring scale. Generally the scales follow the following sliding sequence: § 4 = Indicator is largely fully met § 3 = Significant process toward the indicator, though with substantial gaps and areas for improvement § 2 = Some progress toward the indicator § 1 = Very limited to no progress toward the indicator. Information on related indicators from four related indicator frameworks (LGAF, PROFOR/FAO Forest Governance Assessment Framework, WRI Forest Governance Assessment Framework and LandMark) are noted in parentheses. The following considerations informed the development of indicators for this tool: § Keeping the indicators to a manageable number while also ensuring that the indicators are specific enough to be assessed. Large numbers of indicators increase the length and complexity (and accordingly the cost) of assessments, especially since generic indicators are often further elaborated in particular assessment contexts. At the same time, specific indicators are generally more useful for purposes of assessment and scoring. This initial list draws on the experience of other frameworks to formulate indicators that are specific enough to be assessed, while also erring on the side of fewer indicators (anticipating that the indicators are more likely to increase than decrease in number as they are further developed). This version includes 42 indicators.12 § Achieving a balance between fully addressing each AF dimension and making use of available information. Tailoring indicators to available information, especially quantitative data, can increase the objectivity and comparability of an assessment. However, available information/data often does not fully address the attributes that are most relevant to the assessment. As noted by Kishor and Rosenbaum (2013), “In these cases, it is often better to measure the subcomponent more directly, by using a well-designed and calibrated opinion-based measure, such as a score on a 4-point scale. An indicator based on subjective, qualitative information, which addresses a subcomponent directly is better than a quantitative indicator which addresses it poorly.” § Including a mix of different types of indicators. A common distinction is made among indicators of inputs (e.g., resources, capacity-building activities), outputs (the immediate products or results of those interventions, e.g., increased capacity), and outcomes (the longer-term results or changes achieved). While outcomes are most significant, they are also more difficult to measure, and are usually assessed using perceptions or expert opinions (Deininger et al. 2012). 12 As points of comparison, the LGAF includes 80 “dimensions” (comparable to the indicators in this framework as the dimensions are the most specific unit and are what is scored); the PROFOR/FAO Forest Governance framework includes 130 indicators, and the WRI Forest Governance assessment framework includes 122 indicators. 42 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT The following box – reproducing definitions included in the AF – is intended to clarify understanding of terms used in the indicators. BOX 1: DEFINITIONS Tenure: Tenure is a broad term for the social relationships and institutions that determine “who is allowed to use which resources, in what way, for how long and under what conditions, as well as who is entitled to transfer rights to others and how” (Larson and Springer 2016; Larson 2012). Bundle of rights: Tenure is often described as a bundle of rights which, in particular circumstances, may include rights to access, use, manage, exclude others from, and/or alienate land and resources (Schlager and Ostrom 1992). While the terms tenure and ownership are sometimes used interchangeably, ownership is only one form of tenure characterized by a combination of all or most of the rights in the bundle (Gilmour and Fisher 2011; Meinzen-Dick et al. 2017). Communities and indigenous peoples – the following definitions are adapted from LandMark (LandMarkmap.org/data/ definitions): Communities are “groupings of individuals and families that share common interests in a definable local land area within which they normally reside. Communities vary in size, identity, internal equity, and land use systems, and may distribute rights to land in different ways. However, communities are similar in these ways: 1) They have strong connections to particular areas or territories and consider these domains to be customarily under their ownership and/or control... 2). They themselves determine and apply the rules and mechanisms through which rights to land are distributed and governed… 3) Collective tenure and decision making characterize the system.”  Indigenous peoples “are the sector of the world’s communities who identify themselves as indigenous peoples. They adopt this definition on various grounds, such as having stronger relations to their land than other nationals, longer origins in the locality or distinctive cultures and ways of life that run special risks of being denied or lost in modern conditions. “Indigenous peoples’ rights may be subject to special national legislation and their rights to collective land and natural resources are also recognized in international instruments including International Labour Organization Convention 169 and the United Nations Declaration on the Rights of Indigenous Peoples. Community-based tenure: Community-based tenure systems refer to those in which the overall land area of indigenous peoples or communities is held collectively, often with rights derived from custom and with governance through customary institutions. Lands and resources within such community tenure systems may be managed as common property (see below) and/or allocated to individual households, and most community lands include a combination of both common property and individually held land (RRI 2015; Fitzpatrick 2005). The terms collective tenure, indigenous and community tenure and communal tenure (Alden Wily 2011) are also used to refer to community-based tenure systems. Common property: Common property – or the commons - is land or property held under collective tenure to which all members of the community have a guaranteed right of use (Giovarelli et al. 2016; FAO 2016). It differs from land within community-based tenure systems that is allocated to individual households. Formal and informal tenure: As detailed in Gilmour and Fisher (2011), “Formal tenure is recognized by statutory law, by precedent (in English law) or by regulation. Informal tenure refers to locally recognized rights without formal state recognition.” Customary tenure: In customary tenure systems, rights to lands and resources are derived from customary laws and institutions (Freudenberger 2013). Customary tenure may or may not be recognized in formal law. Forest landscape: A landscape is an area of land containing a mosaic of interacting ecosystems and human land uses (Sayer, J. et al. 2013). A forest landscape is a landscape that is primarily composed of forests though may include other land types and land uses that extend beyond forests as officially defined. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 43 Photo by Gerardo Segura Warnholtz / World Bank Community-based forest tenure: Community-based forest tenure is used here as a broad, inclusive term for community- based tenure rights that exist in forest landscapes. These rights may be held by indigenous peoples or local communities (IPLC). Depending on the context, this tenure may be formal or informal. The specific bundle of tenure rights may vary, as may the specific resources over which rights are held (e.g., land vs. trees vs. water – see “bundle of resources,” below). Bundle of resources is used here to refer to the specific resources to which communities have rights. For example, a bundle may include land, trees (non-timber and timber resources), water and/or wildlife. Formal recognition of community tenure rights may involve a differentiation among these resources, for example with land laws recognizing rights to land (without necessarily recognizing rights to trees on the land) and forest laws recognizing rights to trees (without necessarily underlaying lands rights). Tenure security: This analysis adopts an inclusive definition of tenure security that highlights the practical realization of tenure rights. Following Meinzen-Dick and Mwangi (2009), tenure security is, ‘‘the ability of an individual to appropriate resources on a continuous basis, free from imposition, dispute or approbation from outside sources, as well as the ability to claim returns from investment in the resource.” While many discussions of tenure and tenure security focus on the status of legal recognition, a fundamental premise of this work is that a more comprehensive set of factors – encompassing legal recognition, relevant capacities, implementation, and enforcement - need to be in place to secure tenure. Recognition (of land and resource rights): Use of the term recognition calls attention to the existence of customary land and resource rights prior to the enactment of statutory laws. Where customary rights already exist, statutory laws do not establish or grant those rights, but rather recognize them. Devolution is a more general term that is used here to refer to the transfer of tenure rights from state to community-level institutions. Continuum of rights: The concept of a continuum of rights calls attention to the diversity of tenure rights that exist in practice and must be accommodated in land management systems and constituted as legally enforceable claims (Du Plessis et al. 2016). Secondary rights refer to rights to seasonal uses (e.g., for herding) or specific resources (such as collection of firewood, medicinal plants, wild foods and building materials) that are agreed with primary rights-holders, or those with more permanent and/or holistic rights to land and resources (Byamugisha 2013). From the Analytical Framework https://www.profor.info/content/securing-forest-tenure-rights-rural-development-analytical-framework 44 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 45 LEGAL FRAMEWORKS FOR COMMUNITY-BASED FOREST TENURE RIGHTS 1 RECOGNITION OF ALL LEGITIMATE TENURE RIGHTS AND RIGHTS-HOLDERS 1.1 1 COMMUNITY TENURE REGIMES: ARE LEGAL FRAMEWORKS IN PLACE TO RECOGNIZE COMMUNITY-BASED TENURE RIGHTS, INCLUDING CUSTOMARY RIGHTS? (Related indicators: PROFOR 15; LGAF 1.2, 1.3; WRI 1; LandMark 1) From AF: Legal frameworks for recognition of community-based forest tenure are a fundamental basis for tenure security. While historically customary tenure systems have often served to secure local rights without formal, legal recognition, growing pressures on forest land – such as for commercial investments - have increased the risks that tenure rights lacking legal backing will be challenged or eroded [(FAO 2016, Gilmour and Fisher 2011, Byamugisha 2013). Sources of information: National laws. Rights and Resources Initiative forest tenure data include information on legal frameworks for community-based tenure in approximately 52 countries (RRI 2014). Scoring scale: DESCRIPTION OF SCORE SCORE Legal frameworks are in place to recognize the collective tenure rights of all IP/LC that hold lands/resources under 4 customary, collective tenure Legal frameworks are in place to recognize the collective tenure rights of some but not all IP/LC that hold forest 3 lands/resources under customary/collective tenure No current laws but laws are in the process of being developed 2 No provision for any Indigenous Peoples/communities to secure their customary forest lands as community property 1 without conversion of those rights into non-community based forms of ownership 1.2 2 AUTONOMY: DO LEGAL FRAMEWORKS FOR IPLC TENURE GIVE COMMUNITIES AUTONOMY IN THE CONTROL AND MANAGEMENT OF THEIR LAND AND FOREST RESOURCES? (Related indicators: LandMark 4 & 5) Definitions of communities and indigenous peoples are given in Box 1. Based on these definitions, the universe of IPLC in the assessment needs to be spelled out in each national context. One characteristic that determines the security of collective land rights is the degree to which IPLC have autonomy and authority to govern lands and resources in accordance with their own institutions and decision- making processes. Best practices include (Wily et al. 2016): § “legal personality” - recognition of IPLC as legal persons for purposes of landholding without requirements to create and register new legal institutions, and 46 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT § “legal authority” - recognition of the authority of IPLC to govern their lands in accordance with their customary norms. Sources of information: National laws. The LandMark platform national data layer includes legal personality and legal authority among its indicators for legal frameworks. Studies for some countries posted on the platform may include information on these topics. Scoring scale: DESCRIPTION OF SCORE SCORE LANGUAGE ADAPTED FROM LANDMARK LEGAL INDICATORS (COMBINES 4 & 5) The law recognizes the right of IPLC to govern their interests in accordance with their customary norms provided 4 these are in accordance with human rights and good governance provisions stipulated for all citizens (LandMark) The law recognizes IPLC as legal persons for purposes of landholding (LandMark) – but places some limits on the 3 extent of their legal authority The law recognizes IPLC as legal persons for purposes of landholding [so that they are not obliged to form and register legal entities in order to have legal standing or to secure formal entitlement] (LandMark) – but significantly 2 limits their legal authority The law does not recognize IPLC as legal persons for purposes of landholding, but requires that they form new legal 1 entities to secure tenure rights 1.3 3 PROTECTION FOR WOMEN’S RIGHTS: ARE LEGAL PROTECTIONS IN PLACE TO SECURE WOMEN’S RIGHTS TO ACCESS COMMON PROPERTY RESOURCES AND PARTICIPATE EFFECTIVELY IN DECISION-MAKING PROCESSES WITHIN COMMUNITY-BASED TENURE SYSTEMS, INCLUDING TO ACCESS COMMON PROPERTY RESOURCES AND PARTICIPATE EFFECTIVELY IN DECISION-MAKING PROCESSES? (Related indicators: LGAF 2.7) From AF: While customary tenure systems often enable women to secure rights and access to natural resources, including common property resources, such systems may also have strong biases against women’s land holding and participation in decision making regarding land and resource management (Landesa 2012; Giovarelli et al. 2013). The RRI Power and Potential Analysis identifies eight indicators for use in assessing the strength of women’s tenure rights in community-based forest tenure systems (see Box 1) referred to in the assessment. It is important to reflect on the actual implementation of these legal protection for women and their participation in the decision making on the ground for the purposes of identifying potential policy interventions. With regards to women’s influence, it is also important to question whether the existing socio-political system allows women to form a women’s group; and whether the decision-making bodies at community level encourage women to voice their concerns and respect their opinions. Sources of information: RRI legal analyses of the eight indicators have been completed for 30 countries (RRI 2017). FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 47 Photo by Gerardo Segura Warnholtz / World Bank 48 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT BOX 2: POWER AND POTENTIAL: RRI INDICATORS FOR ASSESSING WOMEN’S RIGHTS TO COMMUNITY FORESTS The Rights and Resources Initiative has identified a set of eight indicators for use in assessing the legal status of women’s rights to community forests. Three “overarching” indicators apply to all women in a country and an additional five focus on rights of women within community-based tenure regimes. The three overarching indicators are: § Constitutional equal protection § Legal affirmation of women’s property rights § Inheritance rights in overarching laws Indicators specific to community-based tenure regimes include: § Membership – explicit definition of women as members of the community § Inheritance rights specified in community-based tenure regimes § Voting – guaranteeing that women have rights to vote in community decision-making bodies § Leadership – requirements for women’s participation in executive bodies § Dispute resolution provisions specific to women Scoring scale: DESCRIPTION OF SCORE SCORE Laws include all applicable provisions (overarching and CBTR-specific) on women’s rights to community forest lands 4 Laws include 5-7 of the applicable provisions (overarching and/or CBTR-specific) on women’s rights to community 3 forest lands Laws include 1-4 of the applicable provisions (overarching and/or CBTR-specific) on women’s rights to community 2 forest lands Laws do not include specific provisions on women’s rights to community forest lands 1 1.4 4 PROTECTION OF SECONDARY AND MINORITY RIGHTS: DO LEGAL FRAMEWORKS FOR COMMUNITY-BASED TENURE INCLUDE PROVISIONS FOR PROTECTING SEASONAL/ SECONDARY AND MINORITY RIGHTS? (RELATED INDICATORS LGAF 3.3) In cases in which forest tenure is managed by national authorities and in cases in which authority for governance of forest tenure is devolved to community institutions, these institutions take on responsibility for ensuring that the full range of tenure rights to those forest lands are respected and protected. This range of tenure rights may include rights of individuals within the community, secondary or seasonal resource rights of community members and/or secondary or seasonal resource rights of people outside the community, such as nomadic pastoralists. While the wide diversity of local situations means that it is not possible to be prescriptive regarding the specific tenure rights requiring protection, legal frameworks may include broad provisions regarding the types of institutions and procedures that can promote accountability and inclusivity, so as to avoid risks that customary laws may discriminate against some rights-holders, or provide insufficient checks on the authority of leaders. (Note: The principle and practices this indicator addresses are similar to those for women’s rights above, but women’s rights are highlighted separately due to the prominence of women’s rights issues in collective tenure systems and the fact that a specific set of elements has been developed to for assessing them. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 49 DESCRIPTION OF SCORE SCORE Legal frameworks include adequate provisions to enable all legitimate rights-holders to have a voice in community 4 decision making regarding tenure rules/regulations Legal frameworks include substantial but still insufficient provisions to enable all legitimate rights-holders to have a 3 voice in community decision making regarding tenure rules/regulations Legal frameworks include limited provisions to enable all legitimate rights-holders to have a voice in community 2 decision making regarding tenure rules/regulations Legal frameworks do not include provisions to enable all legitimate (e.g., secondary, minority and individual) rights- 1 holders to have a voice in community decision making regarding tenure rules/regulations RECOGNITION OF A ROBUST BUNDLE OF RIGHTS 1.5 5 BUNDLE OF RIGHTS: DOES THE “BUNDLE OF RIGHTS” INCLUDED IN LEGAL FRAMEWORKS PROVIDE A BASIS FOR TENURE SECURITY? (Related indicators: WRI 2; LandMark 2) The “bundle of rights and responsibilities” refers to the specific rights as well as the associated responsibilities and liabilities established within a tenure regime. Tenure security rights in the bundle (based on RRI 2012) and their definitions are: § Access: the right to enter or pass through a forest § Withdrawal or use: the right to use and benefit from a forest’s resources (these may be further differentiated based on whether the use is direct or for commercial purposes) § Management: the right to make decisions about the management of a forest area and use of forest resources § Exclusion: the right to regulate and refuse access to and use of the forest by others § Alienation: the right to transfer the forest to another by sale, lease or other means13 § Duration: the length of time a community may exercise its rights – either limited or in perpetuity § Extinguishability: the right to due process and compensation in the face of government efforts to extinguish rights. The strength of the bundle of rights is an important determinant of the security of rights. Following RRI (2012, 2014, 2017), rights of access, use and management are considered here as first-level rights that enable IPLC to manage and control their lands and resources, while the additional rights of exclusion for an unlimited duration and with protections against actions to extinguish rights together enable communities to ensure the security of their rights to forests. Sources of information: RRI’s forest tenure data includes analysis of the bundle of rights contained in the legal frameworks for community-based forest tenure in 52 countries (RRI 2014, Annex 3). 13 The assessment evaluation indicator excludes alienation because a preponderance of community-managed land is considered a priori inalienable based on community and statutory norms. 50 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 51 Scoring scale DESCRIPTION OF SCORE SCORE Laws recognize the full bundle of rights including rights to access, withdraw, manage and exclude, for an unlimited duration and with requirements for due process and compensation in cases of extinguishment of any rights by the 4 state (corresponds to RRI category 3: “ownership”) Laws recognize rights of IPLC to access, use and manage lands/resources and at least one but not all among rights 3 of exclusion, unlimited duration and due process/compensation (corresponds to RRI category 2: “designated for use”) Laws recognize rights of IPLC to access, use and/or manage lands and resources but not higher-level rights of 2 exclusion, unlimited duration and due process/compensation (corresponds to RRI category 2: “designated for use”) Laws for IPLC forest tenure recognize only basic community access or withdrawal rights that can be extinguished 1 with relative ease by the state (corresponds to RRI category 1: “administered by governments”) RECOGNITION OF A HOLISTIC “BUNDLE OF RESOURCES” 1.6 6 NATURAL RESOURCES ON FOREST LANDS: ARE RIGHTS TO OTHER NATURAL RESOURCES IN THE COMMUNITY’S LAND AREA (E.G., WATER, WILDLIFE, CARBON, MINERALS) SPECIFICALLY DEFINED BY LAWS? (Related indicators: PROFOR 14) Legal frameworks differ in their treatment of natural resources and ecosystem services within or tied to IPLC forest lands, such as water, wildlife, carbon, hydrocarbons and minerals. Frequently a distinction is made between land rights and rights to trees, and these may be dealt with separately in land laws and forest laws, respectively. Devolving these resource rights to IPLC provides a stronger basis for local livelihood benefits and reduces the risk of conflicts arising from overlapping rights and uses. Where states retain certain resources, as is frequently the case with sub-soil resources, best practice calls for clarity in the assignment of these rights as well as safeguards on resource use to avoid negative impacts on wider tenure rights to collective forest lands. [Note: the issue of legal clarity/safeguards connects with element 8 below.] Scoring scale DESCRIPTION OF THE SCORE SCORE Legal frameworks recognize rights to both land and trees/vegetation, and devolve rights to IPLC and/or define 4 safeguards for other resources tied to the land (e.g., carbon, wildlife, water, minerals) Legal frameworks recognize rights to both land and trees/vegetation, and devolve rights to IPLC and/or define 3 safeguards for at least some other resources tied to the land (e.g., carbon, wildlife, water, minerals) Legal frameworks recognize rights to both land and trees/vegetation on the land, but does not clarify rights to other 2 resources tied to the land (e.g., carbon, wildlife, water, minerals) Legal frameworks only recognize tenure rights over single resources, particularly to trees, without rights to land, or 1 vice versa 52 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 53 IMPLEMENTATION OF LEGAL RECOGNITION OF COMMUNITY FOREST LANDS 2 ACCESSIBLE AND EFFICIENT PROCEDURES FOR LEGAL RECOGNITION 2.1 7 CLEAR, ACCESSIBLE PROCEDURES: DOES THE LEGAL FRAMEWORK ESTABLISH CLEAR AND ACCESSIBLE PROCEDURES FOR THE FORMALIZATION OF COMMUNITY-BASED TENURE RIGHTS? (Related indicators: WRI 5; LandMark 3) From AF: Beyond the enactment of laws, tenure security requires that they be implemented through the recognition and transfer of legal rights over specific areas of forest land to specific IPLC. One constraint to the active implementation of legal frameworks for community-based tenure is procedures for legal recognition that are complex and/or inaccessible to communities. In some countries, such as in Papua New Guinea and Mozambique, the law avoids this challenge by automatically recognizing customary tenure rights without requirements for titling or registration (with the option for communities to register their land if they so choose) (Almeida 2017). In other countries, where the law requires procedures such as mapping, provision of evidence of customary use and/or institutional developments as a basis for demarcation and titling, it is important that these procedures remain simple and accessible – both in terms of costs and technical requirements (Almeida 2017; Blomley 2013; Fitzpatrick 2005). Even where not required, registration of community land has become increasingly important to avoid allocation of overlapping rights and guard against infringements. The following box – with material from LandMark Legal Indicator 3 – highlights several criteria for assessing procedures for the formalization of land rights: From LandMark (Wiley et al. 2016): “Best legal practice does not require IPLC to formalize their collective properties but does provide an easy route for their rights to be formalized in an official registry if they wish. As example, these elements need to be considered in scoring this indicator: § _Provision of procedure: Does the law provide a clear procedure for IPLC to follow, or is this left up to themselves to find a way to register their collective rights? § _Voluntary or compulsory?: Is the procedure obligatory in order for IPLC to be recognized as owners of their lands? Compulsory is usually accompanied by a time limit and failure to register those rights can further jeopardize tenure security. § _Accessibility: Is the procedure accessible to even the remotest IPLC? This may be assessed by whether or not the law or regulations under the law enable registration to occur in genuinely decentralized centers, including in community government or local commune and district offices. § _Assistance: Does the law make it obligatory for local governments or other state actors, or encourages civil society organizations (e.g., NGOs) to assist IPLC to make applications, such as where most members are illiterate and cannot easily complete forms? Does the law establish institutions, planning procedures or other administrative measures designed to facilitate the registration of IPLC property? § _Affordability: Without reading reports on the country, it will be difficult to assess this, but an indication of costs may be provided in regulations, or the main law itself may specify that the procedure is cost-free for IPLC or to be set at very low levels. § _Tangible evidence: Usually the primary evidence of registration is what is recorded in the land register, and from which an evidential title deed is issued. It is important for IPLC to receive paper evidence, along with a reasonably scaled map, that shows the location and boundaries of the territory in a clear, georeferenced and not easily disputable manner.” Sources of information: National-level analyses available on the LandMark platform that include information on legal personality and legal authority for some countries. 54 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Scoring scale DESCRIPTION OF THE SCORE SCORE Procedures are clear and accessible, available in the local language, and are accompanied by mechanisms to assist 4 communities with the formalization process Procedures are clear and accessible, but no mechanisms are in place to provide or encourage proactive assistance 3 to IPLC with the formalization process Procedures are established but do not meet most of the criteria of accessibility, affordability, voluntary basis, etc. 2 No procedures are established under law 1 2.2 8 OVERLAPPING RIGHTS: DO PROCEDURES FOR THE REGISTRATION AND MAPPING OF COMMUNITY FOREST RIGHTS INCLUDE EFFECTIVE MEASURES TO RESOLVE OVERLAPPING CLAIMS (I.E., RIGHTS ASSERTED BY PARTIES WHO ARE NOT COMMUNITY MEMBERS OVER PART OR WHOLE AREAS IN WHICH COMMUNITY FOREST RIGHTS ARE ASSERTED)? Scoring scale: DESCRIPTION OF THE SCORE SCORE Measures are in place and are generally effective in resolving overlapping claims 4 Measures are in place, but they are only partially effective 3 Measures are in place, but they are not able to resolve conflicts in a majority of cases 2 No measures are in place to resolve overlapping claims 1 IMPLEMENTATION OF LEGAL RECOGNITION TO ELIGIBLE AREAS AND GROUPS 2.3 9 EXTENT OF AREA FORMALLY RECOGNIZED: TO WHAT EXTENT HAVE FOREST LANDS BEEN FORMALLY RECOGNIZED UNDER FRAMEWORKS FOR COMMUNITY-BASED FOREST TENURE?14 (Related indicators: LGAF 3.1 & 3.4, PROFOR 104, WRI 9) The geographical extent of the area formally recognized under legal frameworks for community-based tenure is a key indicator of their implementation. Scoring of this indicator requires both an estimate of the total area of [customary] IPLC that could be formally recognized as well as information on the area of land that has been formally recognized to date. Since legal best practice does not require that rights be registered, forest lands that are formally recognized without requirements for registration are also included in this assessment of extent. The percent ranges used in this scoring scale are based on LGAF 3.4. Sources of information: LGAF indicator 3.4 addresses RRI forest data. However, this source does not include estimates of the total area of [customary] IPLC land that could be formalized. 14 In this indicator, as others that require quantitative data, the assessment calls for the best-available data to be used. In the absence of complete or reliable official data, non-official data sources may be used after evaluation of their accuracy and completeness. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 55 Scoring scale DESCRIPTION OF THE SCORE SCORE More than 70% of IP/community forest lands that could be registered under community-based tenure frameworks 4 have been formally registered; or IP/community lands are formally recognized without requirements for registration Approximately 40-70% of IP/community forest lands are mapped and registered 3 Approximately 10-40% of IP/community forest lands are mapped and registered 2 Less than 10% of IP/community forest lands are registered 1 Photo by Gerardo Segura Warnholtz / World Bank 56 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 57 APPROPRIATE REGULATIONS FOR LAND AND RESOURCE MANAGEMENT 3 SIMPLE AND APPROPRIATE TO THE OBJECTIVES OF THE REGULATION 3.1 10 JUSTIFICATION OF REGULATIONS ON THE BASIS OF PUBLIC INTEREST: ARE RESTRICTIONS ON LAND USE IN COMMUNITY LANDS JUSTIFIED ON THE BASIS OF PUBLIC INTEREST?15 (Related indicators: LGAF 4.1) From AF: Even where tenure rights to forest lands are legally recognized, management and withdrawal rights are often subject to further regulation, such as requirements for land use planning, forest management planning and permits for commercial use of resources. While such regulations can help to balance resource use with broader environmental or sustainability interests, they can be so onerous as to constitute a barrier to the ability of communities to generate any significant benefits from the resource. Ensuring that regulations on forest and land use are appropriate is essential for IPLC to realize opportunities for poverty reduction and economic growth from forest lands and resources. Regulations should enable sustainable local uses of forests and forest products, and restrictions on land or forest use should be clearly justified on the basis of public interest (LGAF/World Bank 2013). Scoring scale DESCRIPTION OF THE SCORE SCORE Regulations on land use in community lands are justified on the basis of public interest and required measures are 4 appropriate to the objectives of the regulation Regulations on land use in community lands are justified but required measures are not entirely appropriate to the 3 objectives of the regulation Regulations on land use in community lands are not fully justified and required measures are not appropriate to the 2 objectives of the regulation There is no basis in public interest for the regulations put on land use in community lands 1 EFFICIENT MANAGEMENT OF PERMITTING PROCESSES 3.2 11 EFFICIENT PROCESSES: ARE COMPLIANCE PROCEDURES FOR RESOURCE USE PERMITS HANDLED PROMPTLY, EFFECTIVELY AND COST-EFFECTIVELY? (Regulations for obtaining permits may include requirements such as preparation of management plans or other compliance procedures. This indicator assesses the extent to which such compliance procedures are handled promptly, effectively and cost-effectively, so as to enable sustainable productive activities that contribute to local livelihoods. Another consideration for the assessment is whether public agencies actively promote and facilitate compliance with permitting requirements by providing tools such as templates and guidance materials). 15 In cases where more than one set of regulations applies, (for example, regulations for land use planning, and regulations for the management of forest resources such as management plans), the assessment should evaluate each set of regulations and describe the results of each evaluation in the application of the score. The definition of public interest in the set of regulations should also be described and evaluated. 58 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Scoring scale: DESCRIPTION OF THE SCORE SCORE Process enables most communities seeking permits to obtain them 4 Process is generally efficient and many communities seeking permits are able to obtain them, but some improvements 3 are still needed Process is difficult and needs significant changes, though some communities seeking permits are able to obtain them 2 Process extremely onerous – very few communities seeking permits can manage to obtain them 1 3.3 12 EXTENT OF PERMITTING: HAVE MOST COMMUNITIES SEEKING PERMITS RECEIVED THEM? This indicator assesses the outcome of permitting processes, particularly the extent to which communities seeking permits have been able to obtain them. It requires an estimate of the number of communities seeking permits, as well as information on how many of those communities have received them. Scoring scale: DESCRIPTION OF THE SCORE SCORE More than 70% of communities seeking permits have received them 4 40-70% of communities seeking permits have received them 3 Approximately 10-40% of communities seeking permits have received them 2 No to almost no IP/community forest landholders permits issued 1 FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 59 Photo by Gerardo Segura Warnholtz / World Bank 60 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 61 EFFECTIVE SUPPORT FROM RESPONSIBLE GOVERNMENT AGENCIES16 4 PARTICIPATORY AND ADAPTIVE PROCESSES FOR DECISION MAKING ON FOREST TENURE-RELATED ISSUES 4.1 13 MECHANISMS FOR PARTICIPATION: DOES THE GOVERNMENT17 CREATE MECHANISMS FOR THE PARTICIPATION OF IPLC (INCLUDING WOMEN AND MARGINALIZED GROUPS) AND CIVIL SOCIETY (AND ITS ORGANIZATIONS) IN DECISION MAKING ON FOREST TENURE POLICY? (Related indicators: PROFOR 42, 38, 39) Participatory processes for the formulation of government laws, policies and regulations regarding IPLC tenure rights help to ensure that the rights and interests of local people are taken into account, and policies are adapted to local realities and needs. This indicator includes assessment of mechanisms for participation in relation to the development of: § Laws and policies for the recognition and protection of community-based forest tenure § Regulations on the use of community forest lands and resources (including commercial use) § Other forms of land tenure and land use affecting community-based forest tenure rights. Scoring scale DESCRIPTION OF THE SCORE IPLC REGULATIONS OTHER LAND SCORE FOREST ON FOREST USES AFFECTING TENURE USE TENURE RIGHTS Participation is required by law and mechanisms provide 4 genuine opportunities for input to policy making Participation is required by law, but mechanisms 3 remain inadequate Participation is limited: either it is not required 2 by law but informal mechanisms are sometimes provided, or it is required by law but not implemented Participation not required in law and mechanisms 1 for participation are rarely in place 16 Effective means that stated intentions result in the expected, desired outcomes within reasonable timeframes and costs. 17 Government here refers to all levels of government action relevant to the forest tenure policy process. Many policies are established at national levels. However, policy debate and consultation may include national, provincial and local mechanisms. Community participation for purposes of the assessment focuses on community organizations and organizations representing communities, and encompasses involvement in policy definition and implementation. 62 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT 4.2 14 GOVERNMENT CAPACITY FOR PARTICIPATORY DECISION MAKING: DO GOVERNMENTS (AT ALL LEVELS) HAVE CAPACITY TO ENGAGE RIGHTS-HOLDERS AND STAKEHOLDERS ON TENURE-RELATED DECISION MAKING?18 (Related indicators: PROFOR 43) In addition to establishing mechanisms for participation, governments must have capacity19 to engage rights-holders and stakeholders for those mechanisms to operate effectively. Scoring scale DESCRIPTION OF THE SCORE SCORE Governments at all levels have adequate capacity to engage rights-holders and stakeholders on tenure-related 4 decision making Most but not all arms of government have capacity to engage rights-holders and stakeholders on tenure-related 3 decision making Some arms of government have capacity to engage rights-holders and stakeholders on tenure-related decision making 2 Most arms of government lack capacity to engage rights-holders and stakeholders on tenure-related decision making 1 4.3 15 RIGHTS-HOLDER CAPACITY AND SUPPORT: DO RIGHTS HOLDERS HAVE THE CAPACITIES AND SUPPORT THEY NEED TO PARTICIPATE IN FOREST TENURE DECISION MAKING? (Related indicators: PROFOR 41, 42) Rights-holders must also have capacity and support to participate in decision making on forest tenure laws and policies, regulations and other land uses. Considerations for assessing capacity and support include aspects such as legal capacity to formulate inputs and responses to policy proposals, time and resources to organize and financial support to travel to and participate in policy meetings. Scoring scale DESCRIPTION OF THE SCORE SCORE Capacities and support are adequate to participate in forest tenure decision making 4 Significant capacity and support, but needs some improvement 3 Some capacity and support, but needs substantial improvement 2 Almost no capacity or support 1 18 Decision making refers to both decisions about the principles for how forest tenure rights are allocated, and about specific allocation of rights in specific locations and instances. 19 Capacity refers to the set of resources required to implement the engagement and includes institutional mandates within operational systems of governance, trained personnel, facilities for working, communicating and convening, and available budget over the course of the engagement. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 63 POLITICAL WILL AND ALIGNED INCENTIVES 4.4 16 FREEDOM FROM CONFLICTS OF INTEREST: ARE AGENCIES (INCLUDING KEY AGENCY PERSONNEL) RESPONSIBLE FOR FOREST TENURE POLICY AND IMPLEMENTATION FREE FROM CONFLICTS OF INTEREST? (Related indicators: LGAF 26.1; PROFOR 56) Agencies responsible for titling, registration and enforcement of community-based forest tenure must demonstrate political will to actively implement their roles. Conflicts of interest - which may stem, inter alia, from contrary personal interests/corruption, from inadequate separation of roles (e.g., responsibility for commercial land allocation that competes with support for IPLC tenure) and/or political interference in favor of more powerful constituencies - impede political will and the effective implementation of responsibilities. Scoring Scale DESCRIPTION OF THE SCORE SCORE Government agencies demonstrate political will in carrying out their tenure-related responsibilities, and are generally 4 free from conflicts of interest Government agencies often demonstrate political will in carrying out their tenure-related responsibilities, but some 3 conflicts of interest remain There are some conflicts of interest that impede the implementation of tenure-related roles by government agencies 2 Conflicts of interest are widespread and significantly impede the implementation of tenure-related roles by 1 government agencies CLEAR AND MUTUALLY SUPPORTIVE MANDATES FOR RESPONSIBLE GOVERNMENT AGENCIES 4.5 17 CLEAR AND DISTINCT MANDATES (HORIZONTAL): ARE MANDATES OF AGENCIES RESPONSIBLE FOR FOREST LAND TENURE MUTUALLY SUPPORTIVE AND NOT OVERLAPPING? (Related indicators: LGAF 26.2; PROFOR 26, 115) From AF: Clear and mutually supportive mandates are an enabling condition for government agencies to carry out their roles, particularly where implementation and proactive support for community forest tenure has been limited to date. Overlapping mandates are a frequent issue causing confusion and either lack of action or inconsistency in implementation (Segura et al. 2017). Mandates should be clear and mutually supportive both “horizontally” – across institutions responsible for different tenure-related functions – and “vertically” – across institutions at national, sub-national and local levels (LGAF/World Bank 2013; PROFOR/Kishor and Rosenbaum 2012). 64 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank Scoring Scale DESCRIPTION OF THE SCORE (LANGUAGE IS FROM LGAF 26.2) SCORE The mandated responsibilities exercised by the authorities dealing with land governance are non-overlapping with 4 those of other land sector agencies The mandated responsibilities of the various authorities dealing with land administration issues are defined with a 3 limited amount of overlap with those of other land sector agencies, but there are few problems The mandated responsibilities of the various authorities dealing with land administration issues are defined, but 2 institutional overlap with those of other land sector agencies and inconsistency is a problem The mandated responsibilities of the various authorities dealing with land administration issues are defined poorly, 1 if at all, and institutional overlap and inconsistency is a serious problem 4.6 18 CLEAR AND DISTINCT GOVERNMENT MANDATES (VERTICAL): ARE MANDATES OF AGENCIES RESPONSIBLE FOR FOREST LAND TENURE MUTUALLY SUPPORTIVE AND NOT OVERLAPPING BETWEEN NATIONAL AND SUB-NATIONAL LEVELS?20 (Related indicators: PROFOR 27; LGAF 26.3, 26.1) Scoring Scale DESCRIPTION OF THE SCORE (LANGUAGE IS FROM LGAF 26.3) SCORE Assignment of land-related responsibilities between the different levels of administration and government is clear 4 and non-overlapping Division of land-related responsibilities between the different levels of administration and government is clear with 3 minor overlaps Division of land-related responsibilities between the different levels of administration and government is 2 characterized by large overlaps Division of land-related responsibilities between the different levels of administration and government is unclear 1 20 Clear and distinct government mandates (vertical) includes not only the definition of mandates in regulations and instructions, but also the appropriate communication of the mandates and orientation of personnel at all levels to the mandate. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 65 CAPACITIES AND FINANCIAL RESOURCES FOR GOVERNMENT IMPLEMENTATION ROLES 4.7 19 GOVERNMENT CAPACITY AND RESOURCES: DO GOVERNMENT AGENCIES HAVE THE CAPACITIES AND FINANCIAL RESOURCES THEY NEED TO IMPLEMENT THEIR ROLES AND RESPONSIBILITIES FOR IPLC FOREST TENURE? (multiple PROFOR indicators on aspects of government capacity) This indicator assesses the extent to which government agencies have the skills and capacities they need to fulfill their tenure-related responsibilities, and the extent to which these are backed up with financial resources. Responsibilities include those related to titling or registration, management of land-related information systems, issuing of permits and enforcement of rights. Relevant dimensions of agency capacities and financial resources that should be taken into account in scoring this indicator include: § the presence of agency offices and services where needed § staffing with the skilled personnel required to implement their mandates § the use of appropriate and up-to-date technologies that enable greater efficiency and scale of implementation § the use of monitoring and adaptive management to assess and improve services provided § adequate budget allocations to carry out agency responsibilities. Scoring scale DESCRIPTION OF THE SCORE TITLING INFO SYSTEMS PERMITTING ENFORCE-MENT SCORE Land agencies generally have the 4 capacities they need to fulfill their responsibilities Land agencies have relevant 3 capacities, though some improvements are still needed Land agencies have some capacity, but 2 it needs substantial improvement Land agencies have very limited 1 capacity to carry out their responsibilities 66 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 67 EMPOWERED AND INCLUSIVE INDIGENOUS AND COMMUNITY GOVERNANCE 5 INCLUSIVE INSTITUTIONS AND DECISION-MAKING PROCESSES FOR COLLECTIVE ACTION 5.1 20 COMMUNITY INSTITUTIONS: ARE COLLECTIVE GOVERNANCE INSTITUTIONS ESTABLISHED THAT ENABLE ALL COMMUNITY MEMBERS TO PARTICIPATE IN DECISION MAKING ABOUT FOREST LAND TENURE AND GOVERNANCE? From AF: Inclusive community institutions are the foundation for effective decision making regarding collectively held forest lands. Community governance institutions will often already be in place, but may need new structures or capacities to take account of the interests of marginalized groups and deal with new pressures and challenges such as from commercial activities. Structures such as community assemblies with representation of all members of the community can enable inclusive and democratic decision making. At the same time, where traditional power structures have excluded some groups within the community, such as women, they may need support to effectively participate and call attention to their needs and land uses (FAO 2016). The scoring scale should be applied to the geographical area defined for the research – e.g., national or sub-national. Scoring scale DESCRIPTION OF THE SCORE SCORE Most landholding communities have institutions in place that enable all community members to participate in 4 decision making about local tenure rights and rules Many landholding communities have institutions in place that enable all community members to participate in 3 decision making about local tenure rights and rules, though need to be strengthened Some landholding communities have institutions in place that enable all community members to participate in 2 decision making about local tenure rights and rules, but most do not Most landholding communities do not have institutions in place that enable all community members to participate 1 in decision making about local tenure rights and rules 68 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank 5.2 21 GOVERNMENT SUPPORT: DO GOVERNMENTS PROVIDE SUPPORT FOR THE STRENGTHENING OF COMMUNITY INSTITUTIONS, AS REQUESTED BY COMMUNITIES THEMSELVES?21 Scoring scale DESCRIPTION OF THE SCORE SCORE Governments provide sufficient support to assist landholding communities in strengthening institutions for 4 collective governance Support is available to assist landholding communities in strengthening institutions for collective governance, but 3 does not fully address community needs Some limited support is available to assist landholding communities in strengthening institutions for collective governance 2 No support mechanisms are in place to assist landholding communities in strengthening institutions for collective governance 1 COMMUNITY LAND GOVERNANCE PLANS22 5.3 22 EXISTENCE OF COMMUNITY PLANS: HAVE MOST IPLC LANDHOLDERS DEVELOPED GOVERNANCE PLANS FOR THEIR LANDS/TERRITORIES? From AF: Flexibility to set locally adapted rules for land and resource management are associated with positive forest and livelihoods outcomes (Persha, Agrawal, & Chhatre 2011). Many communities also choose to develop holistic land or territorial governance plans—such as the “life plans” developed by many indigenous communities in South America – that articulate the vision of the community for the stewardship and use of their lands, territories and resources in accordance with community (cultural, social and economic) values and worldviews. Participation by all members of the community in the definition of local uses and rules provides a foundation for sustainable forest management and livelihood outcomes. Community land governance rules or plans also provide the basis for monitoring and enforcement of agreed uses, both within the community and in relation to outsiders. Maps and spatial plans often form a central part of governance plans, enabling visualization of the geographical distribution of resources, uses and management activities. 21 Support refers to the resources required to make community institutions effective in their roles. This may include activities such as training or mediation by extension workers or NGOS, or the presence of officials to pursue and complete the process in an orderly manner. It may include support for travel or mobilization for community organization representatives to participate in discussions, negotiations and official procedures. Community institutions refers to leadership structures, decision-making processes, and organizations representing the community. 22 In this indicator, plans/rules refer to community driven and agreed instruments and not other planning requirements that are required and imposed by the government (e.g., forest management plans, which in most cases are required by law for communities to obtain a permit for using resources commercially). FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 69 The scoring scale should be applied to the geographical area defined for the research – e.g., national or sub-national. Scoring scale DESCRIPTION OF THE SCORE SCORE Most communities have strong governance plans/rules in place for their collective lands 4 Many communities have local governance plans/rules in place for their collective lands, but gaps remain in coverage 3 and/or in the strength of these plans Some communities have local governance plans/rules in place for their lands, but most do not 2 Communities generally do not have local governance plans/rules in place for their lands/territories 1 5.4 23 SUPPORT COMMUNITY PLANNING: DO COMMUNITIES HAVE ACCESS TO TECHNICAL AND OTHER SUPPORT TO DEFINE THEIR LAND GOVERNANCE PLANS? Scoring scale DESCRIPTION OF THE SCORE SCORE Governments provide sufficient support to landholding communities to develop their land governance plans 4 Support is available to assist landholding communities to develop their land governance plans, but does not fully 3 address community needs Some limited support is available to assist landholding communities to develop their land governance plans 2 No support mechanisms are in place to assist landholding communities to develop their land governance plans 1 CAPACITIES AND FINANCIAL RESOURCES FOR TENURE SECURITY ROLES OF COMMUNITY INSTITUTIONS 5.5 24 CAPACITY AND FINANCIAL RESOURCES OF COMMUNITY INSTITUTIONS: DO COMMUNITY INSTITUTIONS HAVE THE SKILLED PERSONNEL THEY NEED TO CARRY OUT THEIR TENURE SECURITY ROLES? From AF: As with governments, community institutions need specific skills and capacities, as well as resources, to carry out their tenure-related roles and responsibilities. Some capacities, such as traditional knowledge and practices, are maintained locally, while skills related to new activities or demands may need to be developed with support from service providers. Financial resources may be generated from community economic activities, from benefit-sharing arrangements, and/or from government or other outside support. As in the indicator on government capacities above, these indicators will need to be applied in relation to each specific role that is relevant to the assessment context. These include (in separate columns): preparation of materials needed for titling/registration, implementation of land governance plans and monitoring/enforcement. 70 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Scoring scale DESCRIPTION OF THE SCORE TITLING/ LAND MONITORING/ SCORE REGISTRATION GOVERNANCE ENFORCEMENT Communities largely have the capacities and 4 resources they need to carry out their tenure security roles Communities have relevant capacities and some 3 level of resources to sustain them, but some improvements are needed Communities have some capacity and resources 2 that need to be increased substantially Most communities have very limited capacities 1 and financial resources MULTI-LEVEL LINKS TO ADVOCACY AND SUPPORT ORGANIZATIONS 5.6 25 MULTI-LEVEL LINKS: ARE IPLC AND/OR CIVIL SOCIETY NETWORKS ACTIVELY PROVIDING ADVOCACY CHANNELS AND SUPPORT FOR COMMUNITY-BASED INSTITUTIONS? (Related indicators: PROFOR 58; WRI 8) From AF: Securing and maintaining community forest tenure rights often requires ongoing engagement with national or regional policy processes, for example to monitor and shape changes that may impact community rights, and to advocate against rollbacks. Links with representative IPLC organizations—such as IPLC forestry federations, as well as broader coalitions and networks of civil society support, have often been important for this purpose (FAO 2016; Cronkleton et al. 2011; Lawry et al. 2012). At a more technical level, community-based institutions may seek support to build capacities to fulfill various aspects of their tenure-related roles and responsibilities. Scoring scale DESCRIPTION OF THE SCORE SCORE Communities are well linked to networks and organizations that can provide support for implementation and 4 protection of tenure rights Communities have some links to wider networks and organizations, but these links need strengthening 3 Communities have limited links to wider networks and organizations 2 Communities have few sources of support 1 FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 71 Photo by Gerardo Segura Warnholtz / World Bank 72 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 73 SYSTEMS FOR RECORDING COMMUNITY FOREST TENURE RIGHTS 6 INFORMATION IS COMPREHENSIVE AND ACCURATE 6.1 26 MANAGEMENT OF INFORMATION ON COMMUNITY-BASED FOREST TENURE: TO WHAT EXTENT DOES THE GOVERNMENT MAINTAIN HIGH QUALITY INFORMATION ABOUT COMMUNITY-BASED FOREST TENURE RIGHTS? (Related indicators: LGAF 19, 18.1 & 18.2; PROFOR 106, WRI 7) Scoring scale From AF: Maintaining comprehensive and accurate information is essential for land information systems to serve their purpose of avoiding overlapping and conflicting claims. It is particularly important to record community-based tenure rights to protect against allocations of community land to other actors or land uses. In addition to formal rights, information systems should include or link to information regarding customary and informal rights (not yet recognized under statutory legal frameworks) to prevent infringements and conflicts with these rights (WRI/Davis et al. 2012). DESCRIPTION OF THE SCORE SCORE The government maintains a comprehensive and up-to-date record of collective forest tenure rights 4 There is a system for recording collective forest tenure rights, but some gaps remain in terms of 3 comprehensiveness and regular updating There is a system for recording collective forest tenure rights, but it is not comprehensive or up to date 2 Information is not systematically maintained 1 ACCESSIBILITY OF THE SYSTEM 6.2 27 AVAILABILITY OF LAND INFORMATION AND RELATED DATA RELEVANT TO COMMUNITY- BASED FOREST TENURE: IS INFORMATION ABOUT COMMUNITY-BASED FOREST TENURE ACCESSIBLE AND SHARED TO ENSURE CLARITY OF RIGHTS? (Related indicators: LGAF 18.7, 26.4) From AF: For forest tenure information systems to remain up to date, they must be accessible to users and enable them to record, maintain, update and communicate tenure rights. A critical element of accessibility is low cost, which is best achieved through the use of appropriate technology. This may refer in whole or in part to data sharing arrangements among institutions and also data made accessible to the public through National Spatial Data Infrastructure (NSDI). 74 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Scoring scale DESCRIPTION OF THE SCORE (LANGUAGE IS FROM LGAF 26.4) SCORE Land rights information is available to users at a low cost and is readily accessible, because information is 4 maintained in a uniform way Land rights information is available to users; while this information is available at a low cost, it is not readily 3 accessible because it is not maintained in a uniform way Land rights information is available to users; however, this information is not readily accessible or available at a 2 low cost Land rights information is not available to users as a matter of policy or practice 1 FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 75 Photo by Gerardo Segura Warnholtz / World Bank 76 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 77 ENFORCEMENT OF TENURE RIGHTS 7 Two dimensions of the assessment relevant for this key element of enforcement of tenure rights are: § capacities and mutual support among institutions responsible for enforcement activities § effective implementation of monitoring and enforcement systems. 7.1 28 SANCTIONS: ARE SANCTIONS AGAINST ENCROACHMENT AND OTHER VIOLATIONS OF COMMUNITY-BASED FOREST TENURE RIGHTS SUFFICIENT TO DETER CRIMES?23 Sanctions define the possible consequences for violations of forest tenure rights. They need to be sufficient to suppress and deter violations. Scoring scale DESCRIPTION OF THE SCORE SCORE Sanctions are significant and sufficient to deter tenure-related crimes 4 Sanctions deter some tenure-related crimes, but need to be strengthened further 3 Sanctions are limited in deterring tenure-related crimes and need to be strengthened significantly 2 Sanctions for violations of tenure rights are very minor and do not deter tenure-related crimes 1 7.2 29 LAW ENFORCEMENT IMPLEMENTATION: ARE ACTIONS TO PREVENT, DETECT AND SUPPRESS ENCROACHMENT AND ILLEGAL ACTIVITIES ON COMMUNITY LANDS CARRIED OUT EFFECTIVELY BY LAW ENFORCEMENT AGENCIES? (Related indicators: PROFOR 3.2.3/96) Following PROFOR (Kishor and Rosenbaum 2013), this question considers three classes of law enforcement activities: prevention, detection and suppression – as follows (adapted from PROFOR indicator 96): § Prevention includes activities to stop crimes from happening. These include forest patrols, and also activities like education of the public about lawful and unlawful forms of access, use and cooperation with forest dependent communities. Cooperation with forest-dependent communities includes actions that encourage the community members to support the law and to bring social pressure against other community members who ignore the law. § Detection includes actions to make the government aware of when a crime has occurred and to discover who is responsible for the crime. § Suppression means efforts to stop ongoing offenses; bring present and past offenders into the justice system to seek suitable punishment or restitution; and discourage convicted offenders from committing further offenses. 23 This indicator refers to both community defined sanctions, and sanctions from the country legal system. The evaluation should take both types of sanctions into account in application of scoring. 78 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT A consideration across these types of law enforcement efforts is the extent of cooperation and coordination with community-level enforcement activities. Scoring scale DESCRIPTION OF THE SCORE SCORE The government implements effective processes to prevent, detect and suppress encroachment and other 4 violations of forest tenure rights The government implements significant actions to prevent, detect and suppress encroachment and other violations 3 of forest tenure rights, but some improvements are still needed The government implements some actions to prevent, detect and suppress encroachment and other violations of 2 forest tenure rights but significant improvements are needed The government does not implement actions to prevent, detect and suppress encroachment and other violations of 1 forest tenure rights 7.3 30 ENFORCEMENT RESULTS: ARE ILLEGAL ACTIVITIES DETECTED AND STOPPED? (Related indicators: PROFOR 95, 96, 97) This indicator assesses outcomes of enforcement activities, with a particular focus on the extent to which enforcement is followed through to effective prosecution and is successful in stopping the illegal activity. Scoring scale DESCRIPTION OF THE SCORE SCORE Illegal activities are usually stopped and effectively prosecuted 4 Many illegal activities are stopped and effectively prosecuted 3 Some illegal activities are stopped but remain widespread 2 Almost no illegal activities are stopped 1 FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 79 Photo by Heriberto Rodríguez 80 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 81 RESPECT FOR AND PROTECTION OF COMMUNITY TENURE RIGHTS IN RELATION 8 TO OTHER LAND USES LEGAL CLARITY ON RESPECT FOR COMMUNITY-BASED TENURE RIGHTS 8.1 31 RESOLUTION OF OVERLAPPING TENURES IN LAW: DOES THE LEGAL FRAMEWORK ENSURE THAT COMMUNITY TENURE RIGHTS ARE RESPECTED AND PROTECTED IN RELATION TO OTHER FORMS OF TENURE AND LAND USE? (Related indicators: LGAF 26.5) From AF: Where legal frameworks for various forms of tenure and land use have been developed at different historical moments, there may be a lack of clarity on how they relate to one another in situations of geographical overlap. For example, protected areas legislation has sometimes preceded the enactment of laws recognizing customary tenure, without sufficient clarity on how to reconcile overlaps in ways that respect IPLC rights (Springer and Almeida 2015). Another form of geographical overlap that requires legal clarity is the situation of overlapping resource rights, such as sub-soil rights often retained by states within formally recognized communal lands. A related issue concerns the extent to which customary or informal land and resource rights are taken into account prior to their formal recognition in statutory law. This indicator focuses whether legal frameworks clarify how forms of tenure and land use relate to one another (such as whether one or the other takes precedence) in ways that respect and protect (formal and informal) community-based tenure. The following indicator (8.2) focuses on the extent to which measures to resolve overlaps are implemented in practice. Scoring scale DESCRIPTION OF THE SCORE SCORE Legal frameworks generally provide guidance on overlapping tenures in ways that respect and protect collective tenure 4 Legal frameworks provide guidance on overlapping tenures in ways that often respect and protect collective 3 tenure, but need to be strengthened in some respects Legal frameworks provide some guidance on overlapping tenures, but these often do not protect community tenure 2 and land use Legal frameworks generally do not clarify how to address overlapping tenures 1 82 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT 8.2 32 RESOLUTION OF OVERLAPPING TENURE IN PRACTICE: ARE MEASURES TO ENSURE COMMUNITY TENURE RIGHTS ARE RESPECTED AND PROTECTED IN RELATION TO OTHER FORMS OF TENURE AND LAND USE IMPLEMENTED IN PRACTICE? Scoring scale DESCRIPTION OF THE SCORE SCORE Measures to resolve overlaps are consistently implemented in practice 4 Measures to resolve overlaps are often implemented in practice although some gaps remain 3 Measures to resolve overlaps are only implemented in some cases 2 Measures to resolve overlaps are generally not implemented and many conflicts remain 1 MECHANISMS FOR RURAL POLICY COHERENCE 8.3 33 COORDINATION MECHANISMS: ARE EFFECTIVE GOVERNMENT MECHANISMS IN PLACE FOR COORDINATION AND COHERENCE ON POLICIES THAT MAY AFFECT FOREST TENURE RIGHTS? (Related indicators: PROFOR 24, 117) From AF: Pressures and demands on communal lands are often driven by policies in other sectors - for example, those focused on rural development, energy, mining, transportation or conservation (Kishor and Rosenbaum 2012). Therefore, countries need to have mechanisms in place for active cross-sectoral coordination between agencies responsible for supporting implementation of community-based tenure and those concerned with other rural policies and land uses. These mechanisms should ensure that other policies and programs for rural development, conservation, REDD+, etc., take account of customary and other legitimate forest rights and promote synergies rather than competing pressures. Scoring scale DESCRIPTION OF THE SCORE SCORE Coordination mechanisms are in place and function effectively to promote coherence on policies and plans 4 affecting forest tenure Coordination mechanisms are in place and functioning, but need to be strengthened 3 Coordination mechanisms have been developed but do not function in practice 2 Coordination mechanisms for policies and plans that may affect forest tenure are not in place 1 FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 83 STRONG SAFEGUARDS TO AVOID INFRINGEMENTS ON COMMUNAL TENURE RIGHTS 8.4 34 JUSTIFICATION FOR LAND DESIGNATIONS: ARE CLEAR AND APPROPRIATE STANDARDS/ CRITERIA ESTABLISHED AND APPLIED TO THE DESIGNATION OF LARGE-SCALE CONCESSIONS AND PUBLIC LANDS IN FOREST LANDSCAPES?24 (Related indicators: LGAF 10.1, 14.6, 14.7; WRI 14, 15, 16, 17)] Large-scale land acquisitions (LSLA) for commercial investment and designation of protected areas are two of the main sources of overlapping tenure/land use and potential conflicts with IPLC forest tenure rights. This indicator focuses on standards for decision making regarding LSLA and public land designation (such as for protected areas), with a particular focus on checks on arbitrary decision making that increases the risk of infringements and conflicts. Considerations for assessing against this indicator include (Note: most are adapted from WRI 14 & 15): § Definition and application of clear and appropriate criteria to regulate land allocation and designation decisions § Land allocations and designation of state lands are in the public interest § Land allocations and designation take account of existing rights of IP/communities, regardless of registration status § Prior consultation required and undertaken for decisions that may have social or environmental impacts § Decisions are subject to effective anti-corruption and oversight mechanisms § Decisions are consistent with broader national social, environmental and economic objectives. Scoring scale DESCRIPTION OF THE SCORE SCORE Standards for land allocation and designation are in place and generally adhered to in practice 4 Standards for land allocation and designation are in place and are often adhered to in practice, but gaps remain 3 Some standards for land allocation and designation are in place but with limited application in practice 2 Standards for land allocation and designation are not in place 1 24 Standards or criteria are usually established by the Government, but in certain cases there may be industry standards or external criteria and monitoring applied. 84 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT 8.5 35 ARE FREE, PRIOR AND INFORMED CONSENT (FPIC) REQUIREMENTS ESTABLISHED AND APPLIED FOR ANY OUTSIDE INVESTMENT OR RESTRICTIONS ON LAND USE?25 (Related indicators: LGAF 15.3; LandMark 7)] Beyond general standards for consultation for large-scale land acquisitions or establishment of protected areas, FPIC protects customary forest land and resource rights from infringements. FPIC has been adopted in international instruments on the rights of indigenous peoples, such as ILO 169 and the UN Declaration on the Rights of Indigenous Peoples, and is increasingly recognized as best practice for safeguarding the tenure rights of all project-affected people (Oxfam 2010). Well-functioning procedures for FPIC are particularly essential in any situations that may involve relocation or restriction of resource access and use. In addition, in any case where outside actors seek to make (economic or conservation-related) investments in or potentially affecting areas of customary forest land, free, prior FPIC helps avoid conflicts and enable, when desired, the development of partnerships between communities and outside actors. DESCRIPTION OF THE SCORE LSLA26 PA SCORE FPIC required by law and generally observed in practice 4 FPIC is required by law but implementation needs to be strengthened 3 FPIC is not required by law, but some consultation processes occur on an ad hoc basis 2 or FPIC is required in law but not observed FPIC is not required by law or observed in practice 1 8.6 36 BENEFIT-SHARING: ARE REQUIREMENTS REGARDING BENEFIT-SHARING LEGALLY ESTABLISHED AND APPLIED TO ACTIVITIES ON OR AFFECTING COMMUNITY FOREST LANDS? (Related indicators: LGAF 15.4) Where rights-holders agree to investment or conservation activities on forest lands they hold, benefit-sharing arrangements help to ensure that communities receive a fair share of the benefits arising from those activities and/or that costs incurred receive some compensation. Benefit-sharing arrangements should be freely and transparently negotiated and documented in land use agreements. It is a good practice if the benefit-sharing arrangement includes special provisions to ensure women and other marginalized groups are not discriminated against and receive their fair share. 25 There is no universally accepted definition of FPIC. For the purposes of the Analytical Framework, FPIC is established according to the World Bank’s Environmental and Social Framework (ESS7 on indigenous peoples/Sub-Saharan African historically underserved traditional communities), which states that: (a) The scope of FPIC applies to project design, implementation arrangements, and expected outcomes related to risks and impacts on the affected indigenous peoples/Sub-Saharan African historically underserved traditional local communities; (b) FPIC builds on and expands the process of meaningful consultation, and will be established through good faith negotiation between the Borrower and affected indigenous peoples/ Sub-Saharan African historically underserved traditional local communities; (c) The Borrower will document: (i) the mutually accepted process to carry out good faith negotiations that has been agreed by the Borrower and indigenous peoples/Sub-Saharan African historically underserved traditional local communities; and (ii) the outcome of the good faith negotiations between the Borrower and indigenous peoples/Sub-Saharan African historically underserved traditional local communities, including all agreements reached as well as dissenting views; and (d) FPIC does not require unanimity and may be achieved even when individuals or groups within or among affected indigenous peoples/Sub-Saharan African historically underserved traditional local communities explicitly disagree (World Bank 2017). 26 Large Scale Land Acquisition FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 85 Photo by Gerardo Segura Warnholtz / World Bank Scoring scale DESCRIPTION OF THE SCORE LSLA PUBLIC LAND/PAS SCORE Benefit-sharing is required by law and benefit-sharing arrangements are 4 usually specified in agreements for investment or conservation activities Benefit-sharing is required by law, but benefit-sharing arrangements are not 3 routinely included in relevant contractual arrangements Benefit-sharing is not required by law, but arrangements are sometimes 2 included in agreements for investment or conservation activities Benefit-sharing is not required by law, and arrangements are rarely included 1 in agreements for investment or conservation activities 86 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT 8.7 37 EXPROPRIATE AND COMPENSATION: WHEN EXPROPRIATION OF COMMUNITY LAND HAS BEEN ACTUALLY EXERCISED AS (OR IS SEEN AS) THE ONLY ALTERNATIVE TO SERVE THE PUBLIC INTEREST, HAS IT BEEN (OR WILL IT BE) ACCOMPANIED BY FAIR COMPENSATION? (Related indicators: LGAF 12.1, 12.2, 12.3, 12.4, 12.5; PROFOR 111) In light of the severe negative impacts on collective tenure (and related livelihoods and cultures) associated with expropriation of land and involuntary restrictions on resource access and use, significant effort has gone into the development of best practice safeguards to avoid and mitigate impacts. Key considerations for assessment in line with these best practices include (adapted from LGAF Indicator 12): § Expropriation is avoided as much as possible through exhaustive review of alternatives § Decisions regarding expropriation and compensation are made with consultation and consent § Compensation is paid regardless of registration status § Compensation allows maintenance of previous social and economic status § Compensation is also paid for loss of rights due to land use changes § Compensation is paid promptly § There are independent, accessible and timely avenues of appeal to decisions regarding expropriation and compensation. Scoring scale DESCRIPTION OF THE SCORE LSLA PAs SCORE Standards regarding expropriation and compensation are established in line with best 4 practice and are effectively implemented Standards regarding expropriation and compensation are established in line with best 3 practice but implementation is not yet fully consistent or effective Standards regarding expropriation and compensation are established but need 2 improvements to be in line with best practice and/or implementation is weak Standards regarding expropriation and compensation are not established or are not in 1 line with best practice FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 87 8.8 38 NATURAL RESOURCE RIGHTS: WHERE STATES RETAIN OWNERSHIP OF LAND, ARE USE RIGHTS TO KEY NATURAL RESOURCES LEGALLY RECOGNIZED AND PROTECTED IN PRACTICE? (Related indicators: LGAF 3.2) DESCRIPTION OF THE SCORE (LANGUAGE IS FROM LGAF 3.2) SCORE Users’ rights to key natural resources are legally recognized and consistently and effectively protected in practice 4 throughout Users’ rights to key natural resources are legally recognized, but only some are effectively protected in practice or 3 enforcement is difficult and takes a long time Users’ rights to key natural resources are not legally recognized, but enjoy de facto protection in virtually all cases 2 Users’ rights to key natural resources are not legally recognized and are often not protected in practice 1 8.9 39 COMPLIANCE WITH SOCIAL AND ENVIRONMENTAL STANDARDS: IS COMPLIANCE WITH SOCIAL AND ENVIRONMENTAL STANDARDS REQUIRED AND ENFORCED EFFECTIVELY?27 (Related indicators: LGAF 16.2, 16.3; PROFOR 37, 62; WRI 21, 22) Beyond the initial negotiation of agreements regarding investments or other activities on collectively held forest lands, monitoring is required to ensure that such outside investments/activities do not generate negative social or environmental impacts over time. This indicator assesses whether governments require businesses and NGOs operating in forest areas to comply with social and environmental sustainability standards. A key consideration for assessment here is whether compliance is monitored and enforced. Scoring scale DESCRIPTION OF THE SCORE SCORE Governments require adherence to social and environmental standards and effectively monitor and enforce compliance 4 Governments require adherence to social and environmental standards and undertake some monitoring and 3 enforcement, but it is not consistent. Governments require adherence to social and environmental standards, but there is limited monitoring and 2 enforcement of compliance Governments do not require that businesses or NGOs meet social and environmental standards for ongoing 1 activities in communal forest areas 27 Different standards may be applied depending on the national context and the implementation of specific programs or projects. The assessment should identify which standards are relevant and utilized by government for forest tenure reform. 88 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 89 CONFLICT AND DISPUTE RESOLUTION 9 ACCESSIBLE AND COMPETENT MECHANISMS ARE IN PLACE TO RESOLVE CONFLICTS AND DISPUTES OVER TENURE RIGHTS 9.1 40 ACCESSIBILITY: ARE TENURE DISPUTE/CONFLICT RESOLUTION BODIES (INFORMAL AND/ OR FORMAL) ACCESSIBLE TO COMMUNITIES? (Related indicators: LGAF 24.2, PROFOR 110, WRI 12) Independent, reliable and accessible dispute resolution mechanisms are key to ensuring justice and land tenure security. The mechanisms assessed may be formal (government) and/or informal (customary, community) mechanisms. In recording the assessment data and scores, the assessor should define which mechanism(s) are being assessed. Considerations to take into account in assessing formal and/or informal mechanisms include: § The location of the dispute/conflict resolution body, particularly distance from the communities who need to access it28 § The cost of pursuing a mediation or case through the mechanism § The language used for proceedings of the mechanism and familiarity of the cultural setting and dynamics § The need for and availability of legal assistance to community members for them to be effectively represented through the mechanism. Scoring scale DESCRIPTION OF THE SCORE SCORE IPLC are able to access mechanisms to resolve land-related conflicts/disputes 4 Mechanisms are in place, but some constraints remain on the ability of IPLC to access them 3 Mechanisms are in place, but they are difficult for IPLC to access 2 No tenure dispute/conflict resolutions available 1 9.2 41 CAPACITY: DO DISPUTE RESOLUTION BODIES (INFORMAL AND/OR FORMAL) HAVE THE MANDATES, PERSONNEL, EXPERTISE AND FINANCIAL RESOURCES NEEDED TO RESOLVE TENURE DISPUTES? (Related indicators: LGAF 24.1, WRI 11) Effective dispute resolution requires that dispute resolution bodies have the capacity to hear and resolve tenure disputes. Aspects of capacity to consider in assessing against this indicator include (adapted from WRI 11): 28 This indicator refers to both disputes within the community about decision-making processes or their outcomes, or disputes between communities (for example on boundaries/land use conflicts). 90 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT § Dispute resolution bodies have the authority to make decisions and have them respected by others § Dispute resolution bodies have expertise in relevant tenure laws, systems and practices, including customary systems, and in alternative means of resolving disputes, such as mediation § Dispute resolution bodies have sufficient human resources to handle their case volume § Dispute resolution bodies have sufficient financial resources to handle their case volume. Scoring Scale DESCRIPTION OF THE SCORE SCORE Dispute resolution bodies have sufficient capacity to resolve issues regarding IPLC tenure rights 4 Dispute resolution bodies have substantial capacity, but remain limited in some ways 3 Dispute resolution bodies have some capacity 2 Dispute resolution bodies have very limited capacity 1 9.3 42 EFFECTIVENESS OF DISPUTE RESOLUTION: ARE DISPUTES REGARDING TENURE RIGHTS GENERALLY RESOLVED IN A TIMELY, FAIR AND TRANSPARENT MANNER? (Related indicators: LGAF 24.3 & 24.4; PROFOR 102 & 103; WRI 13) Considerations for the effectiveness of dispute resolution include (adapted from WRI 13): § Timeliness of the dispute resolution process § Fairness: decisions are based on the evidence and arguments presented by all parties, and parties see the decisions as legitimate and not inappropriately influenced by unfair power relations § Transparency: decisions are documented and disclosed § Enforcement: decisions are enforceable and enforced in a timely manner. Scoring scale DESCRIPTION OF THE SCORE SCORE Dispute resolution processes are generally effective, with a low incidence of unresolved conflict 4 Dispute resolution processes are often effective, but some conflicts remain unresolved 3 Dispute resolution processes are somewhat effective, but many conflicts remain unresolved 2 Dispute resolution processes are generally ineffective/most conflicts remain unresolved 1 FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 91 Photo by Gerardo Segura Warnholtz / World Bank 92 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 93 APPENDIX 3 PILOT COUNTRY FINDINGS DEMOCRATIC REPUBLIC OF CONGO, MYANMAR AND ZAMBIA29 Implementation of the Forest Tenure Assessment Tool B. Carrying out the FTAT - Methodology, adaptation (FTAT) has generated a strong rationale for action, and stakeholders. policy-relevant diagnostic information and practical policy guidance in each of the three pilot countries. C. Key findings and conclusions from the These substantive results give immediate insight into opportunities and risks assessment are presented. the status of forest tenure security in each country and D. How to secure forest tenure - Assessment results an orientation to the major issues and opportunities for by key element and policy recommendations progress. These findings are expected to feed directly (FTAT Appendix 2) into ongoing internal policy dialogues in each country and encourage consensus about the underlying E. Policy roadmap - This represents the practical contextual conditions among stakeholders. vision for strengthening forest tenure security generated from the national stakeholder Country findings include outputs of each of these validation workshop and succeeding policy methodologies: discussions within an FTA. A. Making the case for forest tenure security - A brief introduction is made to contextualize forest tenure security 94 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 95 DEMOCRATIC REPUBLIC OF CONGO A. MAKING THE CASE FOR FOREST TENURE regulations in a complex cultural and social context is SECURITY: intrinsically challenging. Further, the past few decades have seen pronounced conflict: DRC has only recently INTRODUCTION emerged from a prolonged period of civil war, the Seventy percent of the population of the Democratic roots of which were in part related to land. Republic of Congo (DRC) depends on forests for their livelihood, highlighting the critical importance of this These factors point to relatively weak conditions for resource. However, chronic insecurity of and conflict community-based forest tenure security throughout over land and forest rights is the dominant condition the country. However, there are many encouraging across the DRC. Despite the 1973 Land Law that signs. Persistent conflicts over land have created established state ownership of all lands, a parallel a strong drive for reforms by CSOs/NGOs, local system of customary ownership and management communities (including traditional authorities) and prevails across the vast majority of land. other stakeholders. Businesses are accustomed to working in these complex and insecure conditions The primary avenue for formalization of community and have strong interest in improving tenure rights are concessions. However, the 2002 Forest Law security. Additionally, the debates on forest policy only recognizes the community forest concessions formulation and land law reform show that the limited to 50,000 hectares in size, a limitation on current political regime has an expressed interest in ancestral rights that often exceed this scale. Further, the needs of the population. even though the 2014 decree clarified the modalities of access to forest concessions for local communities, Many bilateral and multilateral efforts are underway costs of the formalization and compliance with with natural resources, creating opportunities and the regulations is a barrier to most communities. Legal motivation for political reforms. Given the complexity ambiguities, contradictions between historically of local conditions in as diverse a country as the DRC, established customary rights and statutory rights, special attention must be placed on a community- a multiplicity of evolving customary rights, a lack centric vision and social-oriented approach to of formalization procedures and a widespread forest tenure security. Thus, considering the limited implementation gap for formal codes and regulations capacities of the state, reforms carried out should be have limited the realization of adequate community- adapted, not only to the local context, but also to the based forest tenure security.29 reality and existing challenges within the state itself. This is the guarantee of reform implementation. Issues related to governance extend far beyond the formalization of forest rights. Rights for women, while Land and forest legal framework: improving from a legal perspective, are severely § Who owns forested land? Land is owned the state/ unequal in reality, owing to customary biases in favor of government. The 1973 Land Law conveys the ability men and a legal arsenal focused on non-discrimination to use land (formally concessions). There is no legal instead of strategies to enforce equality. framework in the DRC specifically dedicated to Issues are compounded by a state that is still in the IPLC land rights, although the customary system process of formation, and a remote, largely roadless of land rights currently exists alongside the formal geography where implementation of state laws and system. In many cases, these customary rights are 29 The final pilot phase synthesis report and full country reports for DRC, Myanmar and Zambia are available respectively at: https:// documents.worldbank.org/en/publication/documents-reports/documentdetail/985171598633319925/;https://documents.worldbank. org/en/publication/documents-reports/documentdetail/690411598636444226/;https://documents.worldbank.org/en/publication/ documents-reports/documentdetail/383531594388453664/;https://documents.worldbank.org/en/publication/documents-reports/ documentdetail/531591598634181781/. 96 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT perceived by communities to have supremacy over cover an estimated 155.5 million hectares (including statutory rights. 99 million hectares of humid forest), or 67% of the national land mass, representing almost half of § Who owns the trees? Trees are owned by the Africa’s tropical rain forests. REDD+ projects have state/government and are regulated by the 2002 been ongoing since 2012 in the DRC and have been Forest Code. After obtaining a concession, most the impetus to reform the Land Tenure Policy, Land forest resources can be accessed by communities Law as well as the creation of a Land Use Planning (depending on the classification of the forest law, Policy and Law. Implementation of carbon credit which is severely limited compared to customary payment projects is sporadic and current tenure practices). regimes may exacerbate existing inequality. § Who manages the forests? Rights to use land are Deforestation – Extent of problem and key drivers: granted through concessions. Communities can seek concessions that permit management of forests § Deforestation in the DRC, the largest country in the up to 50,000 hectares. Specific management and region, has increased from a rate of 0.31% from 1990 use rights depend on the classification of the forest to 2010 (MECNDD 2015) to 0.52% a year from 2010 to and guidelines in management plans. Within limits, 2014 (Environews 2015). Current forest tenure systems communities may have considerable management contribute to deforestation by not restricting harvests control of forests under concession. Again, there of trees and not requiring concessionaires to reforest. are many differences and contradictions between The primary driver of deforestation is local, household state law and customary practices. demand for fuelwood, timber and arable land. Economic and social contributions of the forest sector: B. CARRYING OUT THE DRC FTAT – METHODOLOGY, ADAPTATION AND § How do forests support rural livelihoods and STAKEHOLDERS welfare? - Rural households in the DRC generate around 20% of their income from forests and Methodological approach: National pilot trees. In addition, NWFP contribute significantly to implementation in the DRC was carried out up to the income and food, especially for women, children stage of conducting the national stakeholder validation and the landless. In Mai Ndombe province, three quarters of the population depend on forests for Operational National/sub-national (Mai Ndombe daily subsistence. Scale province) § Are forests a national economic priority? – The formal forest sector contributes less than 1% of GDP Pilot Duration September 2019 - February 2020 (CBFP 2006) with 15,000 direct jobs (Karsenty 2007); informal jobs in the forest sector far outnumber Pilot Budget $ 60,000 USD those captured by official statistics. Very little of the revenue generated from the formal sector is 1. Desk review of literature returned to the populations living nearby the forest. Assessment 2. Expert meetings, review and scoring Process- Key § Is the country’s forest policy gender-progressive 3. Fieldwork and ground truthing Stages and participatory? – Despite legal affirmation of 4. Background study gender equality, women typically do not benefit as much from land rights and forest resources due to Indicator cultural practices. Generally, the decision to sell Expert scoring Scoring Method land and utilize the income is taken solely by men. Rights and roles of women in forest governance 1. Sécuriser les Droits Fonciers are theoretically the same as men’s, as they are not dans les Zones de Forêt pour prohibited from participating; however customary Final Favoriser le Developpement Rural: practices generally do not allow women to participate. Documents Évaluation du Régime Foncier § How do the DRC’s forests help mitigate the Forestier en RDC. February 2020. impacts of climate change? – In the DRC, forests 2. Executive Summary. April 2020. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 97 workshop. However, due to the global Covid-19 French; see example stakeholders below for experts pandemic, the workshop has been postponed (as of who contributed to scoring). May 2020). Stakeholders: In September 2019, experts met to find The project appeared adequately resourced, though information not available online. An additional meeting implementation took more time than projected (>5 with experts was convened in November 2019 to score months versus 3 months). It is understandable that the the FTAT indicators. Stakeholders in the Mai Ndombe remoteness of the supplemental sub-national study province were able to provide data and feedback on area would necessitate an expanded timeframe to tenure security during the sub-national case study. complete the assessment, particularly as it required collaborations with researchers to collect data C. KEY FINDINGS: SYNTHESIS OF RISKS, from stakeholders throughout the area. A detailed CHALLENGES AND OPPORTUNITIES assessment (background study with initial expert The FTAT and implementation process in the scoring) has been completed and has successfully Democratic Republic of Congo generated key incorporated this rich stakeholder input. findings, diagnostic data on the status of forest FTAT adaptation to country context: Unmodified tenure security, policy recommendations and a policy FTAT indicators were scored by experts during the roadmap for future policy, action and investment. preliminary scoring stage (after translation into STAKEHOLDER GROUP: EXAMPLE STAKEHOLDERS CONSULTED: Secrétaire Général au Ministère des Affaires Foncières, Fonds National REDD+, Institut Supérieur Government de Développement Rural, Commission Nationale de la Réforme Foncière, Direction Inspection (CONAREF), Direction Etudes et Planification, Direction de Réglementation et Contentieux et Litiges Ligue Nationale des Associations Autochtones du Congo, World Wildlife Fund, Réseau des Civil Society Organizations Populations Autochtones et Locales pour la Gestion Durable des Ecosystèmes Forestiers (REPALEF), (Example) European Network for Central Africa (EURAC), Action pour la Promotion et Protection des Peuples et Espèces Menacés (APEM), Rainforest Foundation Norway (RFN) Donors and External African Union, UN HABITAT, World Bank Partners Professors/researchers from Catholic University of Bukavu, Catholic University of Louvain and Academia University of Antwerp 98 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT SYNTHESIS OF RISKS AND CHALLENGES: 1. Complexity and inconsistency of the legal framework: The land capital of local communities in forest areas is not secure because of internal and external inconsistencies in the legal framework; each natural resource is governed by a specific sectoral law and there is no coordination mechanism. The responsibilities entrusted to the land and forest administration overlap with those from other sectors, especially ones related to subsurface resources (mining, hydrocarbons), with resulting institutional conflicts. There is a lack of articulation/alignment between the orientation of laws, policies and reforms related to natural resources and the overall vision of the socioeconomic challenges of the country as defined in the national documents defining the development priorities. In addition, there are conflicts due to incompatibility between the texts related to natural resources in forest areas and other texts in the Congolese legal arsenal. 2. Pluralism of legal norms and contexts: This legal framework is often inapplicable as it cannot embrace the multiple and complex contexts of the communities; usually it is in opposition with the vision governing the customary rules. There is strong competition between the state’s land and forest laws and the customary rights and practices governing these sectors. The two systems often propose contradictory rules, and the superposition of the two approaches is the basis of conflicts. For example, the formal legal system defines land and forests as state property by law, while customs and practices accept private ownership of land. Also, the number of situations covered by state laws (i.e., type of rights, actions to be performed by rights owners) is minimal compared to the practices that are governed by customary rules; those practices are as diverse as the contexts that created them and contribute to their continued evolution. As a result, the legal system is currently unable to operate as a unifying standard to encompass the various situations faced by the rights holders. This causes precarity and uncertainty of rights. 3. Multiple reasons for the status quo. The political risk to push reforms include the risk of violence and the risk to weaken some elites’ interests. Even if the DRC is considered as a post-conflict country, armed groups, since the start of the war in 1996, continue to occupy entire areas, particularly in the east of the country. Land and territorial issues are often part of these conflicts. Even within the more peaceful areas, land conflicts between communities are endemic and regularly erupt. This context makes land reform a very sensitive political issue. This desire to maintain the status quo is also shared by certain elites who have benefited from land cessions and concessions from successive past regimes, to the detriment of local communities and without compliance with the customary rules. 4. Precarious rights of specific users: The law defines these communities’ rights on the basis of ethnicity and family links and not in terms of neighborhood or land use, which excludes large parts of the community who do not meet this ethnic/ family criterion. Meanwhile, laws related to natural resources refer to the user, which may not be the legitimate rights holder. The absence of breakdown of the typologies of stakeholder within the “local community” terminology prevents a clear definition of roles and rights, leading to precarity and conflicts. 5. Women’s rights: In many communities, women cannot inherit land. The legal arsenal in favor of gender equality does not include binding rules on the representation of women in decision-making structures within the community. As customary practices take precedence, there is a lack of reflection and awareness on family and community gains that could arise from greater gender equality. 6. Context of fragility: the DRC is still in the process of construction as a state. It is one of the poorest countries in the world, with multiple governance problems. These general problems have repercussions for forest tenure security (problems of implementation of the law due to the weakness of institutions, underfunding of administrations, lack of coordination mechanism between sectors, etc.). Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 99 SYNTHESIS OF OPPORTUNITIES: 1. Multiple initiatives from financial partners: The current bilateral and multilateral programs on natural resources are an opportunity to push politicians to put the issue of forest land on the agenda. Since the start of the war in the DRC, collaboration frameworks (with standards negotiated and adapted to the context) have been put in place between the Congolese government and donors as the country could not implement and finance its reforms. The investments to reform the forest land legal frameworks can be implemented as part of this trend. 2. High level of interest for reforms: There is significant demand at the local level for forest and land tenure reforms due to persistent conflicts over access to resources. Support for reforms exist from local communities (including traditional chiefs), local land and forest administration officials, CSOs and NGOs and many stakeholders. Similarly, private investors are also expecting a reform to help them secure the land asset and their investments. 3. An accommodating national political context: The DRC is currently in a transition phase. The current and new regime insists on focusing on the interests of the population as a priority. In 2020, the government reiterated its desire to make land reform a priority and asked partners to double their efforts to put in place a land policy and law. This is an opportunity to increase efforts on taking forest land into account in this reform, with a particular emphasis on securing forest land for local communities. 4. Business actors are pragmatic: Companies (e.g., forestry, agriculture, mining) are in a situation where their interests are insecure because of the current forest tenure system. They therefore need a clearer tenure regime in order to secure their interests. At the same time, local businesses and long-time investors have been accustomed to working in those conditions and have developed coping mechanisms. Reforms are therefore not seen as a risk for local businesses: they are used to finding a balance between the law and local customs, but they also would be ready to accept a reform that tries to resolve the customary and the legal worlds and avoid the conflicts they face daily with the communities. Finally, companies are reassured by the political will of the current president that the land sector will become one of the pillars of the policy of strengthening the business climate. 5. The tenure security platform: Institutions have acquired expertise and certain political and institutional recognition, even if there are aspects to be improved. Within this platform, there is already a strongly divided debate on the links between forest land and SDG. The divide opposes two visions of reform: an economic one and a socio-anthropological one. If a third way would emerge, or a consensus between the economic and the local communities (socio-anthropological view) could be achieved, initiatives in favor of local IPLC would naturally position themselves in this platform. 100 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT D. HOW TO SECURE FOREST TENURE: ASSESSMENT RESULTS BY KEY ELEMENT AND POLICY RECOMMENDATIONS KEY ELEMENT 1. LEGAL FRAMEWORKS FOR TENURE RIGHTS Legal framework does not protect seasonal/secondary rights; significant weaknesses in land tenure, including absolute ownership by state (exclusion of customary ownership); significant overlap and lack of harmonization of laws (including customary rights) governing different natural resources 2. IMPLEMENTATION OF LEGAL RECOGNITION Strong conflict management mechanisms minimize issue of overlapping rights; formalization procedures are virtually nonexistent; customary land and forest rights are not recognized in practice 3. APPROPRIATE REGULATIONS FOR LAND AND RESOURCE MANAGEMENT Regulations reduce issues of land grabbing and hoarding; most procedures are ineffective and costly; permitting is rarely carried out 4. EFFECTIVE SUPPORT FROM RESPONSIBLE GOVERNMENT AGENCIES Mechanisms of participation are acceptable, however capacity to support participation are minimal; significant horizontal and vertical overlap between institutions with minimal capacity and resources; conflicts of interest are prevalent 5. EMPOWERED AND INCLUSIVE INDIGENOUS AND COMMUNITY GOVERNANCE Most community governance is weak and insufficiently supported; governance planning is minimal; technical and financial capacity is very limited; CSO support is relatively strong 6. SYSTEMS FOR RECORDING COMMUNITY FOREST TENURE RIGHTS Information is decentralized, and when available, is owned by the institutions that generate it; not all land transactions are recorded and access to data is limited 7. ENFORCEMENT OF TENURE RIGHTS Sanctions are insufficient and poorly enforced; law enforcement is poorly resourced, unless supported by external partners; illegal activities are common and largely unrestricted 8. PROTECTION OF COLLECTIVE TENURE RIGHTS IN RELATION TO OTHER FORMS OF TENURE AND LAND USE Legal framework is in place but poorly implemented and procedures are lacking; no inter-ministerial frameworks to manage sectoral coordination and no environmental impact analysis in place; FPIC is not guaranteed; expropriation has been problematic 9. CONFLICT AND DISPUTE RESOLUTION Access and capacity are limited; independence of conflict resolution bodies may be questionable; resolution of disputes is mostly better at the customary level; inter-community conflicts have many issues FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 101 POLICY RECOMMENDATIONS 1 2 3 4 5 Implementing land and The DRC should The land reform Policies will only be The Congolese forest rights reform is integrate the stages of should strike a balance effective if political government must a priority forest tenure policy into between local customs issues are addressed commit to allocating a national development and practices and substantial resources strategy guidelines aimed at to improve governance, economic development. information and administration of land and forestry Policy recommendations: rights that communities perceive that they hold under customary law and practices. 1. Implementing land and forest rights reform is a priority. There is a definite risk of persistence, 2. The DRC should integrate the stages of forest even worsening, of hunger and poverty (SDG 1 and tenure policy into a national development 2) because of the lack of attention paid to land rights strategy aimed at SDG 8 (decent work and in forest areas. Failure to invest in the reform of the economic growth), SDG 5 (gender equality) and land tenure system in general, and of the forest land SDG 13 and 15 (climate action and life on land). tenure system in particular, maintains a status quo where the land capital of local communities living § The reforms should find a balance between SDG off the land is insecure. This insecurity manifests 8 and SDG 1 and 2, which means that the fight itself in the ambiguity and unsustainability of the against poverty and hunger is not only based on secured investments leading to decent work 102 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT and a redistribution of gains, but also requires governance, information and administration promoting and securing the access to the of land and forests. This is the condition for resources and their use by communities that implementing the law, supporting users in general, practice subsistence farming. and local communities in particular, and supporting conflict resolution. In the current context, this work § Regarding SDG 5, the reforms should strengthen must be done in collaboration with the technical the legal arsenal in favor of gender equality, and and financial partners that the government now introduce binding rules on the representation of needs more than ever. women in decision-making structures. Reforms should also inform and raise awareness of the family benefits and community gains when E. POLICY ROADMAP: equality of rights is improved. Developed from the experts’ meetings, a review of the § Regarding SDG 11 and 13, a national literature and the sub-national case study, the project development strategy would need to take into team has identified these sequential steps to improve account the realities on the ground, especially the forest tenure security: specificity of each zone, the socioeconomic needs of the communities and the rights they claim. 1. Conditions needed for effective initiatives 3. Land reform should balance local customs and The success of initiatives securing land rights practices and guidelines aimed at economic depends on several factors including: development. This is the sine qua non for § Political alliance: the current parliamentary ensuring the effectiveness of the law, and therefore majority is a broad coalition facing many power SDG 1 and 2. The Ministry of Land Affairs and the struggles. One of the divides is between those platform on land reform are aware that the success supporting the reform agenda and those who of reforms depends the implementation of good are hesitant for various economic and political laws, which take into account the local realities. reasons. This situation can only be unlocked if 4. Policies will only be effective if political issues there is a political will at the executive level and are addressed. Most of the conflicts pending support from other stakeholders to quickly find a before courts and tribunals and in informal consensus on a way forward. dispute resolution bodies are linked to land. § Put the local communities at the heart of the Even though land reform can help resolve some reform: in a context where the government is of these conflicts, the reasons behind most of strongly focused on a perspective that favors those conflicts are political or related to relation businesses, reforms should take into account of power between stakeholders. The solution the priorities of local communities. Without therefore may not lay in a technical reform (rules paying particular attention to the priorities of and laws governing land management), but in a communities, businesses risk finding themselves political process (i.e., how the land asset is shared in open conflict with the local actors, and reforms and for which purpose, which authority prevails, will not be implemented. etc.). Thus, the land issue in forest areas of DRC can only be solved if there is a political will to do § Reconcile legal pluralism: to be effective and so. The resolution of these conflicts is necessary efficient, reforms should recognize and regulate prior to the implementation of reforms because the legal pluralism in rural areas, without if community power conflicts are not solved, the necessarily formalizing the informal bodies law will not have an opportunity to be applied involved in land management. To achieve this, to manage ordinary conflicts. The Congolese the reforms should be part of a bottom-up government should therefore make a commitment approach for rural lands in particular, to tailor to definitively settle these community land the instruments to the actual situation faced by disputes that pit communities against themselves the communities; the formal legal system should or against concessionary elites. be limited to a guidance role and ensuring the consistency and coherence of the system. 5. The Congolese government must commit to allocating substantial resources to improve FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 103 2. Advocacy supporting the government’s shortages, the content of the laws is little known. commitment The Land Law of 1973 is still missing most of its implementing decrees and, as it cannot become The DRC is currently in the midst of a political operational, jurisprudence and informal practices transition. The new regime inherits a situation continue to dominate. The 2002 Forest Code is in a in which almost everything is a priority. Despite similar situation, including the decrees related to the the political will to reform the land law and clarify community forestry added after 2014. It is therefore certain aspects of forestry, the government needs necessary to set up capacity-building mechanisms to be pushed to fully commit to this reform. within the administration in order to operationalize, Coordinated leadership of powerful organizations enforce, educate and assess the legal instruments (both international and national) in these areas is an about land and forest governance. opportunity to keep reforms on this agenda. This leadership is also necessary to mediate political 5. Raise awareness of reforms within local conflicts arising from various reform options. It communities should therefore be a prerequisite for any action. For many of the local communities, the 3. Accelerating the land reform process in dispossession of lands and the insecurity of coherence with other key sectors rights is caused directly or indirectly by the state law, to the detriment of customary practices and The Congolese government has just committed to standards. There is therefore suspicion in the implementing a new land policy and reforming the application of the law and, as a consequence, Land Law. This is an opportunity to move forward mistrust in the reform processes, which is often on a process that was launched in 2012. However, associated with the elites. Awareness campaigns the efficacy of this reform depends on three other on the goals, benefits and vision behind the policies: (i) the policy and the law on land use planning, legal system are therefore needed as the reform whose reform has been initiated at the same time, processes progress. Similarly, local consultations (ii) the effective implementation of decentralization on the reforms must continue and be synthesized and (iii) the recognition of local traditional political and disseminated. organizations and their institutional mechanisms for coordinating natural resources management. Those Policy uptake (April 2020): FTA implementation sectors (land use, decentralization and organization and findings in the DRC have influenced the of the customary leadership) have a direct connection implementation of the Forest Dependent Community with the land and forest rights security and should be Support Project (World Bank) and DRC Improved addressed as part of a single vision. Forested Landscape Management Project (World Bank). In addition, it is anticipated that the FTA’s 4. Improve capacities within the administrations findings may potentially contribute to the National Agricultural Development Program under preparation There are strong deficiencies within the forest and (World Bank). land administrations. Apart from various resource 104 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Laurensius Gawing FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 105 MYANMAR A. MAKING THE CASE FOR FOREST TENURE ethnic nationalities and EAOs, building a stronger SECURITY: “independent, standalone” tenure-administration system (both for forest and non-forested areas) is INTRODUCTION desirable and consistent with their political pursuit Over the last decade, simultaneous transformations of local autonomy under the proposed federalist in the country’s political, economic and institutional structure. In contrast, the union government sees governance structures, including land and natural replacing local systems with a unified national system resources, are finding peaceful solutions to civil conflicts as a path toward unification. and the long-running demand for tenurial reforms. These shifts are part of a well-negotiated, long-term Although most communities use outdated technologies process; progress includes the adoption of the National to measure/map land areas, their existing customary Land Use Policy (NLUP, 2016), revisions to Forest Law tenure systems are often well understood. Communities and Conservation of Biodiversity and Protected Areas can interact with formal systems only because CSOs Law (CBPA, 2018) and gradual efforts to acknowledge provide them many technical support functions. A customary tenure. However, several of these and other complete replacement of customary practices, without reform measures have been widely contested, as rural building public awareness and capacities on the new people continue to demand protection and recognition systems, would leave a vacuum in local arrangements of customary tenure and shifting cultivation practices. and knowledge — a gap that CSOs alone might not be Meanwhile multiple ethnic armed organizations (EAOs) able to fill. This vacuum would weaken the rights and continue to battle for greater autonomy and seek to capacities of local communities with persistent negative shape the future of an eventual federal state. Decision impacts. Forest tenure can be primarily viewed as a social making remains centralized. Popular perceptions on relationship with complex rules that govern land use and exclusion along ethnic and geographic lines have fueled ownership. This model, which allows both statutory and grievances regarding access to land and resources, customary systems to coexist and complement each underscoring the nation’s fragility as it undergoes other, may offer the most promise in Myanmar. transition. Frequent disputes, often around access and Deforestation – Extent of the problem and key drivers: claims to natural resources in Kachin, Shan North and Chin states and in Tantharayi and Sagaing regions, Forest loss is estimated at 550,400 hectares per year further expose the limits of the current reform processes. (averaged in the period 2010-2015), the third highest rate of deforestation in the world (Nyi Nyi Kaw 2015). Community-based forest tenure prevails across the Primary drivers of deforestation include: country. Access to formal land tenure administration services has historically been low. During decades of § Agricultural expansion, shifting forest areas to active political-civil strife, most ethnic populations in agribusiness concessions conflict zones could not access government services, either because they were not provided, or because § Illegal logging and overharvesting of timber lack of security, topography or displacement made it impossible. As a result, more than half of all landholdings § Infrastructure and energy development are held without formal titles or certificates, in accordance (hydropower); mining in forestland. with customary practices. These lands largely remain Land and forest legal framework: unmapped, not demarcated, unquantified and most frequently, unprotected, with encroachment and “illegal § Who owns forested land? All forestland and uses” reported in all areas. resources (above and under the ground) are owned by the state and administered by multiple ministries/ Ongoing peace negotiations between the union entities in accordance with different laws/regulatory government and EAOs hinge on power-sharing frameworks such as Forest Law, VFV Law, Farmland agreements and division of responsibilities over Law and others. forestland and natural resource governance. For 106 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT § Who owns the trees? All trees are owned by forests only contribute 0.2% ($130 million, FY the government and administered by the Forest 2015/2016; Central Statistical Organization 2016) Department (as per the Forest Law). With regard to to the GDP; however, this vastly underestimates access and use rights, generally those who occupy the the economic importance of forests in the country land will be entitled for use rights of the tree – and as it leaves out illicit and informal uses of forests. such trees will have to registered with the government. Including ecosystem services, the importance of Local communities have access and use rights for non- forests to the national economy is up to 10 times timber forest produces and “tree rights”30. higher than formal GDP figures. § Who manages the forests? Historically, rights to § Is the country’s forest policy gender-progressive land and forest resources were embedded in the and participatory? There has been progress in social structure and governed by customary traditions protecting and recognizing women’s rights to and local practices. Customary tenure remains the forestland and resources. The Constitution of 2008 dominant form of de facto access to and use of includes the guarantee of equal rights and equal legal forestland and resources across Myanmar. Most locally protection to all persons, men and women (Article accepted customary systems allow for a complex mix 347), and does not discriminate on the basis of sex. of individual, family and community tenures even in Similar statements are included in the National Land urban and peri-urban areas. In theory and per existing Use Policy and others. However, implementation regulatory framework, if the land is within reserved (RF) guidelines are rarely drafted from a gender-sensitive and public protected forests (PPF), then the respective perspective, and consequently enforcement continues forest is administered by the Forest Department (FD); to be weak. Lack of gender awareness among local if the forest area is outside RF/PPF areas, it should officials dealing with land allocation, inheritance and be administered by the VFV land management dispute settlement sustains a male bias that prevents central committee. However, forestland held under women from enjoying their rights. customary practices is not recognized as a community holding by any legal framework. At present, under the § How do Myanmar’s forests help mitigate the existing regulation, use rights for community forests impacts of climate change? Currently deforestation are for a 30-year period, but can be renewed, subject is high in Myanmar and constitutes the major national to compliance with guidelines. contribution to climate change. The government’s capacity to address climate change and natural Economic and social contributions of the forest sector: disasters in forest areas is limited due to unsecured long-term funding, limited technical skills and lack of § How do forests support rural livelihoods and clarity over the sustainability of finance mechanisms. welfare? Forests are central to the economy and play a In some cases, despite having policies in place, fundamental role in combating rural poverty, ensuring implementation is weak for multiple reasons such as food security and providing people with livelihoods. weak institutional capacity, lack of commitment and In addition, they deliver ecosystem services, conserve limited resources. A number of CSOs also function as biodiversity and mitigate climate change. Close to intermediaries between the government and forest- two-thirds of Myanmar’s rural population of 54 million dependent communities in REDD+ efforts as well as is dependent on forestland.31 These resources climate change adaptation projects. provide key secondary income for more than half the rural population; close to two-thirds of rural B. CARRYING OUT THE MYANMAR FTA— energy demands are met by traditional forest fuels.32 METHODOLOGY, ADAPTATION AND Forests support food security for the rural population: STAKEHOLDERS the country’s mangrove forests, which are severely threatened, are critically important for food security in Methodological approach: Pilot implementation coastal communities. maintained the core approach of the FTAT, while adding additional stakeholder feedback to the § Are forests a national economic priority? Officially, process and considerably modifying the indicators 30 In the case of palm trees, they can be owned under specific conditions. 31 Refer to Central Statistical Organization of the Republic of the Union of Myanmar at https://www.csostat.gov.mm and also Department of Population’s website at: www.dop.gom.mm. 32 Refer to http://www.eria.org/publications/myanmar-energy-statistics-2019/ and www.eria.org/publications. It has been highlighted that most rural households use traditional biomass, particularly for cooking and lighting. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 107 and scoring process. In Myanmar, the overall process OPERATIONAL has largely been driven by government partners, led NATIONAL SCALE by the working group of Forest Department officials and the lead facilitator and consultant established for this Pilot Duration September 2019 - March 2020 task. After conducting informal meetings with relevant Pilot Budget $130,000 USD government and civil society stakeholders, the working group determined that a more involved process was 1. Informal consultations with government necessary to obtain sufficient input for the background stakeholders, review of FTAT/AF, study, given the political complexities of the country. development of modified framework and Two regional workshops contributed feedback for the indicators; desk review background study and were used to refine the indicators 2. Two regional consultation workshops scored during the national validation workshop. Based Assessment (total: 4 days) on the findings and recommendations from the Process—Key national workshop, the working group summarized and 3. Summary report of results from articulated key discussion and policy statements. Stages consultations, regional workshops and desk review of literature FTAT adaptation to country context: All FTAT 4. National multi-stakeholder consultation indicators were adapted by the working group and validation workshop (2 days) to be targeted to local context and language.33 The FTAT used the AF throughout this process. To reflect 5. Policy recommendations/ roadmap scoring by a diverse group of stakeholders, language Indicator Scoring was simplified, and concepts and terminology were Group-based scoring Method defined. Customized indicators were translated into Burmese for the national workshop. An Assessment of Forest Tenure in Myanmar: Securing Forest Tenure for Stakeholders: Two regional-level workshops had Final Document Sustainable Livelihoods. March 2020. 114 participants. Ninety-two people from four major Myanmar Working Group on Forest interest groups participated in the national multi- Tenure Assessment. stakeholder consultation and validation workshop. Forty percent of stakeholders were women and 10 percent were community leaders. STAKEHOLDER EXAMPLE STAKEHOLDERS: GROUP: Officials representing union government and states/regions from the Forest Department, Ministry of Natural Resources and Environmental Conservation (MoNREC), Environmental Conservation Department, Union Government Attorney General’s Office (UAGO), Department of Agricultural Land Management and Statistics (DALMS)/ Ministry of Agriculture, Livestock and Irrigation (MoALI) and General Administration Department Myanmar Centre for Responsible Business, Rubber Plantations’ Association of the Mon State and Farmers Private Sector Association of Ayyerwaddy Region Chin Human Rights Organization (CHRO), Forest Resource Environment Development and Conservation Civil Society Association (FREDA), Myanmar Alliance for Transparency and Accountability (MATA), Myanmar Environment Organizations Rehabilitation-Conservation Network (MERN), Center for Forests and People (RECOFTC), Green Network, Promotion of Indigenous and Nature Together (POINT), Plan International and Land Core Group Donors and World Bank and Global Land Alliance External Partners 33 Indicators used in Myanmar can be found in the full country report at: https://documents.worldbank.org/en/publication/documents-reports/ documentdetail/383531594388453664/an-assessment-of-forest-tenure-in-myanmar-securing-forest-tenure-for-sustainable-livelihoods 108 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT D. HOW TO SECURE FOREST TENURE: ASSESSMENT FINDINGS AND RECOMMENDATIONS BY KEY ELEMENT KEY ELEMENTS FROM AF & ASSESSMENT FINDINGS 1. LEGAL FRAMEWORKS FOR TENURE RIGHTS Legal framework does not protect or recognize customary rights; legacy issues (e.g., poor governance and corrupt practices during military regime) and gaps between customary claims and formal tenure remain to be addressed along with clarifying gaps and overlaps in land and land-use classifications and the incomplete bundle of rights; recent reforms are widely contested 2. IMPLEMENTATION OF LEGAL RECOGNITION Enforcement of existing regulations and guidelines is weak; some newly adopted procedures are in flux; some use rights are of a short duration (e.g., 30 years for community forestry), limiting tangible benefits and incentives for communities to invest, discouraging communities to seek claims 3. APPROPRIATE REGULATIONS FOR LAND AND RESOURCE MANAGEMENT Only formal permits/grants are registered, informal tenure is not well registered and secured due to conflicting regulations; policies are not always put into practice; governance challenges persist, impacting enforcement. 4. EFFECTIVE SUPPORT FROM RESPONSIBLE GOVERNMENT AGENCIES Despite gains with the formation of the National Land Use Council, institutions have imprecise mandates and distribution of responsibilities and inadequate implementing capacities; limited support and resources available to government institutions at all levels (more at the local levels) to provide technical and extension services 5. EMPOWERED AND INCLUSIVE INDIGENOUS AND COMMUNITY GOVERNANCE Limited capacity of community governance and communities are insufficiently supported; in conflict areas (and those administered by Ethnic Armed Groups), a different set of administration arrangements prevail. Peace dialogue is key to harmonize current differences. 6. SYSTEMS FOR RECORDING COMMUNITY FOREST TENURE RIGHTS No NSDI framework in place but policies are making slow progress; government records of CF and other permits, allocation and use of forestland and resource rights are not harmonized between different institutions or accessible 7. ENFORCEMENT OF TENURE RIGHTS Weak enforcement of rights; community and government systems (and EAO administered) are not connected 8. PROTECTION OF COLLECTIVE TENURE RIGHTS IN RELATION TO OTHER FORMS OF TENURE AND LAND USE Existing regulations do not guarantee protection of collective, inter-generational rights (except CF); inability to safeguard customary tenure and tenurial claims of forest-dependent communities 9. CONFLICT AND DISPUTE RESOLUTION Formal courts/judiciary is weak and there is a lack of public access to the formal legal system (limited to administrative arrangements); most disputes are resolved at a community level; formal procedures do not adequately recognize customary dispute resolution; accessible and affordable mechanisms are lacking FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 109 KEY MESSAGES AND RECOMMENDATIONS LINKED TO ELEMENTS Utilize and strengthen Prioritize Map out and implement Engage and maintain Seek out support from existing entry points implementation and the country’s capacity- diverse and multi- development partners: for inter-sectoral work: look beyond the short building needs: sectoral stakeholders these partners can Inter-sectoral work has term: Tenure reforms Systematic training prior to and during the support and facilitate proven to be easier are comprehensive and capacity-building process of developing the policy dialogue in both populated in their nature - it is efforts focused on and implementing process and its areas and remotely critical that yearly forest tenure will help the reform process: implementation. located communities. priority and objective stakeholders employ demonstrate that forest Existing inter-sectoral setting take place a so-called tenure tenure security will mechanisms could with concrete and lens in their work in not be compromised. be used as entry measurable targets. the forest and other Focusing on social points for joint work. Identification of future sectors. Training of gradients to tackle Partnership with these challenges, needs and government staff at inequalities rather societal structures opportunities during the union and states/ than on gaps between can contribute to implementation can regions level through the extremes of the development, prepare for future the development of the socioeconomic communication and forest and resource forest tenure reforms spectrum makes this implementation of administration and keep staff informed and task more feasible. Seek opportunities for forest tenure. management. satisfied Engaging other sectors sharing experiences, allows each participant disseminating to see the big picture, information identify how their and problem sector could contribute solving: Regular to strengthen forest dissemination and tenure and build key communication to relationships essential external audiences for consistent land- through both related policies. scientific and lay Achieve mechanisms (reports, Face data presentations, accountability challenges head on: through an papers, etc.) will challenges posed by help build support information system forest information with performance for strengthening systems (e.g. a lack communities and indicators: The of disaggregated system should tenure arrangements. data) can be have sufficient addressed through capacity for national joint data collection, and international joint reporting and comparisons agreed upon sets of (benchmarking), as core indicators. well as meet data requirements of the forest tenure plan. 110 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Stakeholders participating in the national workshop resource rights of forest-dependent communities. included the following groups: Through the adoption and implementation of the new Land Law, Forest Rules, Rules as per CBPA Law (and C. KEY FINDINGS: SYNTHESIS OF RISKS, existing Environmental Conservation Law of 2012), CHALLENGES AND OPPORTUNITIES government and civil society stakeholders will be able to secure their tenurial claims. The ongoing EIA/SIA The FTAT implementation process in Myanmar efforts should be made more participatory and reports generated key findings, diagnostic data on the status shared periodically with the public and affected of forest tenure security, policy recommendations and communities. This is critical not only in achieving a policy roadmap for future policy/action/investment.34 effective and efficient forest conservation, but also in protecting the rights of forest-dependent local E. POLICY ROADMAP: communities and customary rights. The government Following the workshops and based on the findings must maintain regular monitoring, quality control of the FTA, the working group suggests the following and audit of access/use rights while complying with action points: national and international commitments. Information on pre-existing use and ownership conditions must be 1. Support the work of the National Land Use collated in community/area-specific databases. This Council (NLUC) to reinforce the tenure reforms. helps enhance local and ethnic communities’ claims Increase financial and political commitment to on forestland and resources and effectively target tenure reform to NLUC as a central strategy to policies, programs and resources. achieve development goals related to poverty, climate and food security. Assessing community 4. Engage all stakeholders in implementing forest claims, mapping tenure, delimiting property, tenure reforms to ease the shift from isolated reforming legal frameworks, devising regulations measures to coordinated governance strategies. A and establishing new enforcement mechanisms network of civil society and community leaders, under are expensive. The government must dedicate government leadership, can keep track of reform considerable resources to tenure reform. Civil society implementation. The government must: (a) support can serve as an interface, galvanizing political will to community-based efforts like land mapping and employ ensure that all legislation is coherent on sustainable participatory processes; (b) gradually increase the use of forestland and natural resources. number of locally recruited staff to fill various roles; and (c) through constant information dissemination, foster 2. Utilize and strengthen existing reform measures public support and build confidence in the process. to encourage tenure reform. At present, the Investors must incorporate tenure considerations government is drafting a set of land and related laws/ in their due diligence and aggressively support regulations (e.g., umbrella Land Law; preparation of investments that address community tenure issues. Forest Rules, Rules for the Conservation of Biodiversity and Protected Areas Law) as part of the reform measure. 5. Allocate sufficient budgetary resources to Such ongoing efforts should be an opportunity to improve/build up local capacities (of government, include forest tenure issues and thereby strengthen community and civil society actors, including NLUC protection and recognition of local and customary and other multi-stakeholder bodies engaged in practices that would realistically respond to the needs promoting forest tenure) to gather information of communities. In addition, the government must on forestland use and holding patterns and prepare and issue revised regulations and guidelines sociocultural factors affecting them. Community on land and land-use classification. National Spatial and governmental capacity must be built up to Data Infrastructure (NSDI) should be strengthened by demarcate forestland, gather evidence, register implementing the OneMap policy and streamlining properties and formalize tenure through participatory standards and work on all land databases. and inclusive processes. Government staff should be given context-appropriate training that is equitably 3. Develop, implement and mainstream strategies available, operationally focused and easily applicable. and programs to safeguard and promote the land and Local government capacity must be strengthened 34 See full Myanmar country report at: https://documents.worldbank.org/en/publication/documents-reports/documentdetail/383531594388453664/ an-assessment-of-forest-tenure-in-myanmar-securing-forest-tenure-for-sustainable-livelihoods FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 111 Photo by Shivakumar Srinivas to build accountability and capacity and local levels, operationalize efforts and activities on the ground. including through capturing revenue through taxes The ongoing peace dialogue should be nurtured as it and/or fees related to larger land holdings. National provides an opportunity for resolving political conflict research capacity must be enhanced for better data, and defining governance arrangements for land, based on which effective policies can be designed. forests and natural resources. 6. Federalist governance arrangements are central Policy uptake (April 2020): The FTA process in to peace negotiations. Security of tenure and ethnic Myanmar strengthened the capacity of Myanmar’s land rights is intertwined with opportunities for peace, Ministry of Natural Resources (MoNREC), Forest as they are at the center of longstanding struggles to Department to carry out their work, in particular the secure equal rights and self-determination. Protracted implementation of Myanmar’s National Restoration armed conflict has led to a complex framework where and Reforestation Program (MRRP). Additionally, the EAOs and ethnic communities manage forest lands in FTA provided inputs for drafting the umbrella Land many states/regions. Some EAOs have developed, or Law, framing Rules for the Forest Law and CBPA are currently developing, land use policies and forest Law and strengthening implementing guidelines policies, and have established systems to govern for community forestry. Projects directly informed and administer territories, land and resources and by the FTA process are the World Bank Myanmar populations in their traditional territories. For those Forest Restoration, Development and Investment with bilateral and National Ceasefire Agreement Project (FREDIP) and the upcoming Agence Française (NCA) commitments, the interim arrangements and de Développement (AFD) project in support of related commitments for joint coordination on land, community forestry. environment and natural resources provide a basis to 112 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT SYNTHESIS OF RISKS AND CHALLENGES: 1. A complex policy and legal environment: Despite modest progress, overlapping provisions and mandates remain at all levels, even on the conceptual framework on sustainable forest and resource management. The complexity of the policy domain defies efforts to divide it neatly between jurisdictions, especially given the limited understanding of the ways in which systems work at the community level. Several participants drew attention to the provisions in the Farmland Law, VFV Law and other laws and regulations that conflict (overlap) with each other; some provisions in the draft Forest Rules conflict with efforts to make land and environmental issues in ethnic areas part of the Union Peace Dialogue (21 Century Pinlong Peace Conference). 2. Ineffective institutions and weak enforcement: Although weak enforcement of policies and regulations is generally acknowledged as a widespread and significant problem, the full complexity of the underlying causes for this is often not understood. In some cases, the laws may not be at issue: their application may be considered illegitimate by local stakeholders who have not been adequately involved in decision making. In such situations, community-led, co-management approaches may be necessary to build local support. 3. A fragile political environment and ongoing peace negotiations: Ethnic Armed Organizations and ethnic nationalities envision local autonomy and standalone tenure administration systems; union government aims for unified national system; a system that combines attributes of each may offer the strongest security for communities. 4. Inability to safeguard customary tenure and tenurial claims of forest-dependent communities: Cases abound of customary landowners losing access over legal deadlines for registration under formal laws (VFW Law, etc.). Changes in land status to reserve areas, etc., occur without FPIC and safeguards. 5. People’s inability to access justice and resolution: Key challenges in dealing with conflict and grievance management are the lack of public access to the formal legal system (which is virtually non-existent in some areas) and the lack of local capacity to deal with issues of boundary demarcation, overlapping and competing claims, benefit sharing and roles and responsibilities in forest management. 6. Failure to ensure equity for all genders and ethnic groups: Women are underrepresented in land-related matters, both in government committees and customary governance. 7. Opacity over the roles and responsibilities of the union and states/regions: Legal pluralism prevails, and existing laws provide insufficient clarity of roles, responsibilities and procedures. Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 113 SYNTHESIS OF OPPORTUNITIES: 1. Community-led approach: Improved co-management approaches are necessary to promote better government-community collaboration. Such arrangements should recognize existing resource uses rooted in local traditions and practices, while introducing new rules and standards to promote sustainable use. Raising public awareness is critical for an enabling environment that provides accountability, promotes participatory and inclusive processes for follow-up and review and builds ownership. Informing and educating local communities facilitates understanding of existing policies, laws and rights in relation to forest tenure and engagement in opportunities to participate and hold the government accountable. 2. Strengthening capacities of institutions and communities: The government’s capacity to address climate change and natural disasters in forest areas is limited due to unsecured long-term funding, limited technical skills and lack of clarity over the sustainability of finance mechanisms. Long-term funding must be secured for government institutions to address climate change and natural disasters and to provide consistent technical and extension services to communities. 3. Favorable conditions exist to further promote and build upon community forestry: Since the Community Forestry Instructions were developed, opportunities to promote community tenure have significantly increased and more forest- dependent communities are willing to apply for formal recognition of their user rights and limited management rights. CSOs have supported forest tenure reform alongside ongoing efforts to implement and expand community forestry, community- protected areas and community fishery programs. 4. Peace is a critical platform for strengthening forest tenure and sustainable development: With regard to federalism and institutional development in Myanmar, one of the main drivers of forest tenure reforms has been peace negotiations, although tenure reform is not necessarily the main goal of that dialogue. Peace, rule of law and democratic governance are not only closely inter-related, but also mutually reinforcing and critical for securing forest tenure and achieving sustainable development. 5. Resolve grievances and disputes: Dispute resolution that fails to take into account genuine community ties to forestlands, both from an economic (livelihoods) perspective and a spiritual/cultural perspective, could easily lead to further disputes. The union government can respect and make space for ethnic governance institutions and customary systems of dispute resolution. 6. Legislative priorities: Priorities include harmonization of the revised Forest Law of 2018 and subsequent draft rules of 2019 with the objectives of the NLUP of 2016 (and the National Ceasefire Agreement or NCA of 2015 and related interim agreements). 7. Implementation Priorities: Priorities include the process of legal harmonization at the union government level; investment in government and community capacity building and stakeholder engagement; the improvement of information gathering and access. 114 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 115 ZAMBIA A. THE CASE FOR FOREST TENURE SECURITY: carbon/climate change initiatives; and, in a few cases, timber harvesting. INTRODUCTION Deforestation – Extent of problem and key drivers: Zambia’s land area is predominately forested, covering Estimates of forest loss range from 80,000 to 445,000 more than 50 million hectares, or 66 percent of hectares per year, with government estimates of the country’s land mass (FAO and GRZ Forest 79,000 —150,000 hectares of forest annually, or an Department 2016). Forest products play a major role annual loss of between 0.17 and 0.32 percent (FAO in Zambian livelihoods, supporting more than one and GRZ Forest Department 2016). This places million jobs, estimated to include over 60 percent of Zambia among the largest countries globally in rural households (UNEP et al. 2015). Although many deforested area per year. rural poor live within and around valuable forests and benefit in subsistence and commercial terms, the While agricultural conversion is the primarily forest sector is not presently lifting the rural poor out driver of deforestation, in many cases this may be of poverty. preceded by degradation through timber, fire and charcoal production (Global Forest Watch 2018). The long-term growth of the sector will be closely Each of these has a distinct relationship to land and linked to the ability of communities who live near forest tenure, as each reflects a lack of coordinated forests to benefit from timber and non-wood forest resource management among communities, products (NWFP) and manage these resources traditional leadership and state institutions, largely sustainably. This is tied to community rights to driven by an overlap in land, tree and wildlife tenure both trees and the underlying land. Strengthening governance structures (Mulenga et al. 2015). Drivers of community rights to manage and benefit from forests deforestation include: is a direct pathway to maintaining forest cover and growing the rural economy (Zimba 2007). § Migration dynamics and agricultural conversion § Limited enforcement of timber concessions on Over 60 percent of Zambia’s forests fall on rural customary lands customary estates (FAO and GRZ Forest Department 2016). While households on customary land have § Charcoal production subsistence use rights to forest products, all § Expansion of settlements and district centers. commercial rights to major forest products rest with the state through the Forestry Department. The 2015 Land and forest legal framework: Forests Act creates opportunities for communities to secure tenure rights to both land and forests. This § Who owns forested land? All land in Zambia belongs has been operationalized through the Community to the state and held in trust by the President (Lands Forest Management Regulations of 2018, which Act 1995). Customary land is administered through allow communities to register as Community Forest the traditional authorities (288 chiefs). State land is Management Groups and subsequently apply for leased to individuals or administered/managed by rights over a specific area of forest for purposes state institutions such as the Ministry of Lands and defined in a management plan. Since 2018, more than Natural Resources (MLNR), Department of National 55 communities with interests in more than one million Parks and Wildlife, the Forestry Department and hectares have applied to manage their forests for a local governments. range of goals, ranging from management of NWFP § Who manages the forests? Management, use (e.g., honey and mushrooms); protection of forests and transfer rights to land and forests are assigned for wildlife or cultural reasons; participation in forest through mechanisms from the Constitution (that 116 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT establish customary lands and authorities of the REDD+ mechanisms, the development of a National chiefs) down to legislation and implementing Forest Monitoring System and a national strategy to regulations. The Forestry Department has reduce deforestation and forest degradation. management responsibility for trees, but not most of the land on which those trees live. There are B. CARRYING OUT THE ZAMBIA FTA – overlapping management responsibilities between METHODOLOGY, ADAPTATION AND the Forestry Department, Department of National STAKEHOLDERS Parks and Wildlife, district councils (Ministry of Local Governance and Housing), customary chiefs and communities. OPERATIONAL NATIONAL SCALE Economic and social contributions of the forest sector: July 2019 - January 2020 § How do forests support rural livelihoods and Pilot Duration (intermittent) welfare? Forests provide a diversity of products and services for rural households, including NWFPs such as tubers and fruits. However, Zambia has one of Pilot Budget $60,000 USD the highest levels of undernutrition in the world (40 percent of the population) with over 75 percent of 1. Desk review of literature the rural population living in poverty (Mofya-Mukuka 2. Background study – and Simoloka 2015). Forests can support nutrition, Assessment Opportunities and Risks especially as a safety net during the lean season Process- Key Assessment for the most vulnerable (e.g., those without land, Stages 3. National validation workshop labor or agricultural inputs), but are inadequate on (2 days) their own to meet the high level of need. In cases where there is higher reliance on NWFPs, forest 4. Policy roadmap tenure security is crucial to maintaining access to the forests in the context of agricultural conversion. Indicator Scoring Group-based, consensus scoring Method § Are forests a national economic priority? Forest ecosystems in Zambia contribute directly to 4.7 1. Background report (November percent of GDP35 (UNEP 2015). The forest sector 2019) and forest management have not been central to Zambia’s framing of National Development 2. Workshop report (December Final Documents Priorities or the SDG, in comparison to the mining 2019) and agriculture sectors. Forests are estimated to 3. Forest Tenure Policy Roadmap provide more than one million jobs, supporting 60 (February 2020) percent of rural Zambian households (UNEP 2015). § Is the country’s forest policy gender-progressive Methodological approach: The approach to FTA and participatory? Policies are progressive but implementation in Zambia closely followed the are yet to be fully translated into action. Gender proposed methodology. The Forestry Department mainstreaming in the sector tends to be driven by in Zambia and the World Bank country task team external partners rather than by government. launched the FTA in July of 2019. A consulting firm with a long-term engagement in Zambia drafted § How do Zambia’s forests help mitigate the a background study that assessed the state of impacts of climate change? Currently, deforestation community-based tenure security over forest and is high in Zambia and constitutes the largest other natural resources and identified opportunities sectoral contribution to climate change. Zambia and risks associated with strengthening tenure. In has taken several steps to mitigate greenhouse late 2019, a two-day national validation workshop gas emissions globally, including participating in was held in Lusaka to assess tenure security using the 35 This figure includes direct value from industrial roundwood, firewood, charcoal, NWFP, ecotourism, erosion control and sediment retention, pollination services and carbon storage (damage avoided). Multiplier effects related to the forest sector were not taken into account. FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 117 42 FTAT indicators. Indicators were scored by small, diverse groups of stakeholders using FTAT criteria. Participating stakeholders included national and local representatives from the Forestry Department, Department of National Parks and Wildlife, Ministry of Local Government, implementing partners, representatives from different community forestry groups, traditional authorities, academia, NGO/CSOs and the donor community. Based on these findings, the stakeholders identified and prioritized policy reforms that were later detailed in the reports by the consulting firm. FTAT adaptation to country context: The language of some indicators was modified to better fit the country context (i.e., references to indigenous peoples removed to reflect multiethnic realities in a country with 75+ ethnic groups). Many of the indicators required a narrowing of the descriptions for local context with participants to ensure a common understanding. Where individual scores varied broadly, the consultant team assumed that the indicators could have been made clearer. Stakeholders: Forty-two people from five major interest groups participated in the national stakeholder validation workshop. C. KEY FINDINGS: SYNTHESIS OF RISKS, CHALLENGES AND OPPORTUNITIES The FTAT and implementation process in Zambia generated key findings, diagnostic data on the status of forest tenure security, policy recommendations and Photo by Logan Sander a policy roadmap for the future. PARTICIPANT INTEREST EXAMPLE STAKEHOLDERS: GROUPS: Government Forest Department, Department of National Parks and Wildlife, Ministry of Local Government Implementing Partners CSOs, including Frankfurt Zoological Society, Kasanka Trust, BioCarbon Partners Academia Professors/researchers from national universities Donors and External Partners World Bank, Global Land Alliance Traditional authorities, Community Based Natural Resources Management forum Community Representatives representatives, Community Forest Management Group (CFMG) representatives, Zambia National Community Resources Board Association (ZNCRBA) 118 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT D. HOW TO SECURE FOREST TENURE: ASSESSMENT FINDINGS AND RECOMMENDATIONS BY KEY ELEMENT AND POLICY RECOMMENDATIONS KEY ELEMENTS FROM AF & ASSESSMENT FINDINGS 1. LEGAL FRAMEWORKS FOR TENURE RIGHTS Legal frameworks are strong and legally progressive; a weakness is that rights to resources are separated from one another 2. IMPLEMENTATION OF LEGAL RECOGNITION Laws are new and have not been fully implemented; few mechanisms are in place to assist communities with formalization process; <10% of area formally recognized 3. APPROPRIATE REGULATIONS FOR LAND AND RESOURCE MANAGEMENT National regulations are well conceived; the challenge is reconciling government regulations with bottom-up by-laws under customary structures and various legislation 4. EFFECTIVE SUPPORT FROM RESPONSIBLE GOVERNMENT AGENCIES Laws around participation are strong; awareness of rights, responsibilities and procedures are weaker; effective implementation is a weakness; coordination is required between government institutions 5. EMPOWERED AND INCLUSIVE INDIGENOUS AND COMMUNITY GOVERNANCE Few communities have been supported to date; some advocacy and support from national/international organizations 6. SYSTEMS FOR RECORDING COMMUNITY FOREST TENURE RIGHTS Systems for documenting rights are mostly insufficient and not publicly available 7. ENFORCEMENT OF TENURE RIGHTS Insufficient enforcement; few connections between traditional courts and local courts; local by-laws lack full force of law and are rarely enforced by Forestry Department and broader law enforcement; proposed developing community law enforcement systems (forest guards) 8. PROTECTION OF COLLECTIVE TENURE RIGHTS IN RELATION TO OTHER FORMS OF TENURE AND LAND USE Different departments apply law independently of other resources; insufficient horizontal coordination between sectors; broad perception that despite national law allowing community forests on customary land, only titled state land is fully protected 9. CONFLICT AND DISPUTE RESOLUTION Customary institutions are accessible and able to resolve disputes, but decisions may not be upheld outside of community FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 119 RECOMMENDATIONS LINKED TO KEY ELEMENTS Mobilize cooperating Coordinate government Stakeholder Consider the role and Manage spatial data partner and private natural resource mobilization between power of stakeholders: rights on the forest sector support: Policy management community, customary estate: The use of Clarify the roles implementation to implementation: and state actors: Given existing tools like the and hesitations promote secure forest Zambia’s progressive limited resources National Spatial Data of stakeholders in tenure for communities natural resource for the forestry Infrastructure and community forest has not been prioritized management laws sector in Zambia, the National Forest management. Make within the central do not contradict one and the complex and Monitoring System use of the experience government processes another, but their overlapping wildlife and could support tenure accumulated over and programs. application can seem land tenure regimes, a resolution if they are recent years. Community forest siloed by ministry or forest tenure-specific integrated into the management is thus department and open roadmap of policies and national data system, likely to remain a to interpretation. actions is not likely to in the same mode as donor-driven process Coordinating be financially viable or mining licenses. The mainly with minimal implementation will effective in instituting data and infrastructure financial investment require a political required change. exist at no cost, it just coming through champion to work Instead, Zambia should requires commitment government resources. across ministries to empower existing from the Forestry agree on education, but still nascent Department. outreach and platforms that bring awareness needs, and together multiple ultimately to secure ministries/departments, the commitment of customary leaders Commit to pushing relevant high-level and community-based value and income officials to sign off on groups. to community level: proposed changes in An additional key implementation. to the successful promotion of secure forest tenure in Develop a Zambia is political community forest commitment to tenure investment allowing communities package: This sector to directly benefit remains attractive from the value of the to private sector natural forests investors, as well as cooperating partners with interests in sustainable resource management, small and medium-size enterprises and rural economic development. 120 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT SYNTHESIS OF RISKS AND CHALLENGES: 1. The disconnect between land rights and tree rights, particularly on customary land, results in large blind spots where active forest management is largely absent. Zambia’s vast areas of forest are mainly under the de facto management of customary structures, though legally the forests remain under the jurisdiction of the Forestry Department. Large areas of forest sit within Game Management Areas (GMAs), where the Department of National Parks and Wildlife administers hunting concessions with private operators. 2. There is a lack of publicly available data on forest management. While an integrated platform exists to document land use at the national level (National Spatial Data Infrastructure), it is currently not populated with data from the Forestry Department. There are not easy approaches to get spatial data to forest officers or customary leaders on the ground. 3. The Forestry Department has limited resources to manage National Forest Reserves, and even fewer to manage natural forests in open areas or GMAs. Gazetting new community forests may temporarily protect these areas, but there is a high risk that the communities will not receive the technical support to sustainably manage these reserved areas in the long term. 4. Freedom of movement in Zambia and the ability of new settlers to move into highly forested areas with relative ease has created a rush on forested areas that may be accessible for agriculture. The inability of existing communities to control this expansion presents risks, and regulations are lacking to control settlement in rural areas. 5. There has been limited opportunity to coordinate management between customary and state institutions. As a result, there are few customary structures legally or socially empowered to restrict forest use by outsiders through legal means or from neighbors through customary means. While recent Community Forestry Regulations envision this coordination, it has yet to be proven in practice. 6. Converting forest to subsistence agriculture use secures household rights to the land. In the absence of other approaches to regulate land use in customary areas, community forest management (CFM) is the only tool to devolve land or forest management rights to the community level that has both customary and state backing. Historically, there have been no mechanisms for communities to register rights to communal land and there has been limited ability to commercialize timber resources. This presents an immense opportunity, but also the risk that CFM will used by communities to secure their rights to land, rather than being interested in actively managing forest areas. Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 121 SYNTHESIS OF OPPORTUNITIES: 1. Learning: Community forest management has legal force and has generated significant momentum. It is being used to support a range of objectives from generating carbon revenues to securing rights to NWFP and timber, to acting as a buffer to national parks. Additionally, the lessons learned from participatory forest management efforts in Zambia during Joint Forest Management piloting and producer group efforts, with weak or non-existent legal frameworks, are still broadly applicable to the challenges that will face community forest management. 2. Community-based natural resource management (CBNRM) harmonization: Alongside community forest management, the opportunity to harmonize CBNRM presents a major policy opening. The initial efforts to align the Forests and Wildlife Acts of 2015 create an opening for coordinated management as do the Fisheries Act and Urban and Regional Planning Act of 2015. Most important here is the potential for local law enforcement and extension to be provided holistically. Importantly, community forests are the first resource management regime that has focused on transferring rights to the resource, rather than focusing on benefit sharing exclusively. 3. National representation for community-based organizations: CBNRM harmonization within the national legal framework requires a national respect for the rights and local management responsibilities of chiefs and community members themselves. The emergence of a National Community Resource Board Association (ZNCRBA) is encouraging in the wildlife sector; a similar national representation (potentially through the ZNCRBA) may be necessarily within the forest sector to create space to advocate for community rights at a national level. 4. Generate and distribute benefits: The experience within the wildlife sector offers valuable lessons, as rights to benefits were devolved to community associations (Community Resource Boards [CRB]) years ago. The focus of community forestry on a rights-based approach may help to ensure that benefits are realized. 5. Resolve conflicts proactively: There is a history of underlying tensions over forest resources and their management on state and customary land that is worth addressing systematically. 6. Legislative Priorities: With the Community Forest Regulations finalized, there is a need to align additional implementing regulations with the new community forest tenure regime. This includes finalizing Carbon Rights and Charcoal Regulations. Many see community forests as a convenient mechanism to unlock broader economic opportunities. 7. Implementation Priorities: Testing and learning from the operational experiences of the CFM agenda is likely to be more productive than pushing a specific tenure reform agenda. 122 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT E. POLICY ROADMAP: commissioners, local councilors, district forest officers, district officers from the Department of Even without government revenue support and National Parks and Wildlife and customary leaders. with limited Forestry Department staff, Zambia can These models would act as examples on the mobilize widespread expansion of community forest ground, and feed into a national-level processes, management and broader clarification of community led by the political and technical champions above. rights to forests. Sequential steps (further defined in Section D: How to secure forest tenure) include: 4. Contributing information into national spatial data infrastructure to ensure that the public is aware of 1. Identifying political and technical champions at the community forest rights. national level within the Forestry Department. 5. Launching broader outreach, awareness and 2. Developing a community forest management education efforts, including with national learning investment program for cooperating partners, institutions, horizontally across government private sector and government departments to departments and with the community, and vertically align with. between national and local-level structures. 3. Establishing models of coordination through 6. Building on this awareness to encourage specific district-level successes among district community, government, private sector and Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 123 customary leader stakeholders to communicate institutions. Such steps are not costly, but they require and resolve tensions/conflicts. commitment and vision from political and technical leaders with power and willingness to push forward 7. Mobilizing private sector and cooperating change. These steps are expected to unlock funding partner resources, by demonstrating government and interest from a range of actors. They are expected commitment through acting on the low-cost or no- to have positive knock-on impacts for wildlife, food cost activities identified above. security and nutrition, household incomes and district growth. Without such investment in community forest 8. Ensuring that benefits of community forest management, implementation is likely to be sporadic management are retained entirely at the community and costly, resulting in limited uptake across Zambia. level to recognize their management rights and responsibilities. Policy uptake (April 2020): FTA implementation in Zambia appears to have spurred local dialogue The above steps are those required by government between the Forestry Department, National Parks actors, largely the Forestry Department, to unlock and the Rufunsa District Council of Community Forest private sector investment, community engagement, Management Groups; FTA may be used as an input to civil society commitment, cooperating partner an ongoing study of 55 community forest groups. Its support, customary authority trust and consistent findings have also been integrated into donor reviews application of rules and regulations by government of the forestry sector. 124 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 125 APPENDIX 4 GUIDANCE NOTE FOR STAKEHOLDER ENGAGEMENT AND VALIDATION WORKSHOP PLANNING STAKEHOLDER MAPPING AND key gaps, problem areas and policy priorities. It can ENGAGEMENT36 highlight which stakeholders have a higher level of influence and who will benefit the most from the Early and continuing engagement and meaningful proposed intervention. consultation with stakeholders is good international practice.37 It is critical in a national or regional-level assessment that stakeholders generate information STAGES OF STAKEHOLDER ENGAGEMENT and data endorsed by all key groups within the DURING FTAT IMPLEMENTATION country/region, and The Bank’s project or country There are three stages of stakeholder engagement team will invariably work with multiple stakeholders anticipated throughout FTAT implementation (see during this process. As such, it is recommended Fig. 1). The scope of stakeholder engagement may that all users of the FTAT establish a systematic vary depending on the time and budget constraints approach to stakeholder engagement, focusing on of the team. These stages are explained below, along analysis, identification and mapping of the relevant with the range of stakeholders that may be engaged stakeholders at different stages. (see Table 1). Stakeholder mapping is a visual and analytical process a. Pre-validation engagement: Key ministries and of laying out all the stakeholders in a project or policy government departments should be involved at reform on one map, providing a visual representation of the assessment onset to share information, build everyone with influence and how they are connected. rapport and gather data. In terms of timing, while stakeholder mapping can be done at the beginning of an assessment, it may It is a priority in this phase to identify the be more beneficial at a later stage, after identifying champions and focal points within government FIGURE 1 POLICY & PRE-VALIDATION VALIDATION IMPLEMENTATION ENGAGEMENT WORKSHOP ROADMAP & DIALOGUE(S) 36 According to World Bank’s Environmental and Social Framework, “stakeholder” refers to individuals or groups who: (a) are affected or likely to be affected by the project (or policy). These are called project-affected parties; and (b) may have an interest in the project (or policy reforms). These are called other interested parties. 37 World Bank Environmental and Social Framework.” 2016. World Bank, Washington, DC. 126 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT departments, as well as manage the expectations a full range of stakeholders in the scoring and from the process. A good practice would be to validation process. Collectively, these stakeholders establish a working group or steering committee can define the priority areas and identify key with relevant stakeholders to define the policy or influencers to engage at later stages. It is generally action relevance of the assessment. good practice to include parliamentarians for part of this workshop. Government champions can identify non- governmental counterparts and implementing c. Policy and implementation roadmap and partners in the country. It is important for dialogues: Based on the validation workshop the key stakeholders, including major CSOs, findings, the lead agency can prepare focused regional agencies and traditional or community priorities and an action plan, resulting in a policy representatives, to understand the objective of the dialogue. This ultimately leads to a policy and assessment process itself and how it will benefit or implementation roadmap. Tools like Net-Map38 inform the ongoing development efforts/projects can be used to identify channels of influence and in the country (whether or not forest tenure is a policymakers. priority of the given country). A select number of key stakeholders may be engaged through focused meetings, small workshops or interviews to ORGANIZING AND CONDUCTING THE FTAT determine the policy relevance of the activity and to VALIDATION WORKSHOP seek their inputs to support desk-based assessment. Suggested objectives: b. Validation workshop: For a holistic discussion a. Develop concrete technical understanding of the around all the themes and indicators of the subject matter assessment, it is critical to include all the stakeholders involved in the scope of the ƒ Present the initial findings from the desk-based assessment and its outcomes. Depending on assessment budget, this stage includes participation from ƒ Receive validation from workshop participants PRE-WORKSHOP ENGAGEMENT VALIDATION WORKSHOP POLICY DIALOGUE(S) ƒ Key govt ministries and agencies ƒ Key govt ministries and ƒ Government ministries ƒ Civil society organizations agencies and agencies ƒ Sub-national level government ƒ Civil society organizations ƒ Civil society organizations ƒ Traditional leadership (if any) ƒ Regional-level government ƒ Regional-level ƒ Traditional leadership (if any) government ƒ Indigenous peoples & ƒ Traditional leadership community representatives ƒ Parliamentarians ƒ Implementing partners ƒ Development and donor agencies ƒ Academicians ƒ Private sector ƒ Media partners 38 Net-Map is a participatory stakeholder mapping technique. It puts the spotlight on unpacking political economy issues, and analyzes stakeholder connections to draw policy recommendations. Based on the traditional social network analysis, Net-Map helps participants collectively solve a complex problem through three-stage information gathering, validation and analysis. More information can be found here: https://www.profor.info/ sites/profor.info/files/PROFOR_WrkingPaper_PoliticalEconomy_1.pdf FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 127 b. Build consensus and develop a common vision ƒ List of laws and regulations, relevant projects among the participants and other supporting material. ƒ Identify and prioritize the major gaps Supporting materials should be provided to the ƒ Identify the menu of potential interventions to participants two weeks ahead of the workshop so they address the gaps. can familiarize themselves with the background study, the tool and their role. Expected outputs: a. Workshop proceedings of the validation workshop e. Duration: b. A broad consensus and further suggestions for The workshop is expected to range between two integration of the feedback from experts on the and a half and three days. Before the workshop, initial assessment outcomes a preliminary session should be organized with community representatives to acquaint them with the c. Prioritization of policy actions based on a collective tool, technical information and workshop logistics. and better understanding of forest tenure in different contexts in the country. f. Suggested flow of the workshop: Workshop Preparation: i. The workshop could consist of the following sessions: a. Onboarding of government counterparts: This could be done through a meeting (or a series of ii. Presentation of the AF and FTAT methodology meetings), or a formal presentation to the key iii. Presentation of the desk-based assessment government departments involved in the work Presentation of the approach to scoring the carried out during the implementation phase. A indicators and validation process designated official from the relevant department/ ƒ Designate participants to the break-out ministry would co-lead and report on the progress of groups the assessment. Including an official as a champion of the assessment process ensures a higher success ƒ Clarify the operational definitions and key for the workshop and the following policy dialogue. considerations under each of the nine The working group will be actively involved in the elements of the tool preparations as the resource persons and advisors. iv. Break-out group work b. Invitations to the key participants ƒ Identify facilitators and rapporteurs (consider also working group members for these roles) c. Logistical requirements: Invitations, venue, date, ƒ Score indicators in group consensus39 catering, accommodation, ticketing, presentation equipment and supporting material for the ƒ When consensus cannot be reached, note participants (cell phone to take votes; projector; dissenting opinion and score microphones; interpreters, etc.). ƒ Prioritize and identify the challenges, along with the key interventions d. Supporting materials: v. Reporting by break-out groups ƒ Results of FTA desk-based assessment vi. Conclusion of the workshop ƒ Indicator scoring of FTAT (translated in national language) ƒ Consolidate the inputs of the break-out groups (to be used as a basis for drafting the ƒ Summary table of 42 indicator/nine elements (for policy and implementation roadmap) scoring, if not using mobile app) ƒ When finalized, the roadmap will be shared ƒ List of operating definitions (from AF and legal) with the participants for their inputs. ƒ Additional charts, maps or figures to provide relevant statistical data 39 Final scoring should be determined by consensus. It is suggested that workshop participants be organized into small break-out groups (eight to 10 participants each), with each group responsible for scoring only 10-12 indicators. 128 | SECURING FOREST TENURE RIGHTS FOR RURAL DEVELOPMENT POLICY AND IMPLEMENTATION ROADMAP AND POLICY DIALOGUES Based on workshop conclusions, the lead agency would draft a set of priority actions and policy interventions. This would facilitate an informed dialogue among relevant agencies and result in the development of a coordinated policy and implementation roadmap. The working group could also be involved in developing the roadmap and communicating the developments to the participants. An in-depth political economy analysis can provide insights into channels of influence and predominant change agents. This would define the roles and responsibilities of different stakeholders and clarify how they can each move the roadmap forward and influence the reform process. Photo by Gerardo Segura Warnholtz / World Bank FOREST TENURE ASSESSMENT TOOL AND USER GUIDE | 129