FOREST  GOVERNANCE  ASSESSMENT  

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..the  exercise  of  poli?cal,  economic  and  administra?ve  authority  to  manage  a  na?on’s  affairs.    It  is  the  complex  mechanism,  processes  and  ins?tu?ons  through  which  ci?zens  and  groups    

–  ar?culate  their  interests,    –  exercise  their  legal  rights  and  obliga?ons,  and    –  mediate  their  differences.  

[UNDP]  

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THE  WORLD  BANK  

Governance  refers  to  the  manner  in  which  public  officials  and  ins?tu?ons  acquire  and  exercise  the  authority  to  shape  public  policy    and  provide  public  goods  and  services.    [Corrup?on  is  one  outcome  of  poor  governance  involving  abuse  of  public  office  for  private  gains].  

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NO  SINGLE  DEFINITION  OF  FOREST  GOVERNANCE  

•  Difficult  to  define  forest  governance.  What  should  exactly  be  assessed?  

•  There  is  no  simple  or  broadly  accepted  defini?on  of  governance.  

 •  Good  governance  is  associated  with  principles  such  as-­‐  transparency,  par?cipa?on  and  accountability.  

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Good  Governance  

Good  governance  is  cri?cal  founda?on  for  achieving  posi?ve  – Social  – Environmental  – Economic  

     outcomes      

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FOREST GOVERNANCE  Governance includes much more than Government; since decisions about forests are made by a wide range of public and private actors..

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FOCUS  ON  PROCESS  

Forest governance has to do with the process of how decisions are made about forests, as opposed to focusing on what decisions are made or outcomes of those decision.

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WHY  FOREST  GOVERNANCE  IS  CHALLENGING?  

•  MANY  STAKEHOLDERS  •  MANY  PRODUCTS  •  CONFLICTS  OVER  RESOURCE  USE  •  LAND  HUNGER  •  PRODUCT  HUNGER  •  OVERUSE  OF  RESOURCES  •  LOW  PRIORITY  SECTOR  

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IS  THERE  A  SIMPLE  RELATIONSHIP  AMONG  INSTITUTIONS??  

POLITICAL  AUTHORITY  

SECRETARIAT  

FOREST  DEPARTMENT  

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GOVERNANCE STRUCTURE RELATIONSHIP

CHIEF  MINSTER  &  CABINET  

FOREST  MINISTER  

SECRETARY  

FOREST  DEPARTMENT  

OTHER  POLITICIANS  

OTHER  DEPARTMENTS  

COMMUNITY  CIVIL  SOCIETY   PRIVATE  SECTOR  

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COMPLEX  

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GOVERNANCE  WEB  

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FOREST  GOVERNANCE  NOT  INDEPENDENT  

•  FOREST GOVERNANCE IS PART OF A SYSTEM

•  ITS QUALITY/ EFFECTIVENESS REFLECTS OVERALL GOVERNANCE SYSTEM

•  ACHIEVEMENT OF FOREST POLICY OR SECTORAL GOALS NOT POSSIBLE UNLESS SUPPORTED BY SYSTEM

•  SYSTEM IS OVERALL COUNTRY’S GOVERNANCE WEB-HIGHLY INTRICATE

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GOVENRANCE  ASSESSMENT    

   

is used for diagnosis, monitoring and assessment of the state of forest governance in a country or province.

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The quality of governance determines whether forest resources are used efficiently, sustainably and equitably, and whether a country achieves forest related development goals.

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FRAMEWORK  FOR  GOVERNANCE  ASSESSMENT    

 The Framework provides a means to view and analyze the institutions and interaction within and outside the forest sector that together create the conditions and possibilities for the governance of a country’s forests and forest resources.

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QUANTITATIVE  AND  QUALITATIVE  ASSESSMENT  

Governance is inherently difficult to assess in quantitative fashion.

Qualitative assessments seen as subjective. HOWEVER, FOR FOREST GOVERNANCE ASSESSMENT, A QUALITATIVE ASSESSMENT IS PRACTICAL.

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 INTENDED  USERS  of  ASSESSMENT  FRAMEWORK    •  REDD  PLUS  •  Forest  Investment  Program  of  the  World  Bank  

•  Forest  Law  Enforcement,  Governance  and  Trade  (FLEGT)  EU,  FAO,  WB  (Feb  2010)  

 •  Anyone  involved  in  forest  governance.      •  It  can  assist  government  and  non-­‐government  actors  interested  in  the  characteris?cs  and  quality  of  forest  governance  in  a  par?cular  state/country.  

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 Interna?onal  ini?a?ves  Framework  for  Assessing  and  Monitoring  Forest  

Governance  

•  PROFOR  (The  Program  on  Forests)  •  The  World  Bank  •  ICT  in  forest  governance  

•  Food  and  Agriculture  Organiza?on  of  the  United  Na?ons  (FAO)  Rome  2011  

•  EU  funded      

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Development  of  Framework  for  assessment  

•  UN-­‐REDD/Chatham  House  Framework  for  Monitoring  REDD+  Governance  safeguards  (May  2010)  

 •  Sep  2010:  WB,  FAO,  Sida-­‐interna?onal  workshop,  Stockholm  

decided  to  develop  a  common  framework  for  forest  governance  indicators.  

•  March  2011  dran  framework  further  developed  

•  Drawing  upon  WB,  WRI,  SFM  C  &  I  of  Montreal  process  and  ITTO  and  UNREDD/Chatham  House  framework  for  monitoring      

•  WRI  used  in  Brazil,  Indonesia  and  Cameroon    

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Work  on  forest  governance  

World  Resource  Ins?tute:  

   Assessing  forest  governance      The  Governance  of  forest  ini?a?ve  (GFI)  

 GFI  Guidance  Manual    

   FIELD  TESTED  IN  2010-­‐13  

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WRI:  the  GFI  Framework    Organiza(on  of  the  Indicators  by  thema(c  area  and  subthemes  •  forest  tenure    

–   Forest  ownership  and  use  rights    –  Tenure  dispute  resolu?on    –  State  forest  ownership  Concession  alloca?on  

•  land  use    –  Land  use  planning  –   Land  use  plan  implementa?on    –  Sectoral  land  use    –  Forest  classifica?on  

•  forest  management  –  Forest  legal  and  policy  framework    –  Forest  strategies  and  plans    –  Forest  monitoring    –  Forest  management  prac?ces  –   Forest  law  enforcement  

•  forest  revenues    –  Forest  charge  administra?on    –  Forest  revenue  distribu?on  –  Benefit  sharing  –  Budge?ng  

•  crosscu9ng  Ins(tu(ons    –  Legislature  Judiciary    –  Execu?ve  agencies  –   Private  sector    –  Civil  society  

•  cross-­‐cu9ng  Issues    •  Public  par?cipa?on  in  decision-­‐making    •  Public  access  to  informa?on    •  Financial  transparency  and  accountability  •  An?corrup?on  measures  

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FRAMEWORK DESIGN, STRUCTURE AND ELEMENTS

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PRINCIPLES OF GOOD FOREST GOVERNANCE •  ACCOUNTABILITY

•  TRANSPARENCY

•  PARTICIPATION •  EFFECTIVENESS          }      in  management  of  •  EFFICIENCY                              }      natural,  human  and  

                               financial  resources  •  FAIRNESS/  EQUITY      (rule  of  law)          

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STRUCTURE  OF  THE  FRAMEWORK  FOREST  GOVERNANCE    

•  3  pillars  of  good  governance  •  13  Components  •  80  Sub-­‐components      •  Indicators  numerous    –  (WRI  -­‐122)  

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Pillar  1:  Policy,  legal,  ins?tu?onal  and  regulatory  frameworks   1.1 Forest-related policies and laws 1.2 Legal framework to support and protect land tenure, ownership and use rights 1.3 Concordance of broader development policies with forest policies (CROSS-SECTORAL ISSUES) 1.4 Institutional frameworks 1.5 Financial incentives, economic instruments and benefit sharing

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Pillar  2:  Planning  and  decision-­‐making  processes      2.1 Stakeholder participation 2.2 Transparency and accountability 2.3 Stakeholder capacity and action  

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Pillar  3:  Implementa?on,  enforcement  and  compliance  3.1 Administration of forest resources 3.2 Forest law enforcement 3.3 Administration of land tenure and property rights 3.4 Cooperation and coordination 3.5 Measures to address corruption

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INDICATOR    

SUBCOMPONENT      

COMPONENT  

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PILLAR  3:  IMPLEMENTATION,  ENFORCEMENT  AND  COMPLIANCE  

COMPONENTS   SUB-­‐COMPONENTS  

ADEQUACY  OF  STAFF  CAPACITY  AND  EFFECTIVENESS  OF  AGENCY  RESPONSIBLE  FOR  FOREST  ADMINISTRATION  

3.1  ADMINISTRATION  OF  FOREST  RESOURCES  

QUALITY  AND  EFFECTIVENESS  OF  INFORMATION  AND  DATA  MANAGEMENT    

EFFECTIVE  M&E  AND  TRANSPARENCY  

USE  OF  M&E  RESULTS  IN  PLANNING    

ADHERENCE  TO  POLICIES,  LAWS  AND  PLANS  ON  GROUND  

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An  indicator    

iden?fies  informa?on  needed  to  describe  and  /or  measure  a  governance  subcomponent  at  a  given  ?me  but  also  to  monitor  changes  in  the  subcomponent  over?me.  •  Quan?ta?ve  •  Descrip?ve  •  Input-­‐output-­‐outcome  indicators    

 Choice  depends  on  availability,  quality,  cost  of  data  or  informa?on  

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SIMPLY  

•  An  indicator  is  a  quan?ta?ve,  qualita?ve  or  descrip?ve  aqribute  that,  if  measured  or  monitored  periodically,  could  indicate  the  direc?on  of  change  in  a  governance  subcomponent.  

•  The  framework  does  not  specify  indicators  since  they  are  country  and  situa?on  specific  

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INDICATORS:  HOW  TO  FORMULATE  AND  SCORE    

3.1.1  ADEQUACY  OF  STAFF  CAPACITY  AND  EFFECTIVENESS  OF  AGENCY  RESPONSIBLE  FOR  FOREST  ADMINISTRATION  

 

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How  to  measure  staff  capacity?   How  to  define  indicators?  

How  to  measure  adequacy?   Numbers  per  unit  area    and  skill  mix  and  exper?se  

How  to  measure  effec?veness?   Depends  on  staff  capacity  

e.g.  desired  outcome  SMF   Mo?va?on-­‐  will  to  act;    incen?ves,  resources  

Indicator  (measure  on  a  4  point  scale  

No.  of  staff    0=  No  staff  per  unit  with  skills  and  exper?se  

   1=  less  than  minimum  per  unit  

   2=  equal  to  minimum  required  

   3=  greater  than  minimum  required  

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IT  WILL  BE  USEFUL  TO  HAVE  A  DOCUMENT  ON  ASSESSMENT  

UNDERTAKE ASSESSMENT FOR REFORMS INCLUDE IN OVERALL GOVERNANCE REFORM AGENDA SOME INTERNAL REFORMS ARE POSSIBLE MAJOR REFORMS NOT FEASIBLE IN ISOLATION

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GET ASSESSMENT OF FOREST GOVERNCE DONE THROUGH AN INDEPENDENT AGENCY FOR OBJECTIVITY AND CREDIBILITY.

AGENCY SHOULD FACILITATE AND NOT JUDGE.

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