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GOVERNANCE OF TENURE TECHNICAL GUIDE 2

A practical guide

Improvinggovernance

of forest tenure



F TENURE TECHNICAL GUIDE 2

ce

ure

The FAO Governance o Tenure Technical Guides are part

o FAO’s initiative to help develop capacities to improve

tenure governance and thereby assist countries in applying

the Voluntary Guidelines on the Responsible Governance

of Tenure of Land, Fisheries and Forests in the Context of

National Food Security . The FAO Governance o Tenure

Technical Guides are prepared by technical specialists and

can be used by a range o actors. They:

• Translate principles o the Guidelines into practical

mechanisms, processes and actions.

• Give examples o good practice – what has worked,where, why and how.

• Provide useul tools or activities such as the design

o policy and reorm processes, or the design o

investment projects and or guiding interventions.

For more inormation on the Guidelines and FAO’s activities

on governance o tenure visit: www.fao.org/nr/tenure



FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS

Rome, 0

Improvinggovernance

of orest tenureA practical guide

G O V E R N A N C E O F T E N U R E t e c h n i c a l g u i d e N o .



Recommended citationMayers, J., Morrison, E., Rolington, L., Studd, K. and Turrall, S. 0. Improving gov-ernance o orest tenure: a practical guide. Governance o Tenure Technical Guide No.,International Institute or Environment and Development, and Food and AgricultureOrganization o the United Nations, London and Rome

This publication is intended to support the use o the Voluntary Guidelines on theResponsible Governance o Tenure o Land, Fisheries and Forests in the Context o National Food Security. It is not intended to contradict the language o the Guide-lines as endorsed by the Committee on World Food Security on May 0 nor therole o states in their implementation.

The designations employed and the presentation o material in this inormationproduct do not imply the expression o any opinion whatsoever on the part o theFood and Agriculture Organization o the United Nations (FAO) concerning the legalor development status o any country, territory, city or area or o its authorities, orconcerning the delimitation o its rontiers or boundaries The mention o speciccompanies or products o manuacturers, whether or not these have been patented,does not imply that these have been endorsed or recommended by FAO in preer-ence to others o a similar nature that are not mentioned.

The designations employed and the presentation o material in the maps do notimply the expression o any opinion whatsoever on the part o FAO concerning thelegal or constitutional status o any country, territory or sea area, or concerning thedelimitation o rontiers.

ISBN 978-9-5-07586-9 (print)E-ISBN 978-9-5-07587-6 (PDF)

All rights reserved. FAO encourages reproduction and dissemination o material inthis inormation product. Non-commercial uses will be authorized ree o charge,upon request. Reproduction or resale or other commercial purposes, includingeducational purposes, may incur ees. Applications or permission to reproduce ordisseminate FAO copyright materials, and all queries concerning rights and licenc-es, should be addressed by e-mail to [email protected] or to the Chie, PublishingPolicy and Support Branch, Oce o Knowledge Exchange, Research and Extension,FAO, Viale delle Terme di Caracalla, 005 Rome, Italy.

© FAO 0



III

Acknowledgements

This technical guide on Improving governance o orest tenure has been preparedby a team led by James Mayers, o the International Institute o Environmentand Development (IIED), with the support o Francesca Romano, o the Food andAgriculture Organization o the United Nations (FAO).

The guide was drated by James Mayers, Elaine Morrison, Leianne Rolington, KateStudd and Susanne Turrall.

The text benetted greatly rom comments and contributions rom those whoattended a workshop to discuss an early drat in May 0 and provided eedback ona revised drat in 0: Tom Blomley, Janette Bulkan, Jane Carter, Ronnie De Camino,Eva Muller, Isilda Nhantumbo, Francesca Romano, Ken Rosenbaum, Patrice Talla,

Godber Tumushabe, Sanjay Upadhyay and David Young. Further useul comments,suggestions and ull reviews were contributed by Simon Anstey, Juergen Blaser,Irina Buttoud Kouplevatskaya, Nora Heil, Robert Kaakoma, Fred Kaeero, MeganMacInnes, Duncan Macqueen, Jasper Makala, Elisa Manukjan, Ewald Rametsteiner,Olivia Rickenbach, Matthias Schwoerer and Bright Sibale. Anna Barnett undertook theediting and Luca Feliziani provided the layout o this nal version.

FAO thanks the Federal Ministry o Food, Agriculture and Consumer Protection o Germany or unding the development and preparation o this technical guide. Theinitiative also benetted rom the support and ideas o a range o participants in theForest Governance Learning Group, which is acilitated by IIED and partly unded by theEuropean Commission and the UK Department or International Development (DFID).



IV ImprovIng governance of forest tenure

Foreword

Decisions about resource tenure – or who can use what resources o the land orhow long, and under what conditions – are among the most critical or orestsand livelihoods in many contexts. As tenure systems increasingly ace stress, withgrowing populations requiring ood security and with environmental degradationand climate change reducing the availability o land and orests, the governance o tenure becomes ever more crucial in determining whether and how people are ableto acquire rights to use and control these lands and orests, along with the associatedresponsibilities.

Recognizing increasing demands or help in addressing this challenge, inparticular rom local-level stakeholders, FAO initiated a multistakeholder process that

culminated in May 0 with the Committee on World Food Security endorsing theVoluntary Guidelines on the Responsible Governance o Tenure o Land, Fisheries andForests in the Context o National Food Security (‘the Guidelines’). Based on principleso sustainable development and the undamental role o land in people’s livelihoodsand environmental resilience, the Guidelines are intended to contribute to global andnational eorts to eradicate hunger and poverty by promoting secure tenure rightsand equitable access to land, sheries and orests.

Inspired by the Guidelines, and recognizing orest tenure as a key part o thechallenge, this Practical Guide on improving governance o orest tenure is oryou i you want to rise to that challenge. It is or those who want to try to improvethe governance o orest tenure, and it helps you to take action in our criticalareas – understanding, organizing, engaging and ensuring – to improve decision-

making about orest goods and services. It starts by highlighting some importantopportunities and challenges in governance today and directs you to urtherinormation, appropriate to how you identiy yoursel as a stakeholder and what typeo opportunity or challenge you are acing. It then lays out a toolkit containing some86 tools described in summary orm and 9 key tools explained in some depth. Thesetools are labelled or their appropriateness in dierent governance contexts and orthe amount o time, money and skills needed to use them. A glossary and extensiveWeb-linked bibliography or urther inspiration are also provided.

Maria Helena Semedo

Deputy Director-General

FAO Natural Resources Management

and Environment Department

Camilla Toulmin

Director

IIED



V

Acronyms

API Accessing Public Inormation

CEDAW Convention on the Elimination o All Forms o Discriminationagainst Women

CRC Convention on the Rights o the Child

CSC Community Score Card

EITI Extractive Industries Transparency Initiative

FAO Food and Agriculture Organization o the United Nations

FLEGT Forest Law Enorcement, Governance and Trade

FSC Forest Stewardship Council

FPIC Free, prior and inormed consent

GIS Geographic inormation systems

GPS Global positioning system

HCV High conservation value

ICCPR International Covenant on Civil and Political Rights

ICERD International Convention on the Elimination o All Forms o RacialDiscrimination

ICESCR International Covenant on Economic, Social and Cultural Rights

ICT Inormation and communications technology

IIED International Institute or Environment and Development

ILO International Labour Organization

LAS Legality assurance system

NGO Non-governmental organization

PCA Power and Change Analysis

PEN Poverty and Environment Network

PES Payments or environmental services

PM&E Participatory monitoring and evaluation

PROFOR The Program on Forests

RAFT Rapid Appraisal o Agroorestry Practices, Systems and Technology

RaTA Rapid Land Tenure Appraisal



VI ImprovIng governance of forest tenure

REDD Reduced emissions rom deorestation and orest degradation

REDD+ Reduction o emissions rom deorestation and orest degradation,conservation, sustainable orest management and enhancement o carbon stocks

RTI Right to inormation

SFM Sustainable orest management

SWOT Strengths, weaknesses, opportunities and threats

TI Transparency International

UDHR Universal Declaration o Human Rights

UNDRIP UN Declaration on the Rights o Indigenous Peoples

UNECE United Nations Economic Commission or EuropeVPA Voluntary Partnership Agreement



VII

Acknowledgments . . . . . . . . . . . . . . . . . . III

Foreword . . . . . . . . . . . . . . . . . . . . IV

Acronyms . . . . . . . . . . . . . . . . . . . . V

ir

Why you might need this Practical Guide . . . . . . . . . . . . .

Why tenure and its governance are so important . . . . . . . . . . .

Locating your starting point and dening your objective . . . . . . . . .

Using the toolkit to help reach your objective . . . . . . . . . . . .

9

A - ts r rs

Why understanding is important or governance o orest tenure . . . . . . 7

Navigating and applying the tools in this section . . . . . . . . . . 8

Assessing the biophysical resource base . . . . . . . . . . . 9

National orest inventory and orest resource assessment . . . . . . 0

Community measurement and monitoring o orests, including carbon stocks . 0

Rapid Carbon Stock Appraisal . . . . . . . . . . . . .

Rapid Appraisal o Agroorestry Practices, Systems and Technology (RAFT) . .

Identiying areas o high conservation value . . . . . . . . .

Multidisciplinary landscape assessment . . . . . . . . . . .

People’s biodiversity registers . . . . . . . . . . . . .

Assessing orest cover change with TREES . . . . . . . . . .

Understanding the role o orest goods and servicesin supporting people’s livelihoods . . . . . . . . . . . .

Poverty - Forest Linkages Toolkit . . . . . . . . . . . . 5

Participatory analysis o poverty, livelihoods and environment dynamics . . 5

Basic assessment guide or human well-eing . . . . . . . . . 6

Poverty and environment network prototype questionnaire . . . . . 6

Recognizing present and historical arrangementsand competing claims in orest tenure . . . . . . . . . . . 7

Rapid land tenure appraisal . . . . . . . . . . . . . . 7

Participatory mapping . . . . . . . . . . . . . . . 8

Analysis o conficts through timelines and semi-structured interviews . . . 8

Mapping the political and institutional context . . . . . . . . . 9

Policy analysis and legal analysis . . . . . . . . . . . . 0

a1.

a1.1

a1.2

a1.3

a1.4

a1.5

a1.6

a1.7

a1.8

a2.

a2.1

a2.2

a2.3

a2.4

a3.

a3.1

a3.2

a3.3

a4.

a4.1

Contents



VIII ImprovIng governance of forest tenure

Force eld analysis . . . . . . . . . . . . . . . . 0

Local stakeholder institutional mapping . . . . . . . . . .

Drivers-o-change analysis . . . . . . . . . . . . . .

Power and change analysis . . . . . . . . . . . . . .

Stakeholder infuence mapping and power analysis . . . . . . .

The Four Rs . . . . . . . . . . . . . . . . . .

Historical analysis . . . . . . . . . . . . . . . .

Achieving responsible gender-equitable governance o land tenure . . .

Governance assessment tools . . . . . . . . . . . . .

Dening opportunities or change . . . . . . . . . . . . 5

Scenario analysis and planning . . . . . . . . . . . . . 5

Problem tree analysis . . . . . . . . . . . . . . . . 6 Theory-o-change analysis . . . . . . . . . . . . . . 7

Community-based planning . . . . . . . . . . . . . 7

a4.2

a4.3

a4.4

a4.5

a4.6

a4.7

a4.8

a4.9

a4.10

a5.

a5.1

a5.2a5.3

a5.4

B - ts r rz

Why organizing is important or governance o orest tenure . . . . . . .

Navigating and applying the tools in this section . . . . . . . . . .

Strengthening communities to engage . . . . . . . . . . . 5

Organizing orest user-groups to engage . . . . . . . . . . 6

Building advocacy, lobbying and negotiationskills or indigenous leaders to engage with REDD+ . . . . . . . . 6

Community Organizers Toolbox . . . . . . . . . . . . . 7

From the Roots Up: strengthening organizationalcapacity through guided sel-assessment . . . . . . . . . . 7

Participatory Governance Assessment . . . . . . . . . . . 8

Community-based orest resource confict management . . . . . . 8

Interacting with national acilitation hub institutions . . . . . . . 8

Guidance or developing advocacy plans . . . . . . . . . . 9

Building a responsive public sector . . . . . . . . . . . . 9

Facilitating organizational and institutional change . . . . . . . . 50

Appreciative inquiry . . . . . . . . . . . . . . . . 5

Running pilot projects . . . . . . . . . . . . . . . 5

On-the-job mentoring o government ocials in participatory approaches . 5

E-government systems or securing orest rights . . . . . . . . 5

Organizing or the private sector to operate in a air and inclusive way . . . 5

Market analysis and development or community-basedtree and orest product enterprises . . . . . . . . . . . . 5

B1.

B1.1

B1.2

B1.3

B1.4

B1.5

B1.6

B1.7

B1.8

B2.

B2.1

B2.2

B2.3

B2.4

B2.5

B3.

B3.1



IX

Strengthening community enterprise governance and structures . . . . 5

Investing in sustainable orestry enterprises . . . . . . . . . 55

Company-community orestry partnerships . . . . . . . . . . 55

Fairtrade standard or timber sourced romsmall-scale and community-based producers . . . . . . . . . 56

Building or strengthening coalitions, networks and ederations . . . . . 56

Managing a peer-to-peer learning group or improving orest governance . . 57

Social networks: 8 Degrees and others . . . . . . . . . . . 58

Building alliances and coalitions or advocacy . . . . . . . . . 58

B3.2

B3.3

B3.4

B3.5

B4.

B4.1

B4.2

B4.3

C - ts r

Why engaging is important or governance o orest tenure . . . . . . . . 6Navigating and applying the tools in this section . . . . . . . . . . 6

Supporting civil society to wield evidence, advocate, campaign and negotiate . 65

Advocacy tools and guidelines . . . . . . . . . . . . . 65

Eective consultation . . . . . . . . . . . . . . . 66

Free, prior and inormed consent – rom principle to practice . . . . . 66

Supporting communities to negotiate and runimpact and benet agreements with companies . . . . . . . . 67

Media and lobbying tactics or local groups . . . . . . . . . . 68

Crowdsourcing . . . . . . . . . . . . . . . . . 68

Ushahidi: open-source sotware and collaborative mapping . . . . . 69

Community radio . . . . . . . . . . . . . . . . 69

Participatory photos and video . . . . . . . . . . . . . 70

Policy research or change . . . . . . . . . . . . . . 70

Running eective consultation, participation and multistakeholder processes . 7

The Pyramid: a diagnostic and planning tool or orest governance . . . 7

Stakeholder involvement in national orest programmes . . . . . . 7

Road map or running participatory dialogue processes . . . . . . 7

Consultation with civil society by others . . . . . . . . . . . 7

Pathnder: steering multistakeholder

working groups to develop orest standards . . . . . . . . . 7

Forest certication . . . . . . . . . . . . . . . . 7

c1.

c1.1

c1.2

c1.3

c1.4

c1.5

c1.6

c1.7

c1.8

c1.9

c1.10

c2.

c2.1

c2.2

c2.3

c2.4

c2.5

c2.6

D - ts r sr

Why ensuring is important or governance o orest tenure . . . . . . . . 79

Navigating and applying the guidance in this section . . . . . . . . . 80

Monitoring and evaluation, accountability and transparency . . . . . 80d1.



ImprovIng governance of forest tenureX

axs

Citizen report cards . . . . . . . . . . . . . . . . 8

Community score cards . . . . . . . . . . . . . . . 8Forest sector transparency report cards . . . . . . . . . . . 8

Framework or assessing and monitoring orest governance . . . . . 8

Monitoring government policies: a toolkit or civil society organizations . . 8

Accessing public inormation . . . . . . . . . . . . . 8

Community scrutiny o legislation . . . . . . . . . . . . 8

Citizen action to reduce orest corruption . . . . . . . . . . 85

Anti-corruption Websites: Blow Your Whistle . . . . . . . . . 85

Citizens’ juries . . . . . . . . . . . . . . . . . 85

Mechanisms or grievances, dispute resolution and access to paralegal support . 86

Establishing grievance and complaints procedures . . . . . . . . 87

Strengthening the capacity o paralegals in orest communities . . . . 87

Legal literacy camps . . . . . . . . . . . . . . . . 88

Public hearings and auditing . . . . . . . . . . . . . . 88

Recourse to courts, higher levels o government or international policies and levers 89

Securing women’s rights using the Arican human rights system . . . . 90

Indigenous peoples’ rights in the International Labour Organization (ILO) . . 90

The Public’s Right to Know: Principles on Freedom o Inormation Legislation . 9

Using the compliance review mechanism o the Aarhus Convention . . . 9

Validation o transparency in the extractive industries . . . . . . . 9

Voluntary Partnership Agreements (VPAs) on orest governance . . . . . 9

d1.1

d1.2d1.3

d1.4

d1.5

d1.6

d1.7

d1.8

d1.9

d1.10

d2.

d2.1

d2.2

d2.3

d2.4

d3.

d3.1

d3.2

d3.3

d3.4

d3.5

d3.6

Annex : In-depth tools . . . . . . . . . . . . . . . . . 97

Rapid land tenure appraisal (RaTA) . . . . . . . . . . . 97

Participatory mapping o orest tenure . . . . . . . . . . 99

Stakeholder power analysis . . . . . . . . . . . . . 0

Organizing orest user groups to engage . . . . . . . . . . 0

On-the-job mentoring o government ocials in participatory approaches . 06

Ensuring ree, prior and inormed consent (FPIC) . . . . . . . . 07Media and lobbying tactics or local groups . . . . . . . . . 0

Forest sector transparency report cards . . . . . . . . . .

Accessing public inormation . . . . . . . . . . . . .

Xla.

Xla.

Xla.

XlB.

XlB.

Xlc.Xlc.

Xld.

Xld.

Annex : Glossary . . . . . . . . . . . . . . . . . . 7

Annex : Bibliography . . . . . . . . . . . . . . . . . 0



INTRODUCTION

ir

1. Why you might need this Practical Guide

What it is about

Forests help us breathe and they give us homes, ood and energy. Moreover, human

well-being and the health o our whole planet depend on whether and how wegrow and look ater orests. So ‘orest governance’ – or who is allowed to decide whatabout orests and how – is a matter o lie and death or millions o people aroundthe world and is prooundly relevant or us all. But decisions about orests and treesare oten in the wrong hands or made badly. Much depends on ‘tenure’ – on whoowns and controls the orests and trees themselves. The owners may be those whoneed the orests and look ater them well or those who degrade them with no regardor the well-being o others. In short, it is about power. This Practical Guide aims toinspire and arm those who want to try to improve things so that power is used wellor orests; it describes how practical tools can be used to shape better governanceo orest tenure.

Who it is orI you are a government policy-maker, or other public sector, private sector or civilsociety stakeholder concerned with orest governance and tenure reorm, this guideis written with you primarily in mind. But we hope others may pick it up and nd ituseul, too. We are aiming or a broad readership, recognizing that people in dierentsituations have dierent perspectives on the issues and need to take dierentapproaches in addressing them.

When it might be useul

You may nd this guide useul when you recognize that change is needed and youneed help in achieving it. When decisions about orests are made by the wrong people,when decisions are bad, when the process is suspect or when good decisions are madebut the capacity to do anything with them is eeble – that is when this guide may beuseul. Conversely, you may need help in nding the best way to respond to positiveopportunities or reorm o policies, laws and institutions. These are oten unique toin-country programmes and political changes, but there are several key internationalinitiatives that are strongly provoking reorm in the governance o orest tenure. TheVoluntary Guidelines on the Responsible Governance o Tenure o Land, Fisheries andForests in the Context o National Food Security (‘the Guidelines’) (FAO 0a – see



ImprovIng governance of forest tenure

bibliography or reerences used in this Practical Guide) oer the rst comprehensiveglobal instrument on tenure o these resources and its administration. Meanwhile,

some timber-producing countries are orming partnerships with the European Unionto improve governance under programmes on Forest Law Enorcement, Governanceand Trade (FLEGT). And concern about climate change is also bringing programmes orreduced emissions rom deorestation and orest degradation (REDD+), which similarlyneed to be based on improvements in orest governance. This Practical Guide aims toprovide help or those seeking to respond to these opportunities.

What it does

The guide below helps you locate your starting point – your objective in trying toimprove orest tenure governance and what actions might be practical in your context. Then it helps you to identiy a possible sequence o actions, possible tools that might

be useul, and where you can nd them in the toolkit that ollows. The toolkit providessummaries o 86 tools, grouped in our main sections, each one a stage in a notionalongoing cycle o action and refection on improving orest governance. Nine tools arealso described in depth; the aim o this is to provide a core set o commonly useul toolswith enough practical know-how or you to understand how each can be eectivelyused. Finally, a glossary o key terms and a bibliography, with hyperlinks to Web pageswhere urther inormation can be ound, are provided.

What it does not do

This guide urges you to take action and to ask many questions, but you will not ndall the answers here. It does not oer a comprehensive review o the issues in orest

tenure and governance. Very good reviews o these issues – describing why it is soimportant to shape governance – have been done by others, and the ‘General’ sectiono the bibliography points you to some o these. Neither is it a step-by-step manual.Most attempts to improve governance are messy, and many are complex and dicult.‘Textbook’ stages o careul analysis, design, action and monitoring rarely apply inreality. Nor does the guide aim to cover every possible tool and tactic. It aims to providesome tools and sources o inspiration or a range o common situations; to provokeideas rather than lay out strict ormats; and to enable you to select tools and tacticsto try out, develop urther and combine in new ways. Some o you will be much moreexperienced in the use o certain tools than this guide can cater or – but maybe you willnd interest in some new tools.

2. Why tenure and its governance are so important

Tenure is at the root o orest problems and prospects

Decisions about resource tenure – or who can use what resources o the land or howlong, and under what conditions – are among the most critical or orests and livelihoodsin many contexts. Tenure over orests is about access and rights to use or withdraworest resources; to make decisions about use patterns or transormation; to decide



INTRODUCTION

who can use the resources and who is prevented rom using them; and to transer, sellor lease the resources. A change in orest tenure leads to changes in the distribution

o rights among dierent stakeholders. So as tenure systems increasingly ace stress,with growing populations requiring ood security and with environmental degradationand climate change reducing the availability o land and orests, the governance o tenure becomes ever more crucial in determining whether and how people are ableto acquire rights to use and control these lands and orests, along with the associatedresponsibilities.

Each situation is dierent, but key problems are shared

Very useul work has been done to develop the evidence and analyse the issues –the problems and opportunities – around orest tenure. Situations dier greatly in,or example, Arica (FAO 008; Oyono 009; Wily 0), Asia (Contreras-Hermosilla

and Fay 005; FAO 006; Nguyen et al. 008; FAO 00) and Latin America (Larson et al. 008; FAO 009). But there are common problems, too:

• Roles, responsibilities and rights are oten unclear or insecure, and this canuel confict.

• Injustice and exclusion o the rights o poor and marginalized people,oten women, is common.

• Customary and indigenous rights and institutions oten prevail but arepoorly recognized in the way policies and laws are used.

• Tenure holders oten have low capacity to exercise their rights, manageorest resources sustainably and develop thriving livelihoods based onthem.

• Abilities o state institutions to support tenure holders and upholdregulation are commonly inadequate.

Reorming tenure is possible and guidance is available

There is also good evidence that the above problems can be tackled i enoughinfuence over the ‘practical politics’ o orests can be generated by people workingtogether (Mayers and Bass 00; Paudel et al. 008). Key elements in reorming oresttenure have been well analysed and promoted (Ellsworth and White 00; FAO 0a;Fisher et al. 005 and 008; Sunderlin et al. 008; White and Martin 00). Theseelements include:

• legal reorm and the capacity to implement it – improving the regulatoryramework and institutions so they dene and legitimize eective,equitable tenure arrangements and translate them into meaninguloutcomes (Christy et al. 007; Colchester et al. 006);

• realizing devolved and customary rights – ensuring that devolved rightslead to eective local control o orest resources and that customary orestmanagement arrangements are recognized and supported (Cronkleton et al. 00; Ribot 00);

• building enterprise based on rights – supporting organization and capability




to build thriving and sustainable enterprises when pre-existing customaryrights are recognized or when new rights are ormally granted (FAO 0b;

Macqueen et al. 0);• creating reorm opportunities with global change – recognizing a global

rush or land, increasing challenges rom climate change, and opportunities inresponses to both or increasing the urgency and practicality o orest tenurereorm (Cotula and Mayers 009; RRI 0).

The Guidelines (FAO 0a), in particular, provide an important way orward. Theyshow increased understanding among governments o the role played by securingcustomary tenure rights, and working with other stakeholders to manage improvementsin tenure, in achieving national and global development goals. This Practical Guide isdesigned to complement other sources o support to help implement the Guidelines.

3. Locating your starting point and dening your objective

Some common motivations or getting involved

How do you make a start? Having a clear sense o where you are with respect togovernance o orest tenure, and where you want to go, is critical. Here are someo the situations you might nd yoursel in where eorts to shape governance mayreally pay o:

Better understanding is needed because:

• Inormation and understanding on an issue is thin and debate is immature.

• New drivers o orest land use emerge and create problems or opportunities,such as new markets or or investments in orest or agricultural products,commodities, biouels or carbon.

Stronger organization is needed because:

• Capacity to put good decisions into practice is inadequate.

• Opportunities present themselves rom political changes or rom newrameworks, such as FLEGT or REDD+.

Robust engagement is needed because:

• Key issues – such as clariying and securing tenure – are ‘talked away’ despiteunderstanding and apparent agreement being strong.

• Long-standing disagreements and simmering conficts over orest resourcesand lands fare up, or openings are created to explore and reconcile dierentstakeholder positions.



INTRODUCTION 5

Eective accountability is needed because:

• Decisions are not being made or are getting stuck because o pastdisagreements, policy inaction or institutional ineptitude.

• Substantial injustices and exclusion o the rights o women and poor peopleare glaring, or particular threats to orests have arisen rom inappropriateinvestment proposals.

I you are in one o these situations or something like it, then an important rst step is toassess and describe it and your motivation or doing something about it.

Some common orest governance contexts

It may be useul to know that you are not alone. Each country and each context

within each country is, o course, dierent. But it is possible to discern some commonsituations in terms o the prevailing nature o orest governance – and the main orcesdriving change or keeping things the same. Table 1 is an attempt to capture some o these common situations and the entry points they provide or orest governance work. The Table also notes the sections in the toolkit (see Table o Contents) that oer toolspotentially useul in this work. The phrases in the Table that try to capture dierentcontexts are inevitably simplistic characterizations, but you may nd some resonancewith your situation. You may also nd that your situation is a mixture o some o thesecontexts. We hope, however, that this typology will help you begin to identiy a practicalcombination o entry points and tools.

Yr rsvrx

Yr pssb ryps r mprvrs vr

ts y my s (reerences tosections o the toolkit)

1. State controland regulation

Where control capacity is strong:

• Inormation and outreach• Policy and legislation

development• Accountability o authorities

• Building a responsive publicsector (B2)

• Monitoring and evaluation,accountability andtransparency (d1)

Where control capacity is weak:

• Noncompliance and corruption• Conficts with customary tenure• Civil society and private sector

roles

• Mapping the political andinstitutional context (a4)

• Running eective

consultation, participation andmultistakeholder processes (c2)

2. Privatizationto corporateinterests

• Deregulation and marketreorms

• Standards and monitoring• Free, prior and inormed

consent

• Strengthening communities toengage (B1)

• Organizing or the private sectorto operate in a air and inclusiveway (B3)

TABLE 1.typy mm rsvrxs, wry ps s sp m



ImprovIng governance of forest tenure6

3. Decentralizationto local authorities

or communities

• Tenure clarication and security• Capacity o communities, civil

society and local authorities• Multistakeholder processes and

accountability

• Recognizing arrangements andclaims in orest tenure (a3)

• Supporting civil society to wieldevidence, advocate, campaign andnegotiate (c1)

4. Timber traderesponsibility –FLEGT andcertication

• Dening legality and resourcebaselines

• Capacity o institutions• Verication and certication

• Dening opportunities or change (a5)

• Mechanisms or grievance, disputeresolution and access to paralegalsupport (d2)

5. Forest or tacklingclimate change –REDD+ andadaptationstrategies

• Carbon and orest rights• Benet-sharing mechanisms• Cross-sectoral coordination

• Understanding the role o orestgoods and services in livelihoods (a2)

• Recourse to courts, higher levels o government or international policiesand levers (d3)

6. Integrated orestgovernance withother sectors

• Participation ininterdepartmental mechanisms

• Inormation and capacity gaps• Engagement o civil society

• Assessing the biophysical resourcebase (a1)

• Building or strengthening coalitions,networks and ederations (B4)

Inspiration rom principles o good orest governance

Various initiatives with orest stakeholders to develop systematic ways to assess orestgovernance in a given context – and to enable groups and individuals to locate theirstarting point or taking action to improve the situation – provide us with useul guidance

(Mayers et al. 005). FAO and the Programme on Forests (PROFOR) have done eectivework in synthesizing recent initiatives and have put orward a ramework or assessingand monitoring orest governance based on a set o principles and ‘pillars’ (see Figure )(FAO and PROFOR 0).

accountaBilitY

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eFFiciencY

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PaRticiPation

tRanSPaRencY

Py, ,

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FIGURE 1Ss

‘prs’ prps ‘’ rsvr

Source:FAO and

PROFOR (0)



INTRODUCTION 7

With reerence to the principles, FAO and PROFOR note that governance isgenerally considered ‘good’ i it is characterized by stakeholder participation,

transparency o decision-making, accountability o actors and decision-makers,rule o law and predictability. ‘Good governance’ is also associated with ecientand eective management o natural, human and nancial resources, and air andequitable allocation o resources and benets. They describe the pillars as ollows:

• Pillar 1: Policy, legal, institutional and regulatory rameworks – the long-termsystems o policies, laws, rules and regulations within the orest sector andin other sectors that impinge on orests;

• Pillar 2: Planning and decision-making processes – the degree o transparency,accountability and inclusiveness o key orest governance processes andinstitutions;

• Pillar 3: Implementation, enorcement and compliance – the extent to which

the policy, legal, institutional and regulatory rameworks are implemented.Experience with this ramework to date suggests that it can help stakeholders denetheir objectives eectively and take action to make improvements (FAO 0b).

Source:FAO (0a)

The Table below lays out the main elements o the Guidelines and examples o tools inthe toolkit that may be used to implement them.

Focusing in on governance o tenure

The Guidelines (FAO 0a) stem rom the rm belie, born o much eld experienceas noted above, that signicant positive tenure reorms are both vital and possible. Inparticular, the Guidelines recognize that eectiveness in addressing tenure problemsdepends to a large extent on the quality o governance.

Rspsb vr r rqrs:

• recognizing and respecting legitimate tenure rights and the peoplewho hold them;

• saeguarding legitimate tenure rights against threats;

• promoting and acilitating the enjoyment o legitimate tenure rights;

• providing access to justice to deal with inringements;

• preventing tenure disputes, violent conficts and opportunities orcorruption.




Srr

gs

c

gs

exmps s s k y s mpm

gs

1. Preliminary Objectives, nature and scope o theGuidelines

2. General matters Foundations, key elements andshared understanding needed orgovernance o tenure:

• guiding principles o responsiblegovernance o tenure;

• rights and responsibilities relatedto tenure;

• policy, legal and organizationalrameworks related to tenure;

•

delivery o services.

• Multidisciplinary landscapeassessment (a1.6)

• Participatory analysis o poverty,livelihoods and environmentdynamics (a2.2)

• Participatory mapping (a3.2)• Policy analysis and legal analysis

(a4.1)• Historical analysis (a4.8)• Participatory governance

assessment (B1.5)

3. Legalrecognitionand allocationo tenure rightsand duties

Governance o the:

• legal recognition o tenure rightso indigenous peoples and othercommunities with customarytenure systems, as well as o inormal tenure rights;

• initial allocation o tenure rightsthat are owned or controlled bythe public sector.

• Rapid land tenure appraisal(a3.1)

• Organizing orest user-groups toengage (B1.1)

• Free, prior and inormed consent –rom principle to practice (c1.3)

• Strengthening the capacity o paralegals in orest communities(d2.2)

• Indigenous peoples’ rightsin the International LabourOrganization (d3.2)

4. Transers andother changes totenure rights andduties

Governance o tenure when existingrights and associated duties aretranserred or reallocated through:

• markets;• transactions in tenure rights as a

result o investments;• land consolidation and other

readjustment approaches;• restitution, redistributive reorms

or expropriation.

•

Drivers o change analysis (a4.4)• Stakeholder infuence mapping

and power analysis (a4.6)• Managing a peer-to-peer

learning group or improvingorest governance (B4.1)

• Supporting communities tonegotiate and run agreementswith companies (c1.4)

• Media and lobbying tactics orlocal groups (c1.5)

• Road map or runningparticipatory dialogue processes(c2.3)

5. Administrationo tenure

Governance o the administration o:• records o tenure rights;• valuation;• taxation;• regulated spatial planning;• resolution o disputes over tenure

rights;• transboundary matters.

•

Community-based orest resourceconfict management (B1.6)

• E-government systems orsecuring orest rights (B2.5)

• Strengthening communityenterprise governance andstructures (B3.2)

• Company–community orestrypartnerships (B3.4)

TABLE 2.t gs

s b s mpm m



INTRODUCTION 9

5. Administration o tenure

• Accessing public inormation(d1.6)

• Citizen action to reduce orestcorruption (d1.8)

• Establishing grievance andcomplaints procedures (d2.1)

6. Responses toclimate changeand emergencies

Governance o tenure in thecontext o:

• climate change;• natural disasters;• violent conficts.

• Poverty–orest linkages toolkit(a2.1)

• Force eld analysis (a4.2)• Scenario analysis and planning

(a5.1)• Facilitating organizational

change (B2.1)

7. Promotion,implementation,

monitoring andevaluation

Advocacy, use and tracking o theGuidelines

• Running pilot projects (B2.3)• On-the-job mentoring o

government ocials inparticipatory approaches (B2.4)

• Building alliances and coalitionsor advocacy (B4.3)

• Forest Sector TransparencyReport Cards (d1.3)

• Public hearings and auditing(d2.4)

• Using the compliance reviewmechanism o the AarhusConvention (d3.4)

The above typology o governance contexts, rameworks or orest governance and

key elements o the Guidelines should help you dene your objective. Some objectiveswill be substantial, aiming to tackle large and previously intractable problems. Otherswill be more short-lived, aiming to seize opportunities and catalyse wider change. The remainder o this Practical Guide should help you to gain a sense o the scale andintensity o the challenge and the kinds o resources you might need.

4. Using the toolkit to help reach your objective

Introducing the toolkit The remainder o this Practical Guide consists o a toolkit designed or those who wantto try to improve the governance o orest tenure. It oers a range o tools or betterunderstanding, organizing, engaging and ensuring in the context o governance. These tools are labelled or their appropriateness in dierent governance contextsand or the amount o time, money and skills needed to use them.

The hope is that by ocusing on tools – instead o problems, issues or challenges – youwill be motivated to take practical action. As with guides to manual tools, we want to




encourage your sense that you can ‘do it yoursel’. These tools have been developedin response to real, immediate natural resource management problems, and we hope

that in learning about such home-grown approaches you will nd inspiration whereyou ace similar problems.

The toolkit oers summaries o 86 tools based on experience rom around theworld. It also describes nine commonly useul tools in more depth. The aim is to beinspirational rather than comprehensive; we have not attempted to describe eachand every potential tool or to cover all aspects o policy and institutional change. Thetoolkit also contains many cross-reerences between the tools.

General eatures o the tools

The two essential eatures o a useul tool are that it takes you rom problem tosolution, and that it is transerable – able to be taken rom one context and adapted

elsewhere – without being a prescriptive and infexible blueprint. A broad mix o tools o varied types should encourage cross-ertilization and experimentation.Other important eatures o the tools listed here include simplicity (ease o learningand communication) and cost-eectiveness (in terms o time, money, skills andequipment).

Action–reection cycle o the toolkit

Summaries o tools are grouped in our main sections, each one an overlapping stagein a notional ongoing cycle o action and refection in improving governance:

• Tools or understanding. Oten the rst steps in trying to improve governance areto scope out current situations and opportunities and rom this inormation to

plan a course o action.

• Tools or organizing. Infuence over decision-making, especially or less powerulinterests, oten requires strength in numbers. But eective organizations are noteasy to create, so tools are needed to develop legitimacy, accountability andeciency.

• Tools or engaging. Well-inormed and organized groups need to be able toengage with the processes o decision-making that aect them. Engagementmight be through cooperative dialogue or through resistance. Many eectivegroups combine both strategies.

• Tools or ensuring. Having a voice is not enough; mechanisms or accountability

are needed to make sure that dialogue and promises translate into action.

Each o these our sections explains urther why these issues are important anddescribes how to navigate through the section. A range o tools are then summarized



INTRODUCTION

or each o several key challenges o governance. Sources o urther inormation arelisted at the end o each tool summary, and additional resources can be ound in the

bibliography. Also at the end o each tool summary is a list o ‘other tools that mighthelp’. These are tools elsewhere in the toolkit that might prove useul, in addition tothose within the immediate group in which the tool sits.

gvr

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Tools or

ensuring

Tools or

organizing

Tools or

understanding

Tools or

engaging




In-depth tools

Nine o the summary tools are also described in much greater detail in Annex 1 o thetoolkit (these tools are marked ‘XL’). The aim o this section is to oer, or a core seto commonly useul tools, enough practical know-how or you to understand howeach can be eectively used. In using the toolkit it will be clear that many o thesetools have been developed without knowledge o each other – even in competitionwith each other – so there are inevitably overlaps and contradictions. It is, thereore,dicult to develop rom them the perect ‘kit’. This is only possible through trial anderror and through adaptation by users over time.

Glossary and Bibliography

A glossary in Annex 2 explains key terms used in the Practical Guide. The bibliography,in Annex 3, is arranged alphabetically by author under ve headings: general,understanding, organizing, engaging and ensuring. Each entry in the bibliographyis a ull standard reerence with a hyperlink to a Web page where the document can

be ound.

Putting it all together: the tools or the actions you need to take

Once you have identied an objective that makes sense in your context and borne inmind the above guidance on the nature and emphasis o the tools and where to nd

2. Resource requirements

The amount o time, money and skill needed to make the toolwork. One tree is a low amount; our trees is a high amount.

1. Level and quality o inormation

and stakeholder engagement

The prevailing level and quality o inormation and stakeholderengagement or which the tool is appropriate. One gear is alow level (i.e. there does not need to be much inormation andstakeholder engagement available to use this tool); our gearsis a high level (i.e. there needs to be plenty o inormation andstakeholder engagement available to use this tool).

Appropriateness o tools

Two types o icon are used in the toolkit to give an indication o the appropriateness o each tool. Their meaning is as ollows:



INTRODUCTION

them, the toolkit should help you decide on some actions. The toolkit can help you to:

• choose the best tools or your situation – an appropriate ‘package’ o actions

in understanding, organizing, engaging and ensuring;

• recognize that some tools are vital to get ready or governance work, ratherthan or governance work itsel;

• dene key connections and possible sequencing among the tools andactions;

• assess how you can work with other stakeholders as well as on your own;

• identiy who needs to be involved in each action – and what types o capabilities and specialist help might be needed;

• calculate the possible time and resources that may be needed in takingactions.

Finally, we hope that you will get in touch. I you would like to comment on any aspecto this Guide and toolkit, we would be delighted to hear rom you. Your experienceand ideas, and the links you might make to urther inormation, could help improvethis Practical Guide.



ts r rsA



Level and quality o inormationand stakeholder engagement

The prevailing level and quality o inormationand stakeholder engagement or which the tool isappropriate. One gear is a low level (i.e. there doesnot need to be much inormation and stakeholderengagement available to use this tool); our is a high

level (i.e. there needs to be plenty o inormation andstakeholder engagement available to use this tool).

Resource requirements

The amount o time, money and skill needed tomake the tool work. One tree is a low amount; ouris a high amount.

How to use icons



A. Tools for undersTAnding 7

A. ts r rs

Why understanding is importantor governance o orest tenure

Understanding the current tenure and governance context is an important stepin attempts to shape or change the governance o tenure or responsible orestry.Knowledge o the orest goods and services, o the role they play in people’slivelihoods, o tenure arrangements and o the wider political and institutionalcontext are all essential in building a picture o how current tenure arrangements twith people’s livelihoods and aspirations. The emphasis should be on understandingthe real situation on the ground – there can be a big gap between written policy andwhat happens in reality.

It is important that perspectives, experiences and knowledge are heard rom allpeople aected by and important to governance o tenure. Identiying the appropriate

stakeholders is, thereore, key.

The use o participatory tools and methods has a twoold purpose. It will help toground the process in stakeholders’ perspectives and will also ensure that thosecontributing have the opportunity to build their own understanding o the biggerpicture, in preparation or uture negotiation and dialogue around orest tenureand governance.

Continual refection and review o the issues are paramount. What rst appears to bethe ‘problem’ may, on urther investigation, have underlying causes that more urgently

gvr

rs r

k

Tools or

ensuring

Tools or

engaging

Tools or

organizing

Tools or

understanding



8 ImprovIng governance of forest tenure

need addressing. Initial assessments may not encompass the views o all concerned,and thus the range o stakeholders being consulted and involved may need to be

reviewed. Creating opportunities or refection and learning is crucial.

Navigating and applying the tools in this section

This section oers a range o tools to improve understanding. The tools are organizedaround the key contextual issues aecting governance o tenure o orest resources. These issues need to be well understood prior to an intervention:

a1. Assessing the biophysical resource base – identiying the extent and conditiono the orest goods and services that are, or can be, subject to ormal and inormal

tenure arrangements.a2. Understanding the role o orest goods and services in supporting people’s

livelihoods – this includes considering the perspectives o women, indigenousgroups and other marginalized sections o society, and also considering the role o orests within wider systems such as swidden agriculture.

a3. Recognizing present and historical arrangements and competing claims in oresttenure – understanding how tenure security and orestry practices are aected bypast and current, ormal and inormal tenure contexts and conficts.

a4. Mapping the political and institutional context – identiying key stakeholders,institutions and policies that infuence and are aected by orest tenure systems,and evaluating the airness, transparency and eectiveness o these systems.

a5. Dening opportunities or change in tenure arrangements, particularly or poorand marginalized groups in order to strengthen their voice.

Investigating these contextual issues will help to clariy the opportunities and potentialentry points or improving the governance o tenure or responsible orestry. It is highlylikely that there will be interplay between these issues; or example, local institutionsmay have grown out o historical, customary tenure arrangements, yet be at odds withcurrent political priorities. You will need to bear this in mind when using the tools thatollow and when deciding which tool, or combination o tools, is most appropriate oryour context.

You can select rom the tools provided here according to your requirements, thegovernance context in which you are operating, and your resource constraints. Theapproaches vary, some being more ormal and science-based while others are morecommunity-based. In many situations it is helpul to have a mixture o approaches inorder to build a more balanced picture. The tools also vary in their spatial settings – acommunity, a orest, or a national institution, or example. In many cases they can beadapted to the user’s situation.

The tools can generate a lot o inormation. Section A5 deals with analysis o thedata gathered, with a practical ocus on identiying opportunities and entry points orchange.




By adopting and adapting the tools in this section, you will:

• gain a good understanding o the present context, in terms o how tenureissues in orests are governed and how dierent issues interact to create thecurrent conditions (including conficts);

• identiy areas or urther attention and action.

Tools and approaches or understanding

A1. Assessing the biophysical resource base

What is the condition o the orest resources? What goods and services are beingprovided by orests? How may this change over time? To gain an understanding o orest

resources now and or the uture, it is important to assess their conservation value aswell as the goods and services that they provide.

The extent and quality o the resources and their conservation value can be assessedin dierent ways – rom community-based assessments to mapping by geographicinormation systems (GIS) to a combination o both. In addition, threats and opportunitiesrelated to orest resources should be analysed. A more dynamic approach can also beused to explore how the resources are likely to change over time.

It is important to ascertain who holds the rights to these goods and services, andhow goods and services are being used and by whom. The range o rights relatingto orests and orest resources that need to be considered includes rights over orestland, individual trees (such as Brazil-nut trees) and non-timber orest products (grasses,

ruits, nuts and so on), as well as rights or hunting, grazing and access, and intellectualproperty rights or medicinal plants.

In orest lands the range o goods and services that are, or could be, under tenurearrangements is becoming increasingly complex and contested as the potential tobenet rom orests’ role in carbon sequestration and other environmental servicesgains political signicance. The prospect o orests making a real contribution toaddressing climate change, conserving biodiversity and protecting people’s livelihoodshas signicantly sharpened the ocus on who owns, manages and benets rom orestresources.

Two initiatives are particularly key – reducing emissions rom deorestation and orestdegradation (REDD) and payments or environmental services (PES). REDD is an eort tocreate a nancial value or the carbon stored in orests, oering incentives or developing

countries to reduce emissions rom orested lands and invest in low-carbon paths tosustainable development. ‘REDD+’ goes beyond deorestation and orest degradation toinclude the eects o conservation, sustainable management o orests and enhancemento orest carbon stocks. PES reers to a (requently market-based) incentive mechanismin which armers, orest owners or landowners are oered incentives in exchange ormanaging their land or orest to provide specied services such as carbon sequestration,watershed protection, biodiversity conservation or landscape beauty.




Recommended tools

National orest inventory and orest resource assessment

W s ? An assessment o the quality and quantity o orest goods and services.

W bs r?

The assessments provide comprehensive inormation on the status, dynamicsand responses o orest ecosystems. This can be used to inorm policies,planning and management strategies, and to monitor developments andmake projections or the uture.

Ky ms Forest resource assessments explore the various benets rom orests andhow they change over time. This includes: the extent o orest resources;orest ecosystem health and vitality; biological diversity; productive unctionso orests; protective unctions o orests; and socio-economic unctions

o orests. The methodology involves nationwide sampling and eld datacollection, and may be combined with socio-economic data regarding locallivelihoods.

Frrrm

FAO. 009. National orest monitoring and assessment – manual or integrated eld data collection. Version .. FAO National Forest Monitoring and Assess-ment Working Paper NFMA 7/E. Rome. http://www.ao.org/orestry/9900-06d9ecb097c09d89aea7.pd

or s m p

a3.2, c2.6

Community measurement and monitoring o orests, including carbon stocks

W s ? Tools or communities to estimate and monitor the stocks and fows o products and services in their orests.

W bs r?

Inormation gathered about development and use o orest goods andservices can be used to monitor local orest management and to create andrun orestry, REDD+ and PES projects.

Ky ms The tools oer practical approaches to local orest monitoring. The carbontracking tools can be used to estimate and track the carbon in the orestthrough surveys o trees, grasses, herbs, litter and soil. There is a mobilesystem to record and report these measurements electronically. Alsoincluded is guidance on how to use a mobile GIS system or mappingand recording data and boundaries, and how to undertake basic carbonassessments with this system.

The tools are divided into three sections: or local communities who willundertake the work; or trainers to support the communities; and or policy-makers who will use the inormation generated.

Frrrm

Mhina, M., Topp-Jørgensen, E. & Poulsen, M.K. 00. Preliminary manual or community based monitoring o natural resource use and orest quality (Englishand Swahili versions). Iringa, Tanzania, District Lands, Natural Resources andEnvironmental Oce. http://www.nordeco.dk/assets/79/Tz%0Monitoring%0Manual%0English.pd

a1.2

a1.1



A. Tools for undersTAnding

Gibson, D. 0. Manual or the introduction and implementation o the manage-ment oriented monitoring system. Gland, Switzerland, WWF. http://www.sacnet.

org/index.php/the-news/natural-resources-management/natural-resources-management?download=97%Amanagement-orientedmonitoring-systems-manualpd

Lewis, J. & Nkuintchua, T.0. Accessible technologies and FPIC: independentmonitoring with orest communities in Cameroon. Participatory Learning and

Action, 65: 5–65. http://pubs.iied.org/68IIED.html

Verplanke, J.J. & Zahabu, E. (eds.) 009. A eld guide or assessing and monitoringreduced orest degradation and carbon sequestration by local communities.

Twente, The Netherlands, Project team KYOTO: Think Global, Act Local (K:TGAL). http://www.communitycarbonorestry.org/Online%0Fieldguide%0ull%0.pd

Skutsch, M. 00. Community orest monitoring or the carbon market . London,Earthscan.

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a3.2

Rapid Carbon Stock Appraisal

W s ? A methodological ramework or measuring and analysing carbon sinkswithin a landscape.

W bs r?

To provide locally relevant knowledge o carbon sinks based on a scienticallysound ramework, which can be used when considering activities to improvelocal livelihoods and alleviate poverty.

Ky ms Steps to assess carbon stocks include landscape appraisal, local ecologicalknowledge, household socio-economic surveys, remote sensing, andscenario studies o changes in carbon stocks and welare. The inormation isthen analysed along with the policy context, land use and people’s livelihoodsto explore opportunities to change practice and policy to enhance carbonstorage.

Frrrm

ICRAF. Rapid Carbon Stock Appraisal (RaCSA): a rapid but integrated way to as-sess landscape carbon stocks [Online Resource]. http://www.worldagroorest-rycentre.org/Sea/Projects/tulsea/racsa

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a2

a1.3

Rapid Appraisal o Agroorestry Practices, Systems and Technology (RAFT)

W s ? A tool to provide greater clarity on tree usage and management withinagroorestry systems.

W bs r?

To gain understanding o how trees within agroorestry systems are usedand o use in rural livelihoods.

a1.4




Ky ms The Rapid Appraisal o Agroorestry Practices, Systems and Technology(RAFT) process includes: agreeing terminology or classiying dierent uses

o land and trees; surveying the origin, ownership, use and managemento trees; assessing local ecological knowledge and intellectual propertyrights relating to trees; assessing interaction between tree species and otherparts o the ecological system; economic and protability assessment o the system; assessing impacts o tree and land tenure, and o policy issues;and analysing the strengths, weaknesses, opportunities and threats in thecurrent system to synthesize the ndings.

Frrrm

ICRAF. 009. RAFT: Rapid appraisal o agroorestry practices, systems and tech-nology. Bogor, Indonesia, World Agroorestry Centre (ICRAF). http://www.worldagroorestry.org/sea/vn/publication?do=view_pub_detail&pub_no=LE05-09

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a2.2, a4.5

Identiying areas o high conservation value

W s ? A methodology to identiy areas where species, goods and services are o high conservation value.

W bs r?

To agree upon management options or identied areas o high conservationvalue (HCVs) in order to ensure that the values are maintained or enhanced,and monitored.

Ky ms The process includes assessment o an area to locate HCVs (with both social

and ecological value) and determine the main threats to them. This exercisewill help to dene the conservation importance o the area in terms o nationally dened principles. These principles also need to be considered inrelation to governance o tenure or relevant orests.

Frrrm

Proorest. 008. Good practice guidelines or High conservation value assess-ments: Toolkit – Part 3: Identiying and managing high conservation valuesorests: a guide or orest managers. Oxord, UK. http://www.hcvnetwork.org/resources/global-hcv-toolkits/hcv-toolkit-part-.pd

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a2.1, a4.9

a1.5

Multidisciplinary landscape assessment

W s ? Interdisciplinary surveys to create a coherent picture o the value o resourcesin a landscape.

W bs r?

To inorm local or national government o the value o the landscape to localcommunities.

a.




Ky ms A combination o rapid ecological surveys and village socio-economic surveys.Ecological techniques include site descriptions, tree sampling and soil surveys.

Village surveys include structured interviews, household surveys and participatoryexercises to explore what aspects o the landscape are important to the localcommunity.

Frrrm

ciFoR. Multi-disciplinary landscape assessment [Online Resource]. http://www.cior.cgiar.org/mla/_re/home/index.htm

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a4.9

People’s biodiversity registers

W s ? Methodology and database or compiling inormal local knowledge onbiodiversity.

W bs r?

Developed in India, People’s Biodiversity Registers allow inormal knowledgeto be recorded, collected and used as a scientic resource.

Ky ms Each register contains comprehensive inormation on availability andknowledge o local biological resources, their medicinal or any other uses,and other traditional knowledge associated with them. The registers relyon considerable cooperation and inputs rom local communities, and theytend to ocus on control o access to genetic resources and protection o traditional knowledge.

Frr

rm

National Biodiversity Authority. 008. People’s biodiversity register: simpli-

ed methodology. Chennai, India. http://nbaindia.in/uploaded/docs/simpli-ed_methodology_onpbr.pd

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a3.2

a1.7

Assessing orest cover change with TREES

W s ? A method or assessing global tropical orest cover and or monitoringdeorestation.

W bs r? Observation and assessment o change in humid tropical orest cover.

Ky ms The method makes use o extensive remote-sensing satellite data and inputsrom a regional network o experts. Measurement o deorestation rates isstatistically based, involving sampling o observation units, with a highersampling rate or ast-changing areas. Procedures are uniorm, independentand repeatable. The method is designed to make inormation availablein an appropriate ormat or the user community via the Tropical ForestInormation System.

a1.8




Frrrm

Achard, F., Stibig, H.J., Eva, H. & Mayaux, P. 00. Tropical orest covermonitoring in the humid tropics – TREES project. Tropical Ecology , (): 9–0.

http://www.tropecol.com/pd/open/PDF__/0.pd

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a4.4

A2. Understanding the role

o orest goods and services

in supporting people’s livelihoods

How do orests support dierent people’s livelihoods? What are the links between

orests and poverty? Do current tenure arrangements support people to improvetheir livelihoods? Understanding local people’s use o orest goods and services andthe role o tenure arrangements is critical to the analysis o whether current tenuresystems are appropriate – and to exploring how reorm o the tenure system couldlead to more secure livelihoods.

Although the contribution o orests to rural livelihoods is widely recognized, it isoten not well understood. Typically, there is little documented inormation abouthow rural households depend on orest and tree resources to meet their daily needs,and even less about the potential o this resource to reduce poverty. As a result, theseissues are oten overlooked by policymakers.

When assessing the role o orest goods and services in people’s livelihoods, it

is important to acknowledge and understand how, within a single village, orestresources are used and relied upon in dierent ways. They may be undamental tolivelihoods, or example, or used as seasonal saety nets, or as opportunities to get outo poverty – or a combination o all o these. There are also variations in an individual’sdegree o power, access and control over orest resources, according to the extent o their poverty, level o insecurity and access to other assets and opportunities.

A useul typology, developed in the orestry context, describes three categories o poor: declining poor, coping poor and improving poor. These groups o poor peoplehave diering levels o insecurity and capacity to pursue orest claims, and thusdierent levels o interest in asset security and tenure.

Women and men use and manage orest resources in dierent ways. Women areoten the primary users o orests through their involvement in subsistence ood

production, gathering o medicinal herbs, uelwood collection and small-scale orestindustries producing cash products. Their lack o secure rights over land, trees andorest products, however, may limit women’s opportunities – and with them, thepotential to reduce poverty.




Poverty–Forest Linkages Toolkit

W s ? Tools or orest-specic participatory rural appraisal.

W bs r?

To analyse, understand and communicate the contribution o orests to thelivelihoods o poor people living in and around orests.

Ky ms Resources available online include step-by-step guidance using careullyselected and tested Participatory Rural Appraisal techniques, includingwealth ranking, livelihoods analysis, orest problems and solutions matrixand training guides, as well as case study examples.

Frr

rm

PROFOR. 009. Field manual: poverty–orests linkages oolkit . Washington, DC,

The Program on Forests. http://www.proor.ino/proor/content/poverty-orests-linkages-toolkit-table-contents

or s m p

a1.5, a4.9, a4.1

a2.1

Recommended tools

Participatory analysis o poverty, livelihoods and environment dynamics

W s ? Participatory tool to explore poverty-reducing livelihood strategies.

W b

s r?

Understanding the links between people’s livelihoods, poverty levels and the

environment.

Ky ms This tool uses ve steps to explore the livelihood strategies that people useto get out o poverty and how much these key strategies have a positiveor negative impact on the environment. The steps ocus on: assessment o local understanding o poverty and environment; livelihood activities; linksbetween natural resources and livelihood activities; identication o shocks,risks and vulnerability; and institutional and policy issues.

Frrrm

ICRAF. Participatory analysis o poverty, livelihoods and environment dynamics(PAPOLD) [Online Resource]. http://www.worldagroorestrycentre.org/Sea/Projects/tulsea/node/5

Krishna, A. Stages o progress: disaggregating poverty or better policy impact [Online Resource]. http://www.pubpol.duke.edu/krishna/

or s m p

a1.5, a4.9, a4.1

a2.2




Basic assessment guide or human well-being

W s ? A manual on exploring the links between human well-being and orestresources.

W bs r?

Written or private-sector logging rms, the manual provides tools toincrease understanding about people living close to and depending onorest resources.

Ky ms The process has ve steps: identication o relevant stakeholders; assessmento security o intergenerational access to resources; assessment o rights andobligations to manage orests cooperatively; assessment o the health o orests, orest actors and cultures; and an abbreviated scoring method.

Frrrm

Coler, C.J.P. et al. 999. The BAG: Basic assessment guide or human well-being. Criteria and Indicators Toolbox Series No. 5. Bogor, Indonesia, Center or In-ternational Forestry Research (CIFOR). http://www.cior.org/livesinorests/publications/pd_les/toolbox-5c.pd

or s m p

a1.5, a4.9, a4.1

Poverty and environment network prototype questionnaire

W s ? A tool to gather comparative, detailed socio-economic data at householdand village level.

W b

s r?

The Poverty and Environment Network (PEN) is an international research

project and network that oers the most comprehensive global analysiso tropical orests and poverty. Although specically designed or PEN, theprototype questionnaire is available to use (and adapt, i necessary) orsurveys on orests and poverty at local level. It should be used together withthe Technical Guidelines and can be used or comparative analysis.

Ky ms The questionnaire includes socio-economic inormation on local area, orestresource base, changes in orest use, orest institutions, and householdinormation. It is intended to be used quarterly and annually to record trendsand changes in socio-economic status and in orest resources. Adherence tostandardized denitions, questionnaires and methods means that the datacan be compared across dierent geographical regions, orest types, oresttenure regimes, population densities and levels o poverty, inrastructureand market access, as well as over time.

Frrrm

CIFOR. 007. The Poverty and environment network: a comprehensive global analysis o tropical orests and poverty . Bogor, Indonesia, Center or Interna-tional Forestry Research. http://www.cior.org/pen/research-tools/tools.html

or s m p

d1.1

a2.4

a2.3




A3. Recognizing present

and historical arrangements

and competing claims in orest tenure

What are the current ormal tenure arrangements and customary tenure rules? Arethere competing claims over orest resources? Understanding past and current tenurecontexts is a necessary rst step in improving tenure security and responsible orestry.

Many conficts over orest management are due to competing claims o access anduse rights or orest land and resources. This is linked to a lack o clarity, legitimacyand legality in tenure policies. Dierent policies may contradict each other or maybe interpreted dierently in their implementation. Conficts can occur i legal tenuresystems ail to acknowledge the existence o customary management systems,including those o nomadic people. Any tenure-reorm process must allow sucient

time or underlying tenure claims to be brought to the surace and dealt with equitably,while ensuring adherence to human rights principles.

Dealing with conficting policies is addressed in more detail in section A4.

Rapid land tenure appraisal

W s ? A method to explore and resolve competing claims o rights and interests

over land and resources.

W bs r?

Rapid Land Tenure Appraisal (RaTA) oers guidance on locating and obtainingthe initial data necessary or policy-makers or mediators to develop confict-resolution mechanisms when dealing with competing claims to land tenure.

Ky ms This set o tools addresses ve objectives or understanding tenure confictsand competing claims rom the perspectives o dierent actors, ollowed bya process o policy dialogue to resolve competing claims. It is designed orland tenure but could easily be modied to ocus specically on tenure o orest resources.

Many o the specic tools proled in this guide are included within RaTA,such as participatory mapping, tenure confict analysis, actor analysis, policyanalysis and confict resolution.

Frrrm

ICRAF. Rapid Land Tenure Assessment (RaTA): A tool or identiying the natureo land tenure conicts [Online Resource]. http://www.worldagroorestrycen-tre.org/Sea/Projects/tulsea/node/9

or s m p

a4.9, B1.6, d2.2In-depth tool: Xl a3.1

a3.1

Recommended tools




Participatory mapping

W s ? Creation o visual maps by local communities, documenting the mostsignicant natural, physical and socio-cultural eatures and resources.

W bs r?

In the context o competing claims, participatory mapping can be used torepresent competing claims graphically. The process can also help peoplewith dierent viewpoints to map their situation together and learn abouteach other’s experiences and perceptions.

Ky ms Participatory mapping ocuses on acilitating community members todevelop the maps themselves, to represent the knowledge o communitymembers and to ensure that community members determine how (and towhom) the inormation is communicated. Maps are documented and mayinclude existing and historical rights o access, use and control over land andorest resources. A broad range o tools are described.

Frrrm

IFAD. 009. Good practices in participatory mapping. Rome, International Fundor Agricultural Development. http://www.iad.org/pub/map/pm_web.pd

Rainorest Foundation UK . Mapping or Rights [Online Resource]. http://www.mappingorrights.org/

or s m p

a1.1, a1.2, a1.7, B2.5In-depth tool: Xl a3.2

Analysis o conicts through timelines and semi-structured interviews

W s ? A process o creating a historical timeline to improve stakeholder understandingo events that led to confict.

W bs r?

To explore the background to conficts and create understanding o dierentperceptions. Semi-structured interviews can help to explore tenure confictsin more depth.

Ky ms Stakeholders narrate their stories, and mediators write down the sequenceo events on a fip chart. When the timeline is nalized there is a period o refection, with questions such as what participants have learned about theconfict and why they think the parties acted in the way they did.

Frrrm

FAO. 005. Field guide to confict analysis. Negotiation and mediation techniquesor natural resource management , Annex II, A. Engel and B. Kor. Rome. http://www.ao.org/docrep/008/a00e/a00e0d.htm#bm.

ICRAF. Rapid Land Tenure Assessment (RaTA): A Tool or identiying the nature o land tenure conicts [Online Resource]. http://www.worldagroorestrycentre.org/Sea/Projects/tulsea/node/9

or s m p

a4.9, B1.6

a3.3

a3.2




A4. Mapping the political and institutional context

What are the key policies, institutions and processes that have a bearing on orestrytenure and any process or reorm? How do they acilitate or hinder change? Thepolitical and institutional context can create major barriers that oten prevent anysubstantial change on the ground, particularly in terms o whether poorer and moremarginalized groups are able to participate. The key institutions – rom ormal legalrules to inormal social norms – and the relationships between them need to beidentied, analysed and understood at international, national, subnational and locallevels. This is a crucial step in understanding where blockages to more eective andair tenure arrangements lie, and what opportunities or change exist.

Power relations are requently overlooked in tenure reorm. Power relationsdetermine how social and political relationships mediate people’s capacity to pursue

orest claims and to gain access to and make eective use o orest land and its products.It is especially important to understand the role o elites – people who mediate orcontrol the access o poorer people to orest resources and decision-makers, or betteror worse. Elites operate and have infuence at local, national and transnational levels.Methods such as stakeholder analysis can help identiy these individuals and theireects. A gender ‘lens’ should also be used to explore how women’s status aectstheir access to land and its products, and their pursuit o claims.

Local social and political relations are critically aected by the nature and structureo the state, the capabilities o orest administration systems and the relationshipbetween the state and civil society (see ‘Tools or organizing’ and ‘Tools or engaging’).More participatory and collaborative approaches to orestry engagement require ashit in the type o relationship that exists between state orest department sta and

orest dwellers and users, together with greater investment in local accountabilitystructures. There is a need to understand how well these relationships are unctioningin practice.

Social media and inormation and communications technology (ICT) havedramatically transormed the institutional landscape, partly because they havedemocratized inormation. This has huge implications: stakeholders can be betterinormed, engage in advocacy and build a critical mass to support – or resist – anychanges in orest tenure.

Confict and conusion over tenure can arise because dierent sectoral policies arepotentially working against each other. Policy and legal analysis instruments can helpto tease out and identiy these areas o contradiction and conusion.

Improved understanding o the actors aecting orest resource tenure should beollowed by a process o synthesis. Drawing together key ndings can help to identiyareas where change is needed – either to policies, institutions or processes – in orderto strengthen the governance o tenure. All the tools summarized below have astrong ocus on identiying opportunities and possible actions rom a sound basis o assessment and analysis.




a4.1

Recommended tools

Policy analysis and legal analysis

W s ? A systematic analysis o any and all components o policy or legal systems andprocesses.

W bs r?

To assess the eects and eectiveness o policies or legislative provisions onparticular issues, such as orest tenure, and identiy constraints and opportunitiesor any changes in the system. The analysis could identiy areas where existingpolicies and laws are conficting, contradictory or insucient.

Ky ms A policy or legal review rst needs to identiy which policies, strategies andprogrammes, or laws and regulations, are having an eect on orest tenure issues.It is important that this goes beyond simply orest policies and laws to includeother laws, government policies or initiatives. The analysis reviews the policy or

legal content as well as implementation. There are our possible dimensions tosuch analysis: content analysis, reviewing the content o policy statements andlaws; historical analysis, considering how history has shaped current policies andlaws; process analysis o how the political system infuences policy and law; andevaluation, examining the consistency between policy or law and on-the-groundreality, and the eect on intended targets.

Frrrm

UNEP/IISD. 007. Integrated environmental assessment training manual, module 5,Step 6 – What is policy analysis? Nairobi, United Nations Environment Programme, andWinnipeg, Manitoba, Canada, International Institute or Sustainable Development.http://www.unep.org/IEACP/iea/training/manual/module5/.aspx

Pasteur, K. 00. Tools or sustainable livelihoods: policy analysis. Brighton, UK,Institute o Development Studies.

ICRAF. Rapid Land Tenure Assessment (RaTA): A tool or identiying the nature o land tenure conicts [Online Resource]. http://www.worldagroorestrycentre.org/

Sea/Projects/tulsea/node/9

or s m p

a5.1, a5.2, B4.1, c1.10, c2.1, d1.4, d1.7, d2.2, d3.6

Force eld analysis

W s ? An analysis o the orces that either achieve or obstruct change.

W bs r?

To gain a comprehensive overview and analyse the dierent driving orces actingon a single policy issue.

Ky ms

The starting point is identication and analysis o the orces or stakeholder groupsthat are supporting change (driving orces) and those that act against the change(restraining orces). The user then identies ways to promote, strengthen or maximizedriving orces and ways to reduce, weaken or minimize restraining orces.

Frrrm

Start, D. & Hovland, I. 00. Force eld analysis. Tools or policy impact: a handbook or researchers. London, Overseas Development Institute (ODI). http://www.odi.org.uk/rapid/tools/Toolkits/Policy_Impact/Forceeld_analysis.html

or s m p

d1.7, c1.1

a4.2




Local stakeholder institutional mapping

W s ? A tool or identiying and representing perceptions o and relationshipswith key institutions and individuals rom within and outside a community.

W bs r?

To enable understanding o how dierent community members perceiveinstitutions both within the community (in terms o decision-making,accessibility and services) and outside the community (in terms o participation, accessibility and services).

Ky ms A acilitator asks those involved to identiy ‘actors’ with whom theyinteract in their economic, social or political activity. It is explained thatthese actors could be physically present in the area or could be associateddirectly or indirectly (such as politicians), and could be individuals,groups or organizations. These are mapped out and assessed in termso importance to the participants. The relationship between them is also

explored.

Frrrm

Matsaert, H. 00. Institutional analysis in natural resources research.Greenwich, UK, Natural Resources Institute. http://www.nri.org/publica-tions/bpg/bpg.pd

or s m p

B2.1, B4.1, c2.1

a4.3

Drivers-o-change analysis

W s ? A tool to understand the wider context o change drivers at the national andregional levels.

W bs r?

To gain improved understanding o the bigger picture o political, economic,social and cultural orces that bring about change in a regional and countrycontext, in order to identiy the key policy and institutional drivers o change.

Ky ms There are six key elements: a basic country analysis, which examines asociety’s past and present political, economic, social and cultural institutionsand their long-term uture; the medium-term dynamics, which describethe incentives and capacities o agents and how change will happen in themedium term; the external orces that infuence donor actions; the expectedchanges and how they will aect poverty; and operational implications –entry points or policy change, new ways o working and innovative projectdesigns.

Frrrm

ODI. 009. Mapping political context: drivers o change. London, Overseas Develop-ment Institute. http://www.odi.org.uk/resources/details.asp?id=599&title=drivers-change-dd-doc

or s m p

c1.10, d1.3, d1.4

a4.4




Power and change analysis

W s ? A tool to explore inormal practices, systems and rules, and relationships andlinks between ormal and inormal institutions.

W bs r?

Power and change analysis (PCA) is at the core o the Strategic Governanceand Anti-Corruption Analysis. This was developed specically to help thegovernment o the Netherlands work more strategically with partnercountries, but it can be adapted or others to use. The tool is designed toexplore the inormal and intangible underlying reasons or the governancesituation.

Ky ms There are three dimensions to a PCA: ‘oundational actors’, the social andeconomic actors that shape the political system; ‘rules o the game’, theormal and inormal institutions that shape how relationships are managedand activities are conducted; and ‘here and now’, the key actors and theevents and pressures they are responding to. PCA can be done as a ‘quick scan’ or entail more in-depth research, depending on the time and dataavailable.

Frrrm

Unsworth, S. & Conict Research Unit. 007. Framework or strategic govern-ance and corruption analysis: developing strategic responses towards good governance. The Hague, Confict Research Unit, Netherlands Institute o In-ternational Relations. http://www.clingendael.nl/publications/007/007000_cru_occ_unsworth.pd

or s m p

a1.4, B4.1, d1.4

a4.5

Stakeholder inuence mapping and power analysis

W s ? A range o techniques to examine and visually display the infuence andimpact o stakeholders on a particular policy reorm.

W bs r?

To enable better understanding and explicit discussion o who infuencespolicy, through mapping and understanding the power, positions andperspectives o dierent individuals and groups.

Ky ms There are various steps to the process: a policy issue is selected; one or (i examining policy change) more key time periods are selected; relevantpolicy stakeholders are identied; and their infuence and relationships arethen mapped.

Frrrm

Mayers, J. & Vermeulen, S. 005. Stakeholder inuence mapping. Power ToolsSeries. London, IIED. http://www.policy-powertools.org/Tools/Understanding/SIM.html

Mayers, J. 005. Stakeholder power analysis. Power Tools Series. London, IIED.http://www.policy-powertools.org/Tools/Understanding/SPA.html

or s m p

B4.2 In-depth tool: Xl a4.6

a4.6




The Four Rs

W s ? A ramework and tool to clariy the roles played by dierent stakeholdersand the nature o relationships between them.

W bs r?

It is particularly useul in contexts where roles need rethinking,negotiating and developing. It may be seen to complement stakeholderanalysis.

Ky ms The Four Rs tool unpacks stakeholders’ roles into Rights, Responsibilitiesand Revenues (benets). The ourth R is Relationships, which ocuseson the interactions between stakeholders. Background and context areresearched; an understanding o the current roles o stakeholders is setout; and there is also a capacity mapping exercise to help manage anychanges in roles.

Frr

rm

Mayers, J. 005. The Four Rs. Power Tools Series. London, IIED. http://www.

policy-powertools.org/Tools/Understanding/TFR.html

or s m p

B2.4, c2.3, c2.4

Historical analysis

W s ? A historical analysis o the evolution o usage, conficts and trends innatural resources.

W b

s r?

To gain insights into why and how a situation evolved to its present state.

It establishes a coherent ramework to show the causes o any competingtenure claims, stakeholders’ visions regarding access to and use o naturalresources, current dynamics and possible trends.

Ky ms Historical analysis includes understanding the past and evolution o:conficts over orest resources; land and orest tenure regimes; institutionsand relationships between dierent interest groups; ecosystem, landscapeand orest use patterns; people’s livelihood strategies; and other projectsimplemented in the area.

Frrrm

FAO. 005. Participatory and Negotiated Territorial Development (PNTD).Rome. http://www.ao.org/sd/dim_pe/pe_0500a_en.htm

or s m p

a2.1, a2.2, a3.1, a3.3

a4.7

a4.8




Achieving responsible gender-equitable governance o land tenure

W s ? A reerence guide oering advice and examples o good practice – what hasworked, where, why and how – in the pursuit o land tenure governance that isgender-equitable.

W bs r?

To work towards true and sustainable gender equality through gender-equitableparticipation in processes and institutions involved in decisions about land.

Ky ms The guide presents modules and tools or moving towards mainstreaming genderissues. It ocuses on what responsible gender-equitable governance o landtenure means in practice or all the national and local government ocials, civilsociety groups, and land administrators, technicians and proessionals workingin the land sector worldwide, and explores how this can be achieved. It includesdetailed modules on many issues, grouped under policy-making, legal issues,institutions, technical issues and communication.

Frrrm FAO. 0. Governing land or women and men: a technical guide to support the achievement o responsible gender-equitable governance o land tenure. Governance o Tenure Technical Guide no. . Rome.

or s m p

a2.1, a2.2, a2.3, B1.3, c1.2

a4.9

Governance assessment tools

W s ? The Summary o governance assessment tools and Indicators is a guide intabular orm to natural resource and environmental governance assessments,

global comparative indexes and broader assessment tools, produced or theInternational Union or Conservation o Nature (IUCN).

W bs r?

The guide can be used to gain an overview o examples o assessment tools, andto understand and compare key eatures and characteristics.

Ky ms The Summary describes the purposes and principles o dierent assessments andindexes; their key eatures and methodology; their core characteristics, such asocus area and resources required; and nally their advantages and limitations,specically or IUCN but also more broadly applicable. This inormation isprovided or a variety o natural resource governance assessments; globalcomparative indexes, including those ocused on accountability, humanrights and gender; regional surveys o public perceptions; both national andsubnational government-led assessments; and both civil society and donor-ledassessments.

Frrrm

Campese, J., Oviedo, G. & Surkin, J. 0. Summary o Governance Assessment Tools and Indicators. Gland, Switzerland, IUCN. http://cmsdata.iucn.org/down-loads/governance_assessment_tools_matrix_nal_6_.docx

Recanatini, F. Undated. Overview o Governance Assessment Tools: Prepared or the Core Course on Governance and Anticorruption.Washington, DC, World Bank.http://www.worldbank.org/publicsector/anticorrupt/eb06course/recanatini%0Gov%0Tools.pd

or s m p

c2.1, d1, d3

a4.10




A5. Dening opportunities or change

Selecting even a small number o the tools set out in sections A–A is likely togenerate a huge amount o inormation. This inormation needs to be broughttogether coherently to clariy the situation regarding governance o orest tenure,and then to identiy ways orward.

In the nal stage o understanding the issues aecting and aected by tenuralsystems:

• The dierent threads o the analysis are gathered together.

• Findings are validated with the main stakeholder groups (communitymembers, orest department sta and so on).

• Key learning points are distilled.

• Possible ways orward and strategic options are identied.

Unless time and resources are put aside or such analysis and synthesis, theinormation gathered earlier may remain as data rather than knowledge. Traditionalways o doing things remain the norm, and opportunities to improve the systemare missed.

Focus groups and workshops can be useul to disseminate and share theinormation collected and the results o the analysis. A acilitator can help to join thethreads o the analysis and add elements to the refection process, and can initiatedialogue between dierent stakeholder groups. In act, she or he has the task o organizing and examining the key inormation to ensure the analysis is consistentand appropriate or the context. Throughout the process, there should be eorts to

(re-)establish dialogue and trust among the actors and to nd common ground asa starting point or discussions about introducing change.

Actions emerging rom this process o analysis can range rom policy change tocapacity-building or confict resolution. Such actions can be implemented throughthe processes o organizing, engaging and ensuring that are discussed in the nextsections.

Recommended tools

Scenario analysis and planning

W s ? Facilitated brainstorming to identiy reorm possibilities and analyse likelyoutcomes.

W bs r?

Scenario analysis lets policy-makers ‘pre-test’ the perormance o a policy reormin dierent plausible situations and make alternative plans; assess the levelo ownership or a reorm agenda among key stakeholders; and build support

a5.1




or a reorm agenda by involving relevant stakeholders in discussions aroundscenarios, and working towards a shared understanding o key issues. It includes

rigorous data-gathering to explore the issues raised in brainstorming, and thecreation o three to ve plausible uture scenarios in which a reorm will play out.

Ky ms The elements o a complete scenario analysis are: () a preliminary scenarioworkshop, where relevant stakeholders come together to brainstormthe key issues around a reorm agenda; () data collection, in which aresearcher assembles relevant inormation around the key issues identiedin the preliminary workshop; () a scenario-building workshop, wherestakeholders build alternate scenarios; and () the dissemination process, inwhich scenarios are shortened to one-page brieng notes and shared withthe public through various media.

Frrrm

World Bank. 007. Tools or institutional, political, and social analysis o policy reorm: a sourcebook or development practitioners, Ch. 0. Washington, DC.http://siteresources.worldbank.org/EXTTOPPSISOU/Resources/

00-8507978/TIPs_Sourcebook_English.pd Mwayau, D.M, Kimbowa, R. & Graham, K. 0. A toolkit to assess proposed benet sharing and revenue distribution schemes o community REDD+ Projects.REDD-Net. London, Overseas Development Institute. http://redd-net.org/les/Benet%0Sharing%0Toolkit.pd

or s m p

B2.1, B2.2, d1.7

Problem tree analysis

W s ? A tool to establish causes and eects o a given problem by creating ahierarchy o relevant actors.

W bs r?

To distinguish the underlying causes o an identied institutional problemrom their eects, and then guide users towards the critical issues that needto be tackled in institutional development.

Ky ms The ocus problem is agreed upon. Attention is then given to the causes o the problem, starting with the most direct and signicant ones. The eectso the problem are also added. ‘Problems’ can then be turned into ‘solutions’to identiy ways orward and opportunities or change.

Frrrm

DFID. 00. Problem Tree Analysis. Promoting institutional and organisational development: A source book o tools and techniques, p. . London.http://webarchive.nationalarchives.gov.uk/+/http://www.dd.gov.uk/

pubs/les/prominstdevsourcebook.pd

or s m p

B2.1, B2.2, d1.7, c1.1

a5.2




Theory-o-change analysis

W s ? A strategic planning tool that allows stakeholders to identiy a goal and plotthe necessary actions and key indicators on the path towards that goal.

W bs r?

The analysis generates a visual tool, graphically mapping out the pathwayto achieving a goal. Through this visual mechanism, it helps stakeholdersidentiy the key conditions and interventions required to reach their goaland thereore more eectively plan interventions.

Ky ms The process begins by identiying the end goal and works backwards romthis point. Each step subsequently incorporated into the map is an identiedoutcome along the pathway, each with clear indicators or its achievement.

The indicators allow or detailed monitoring and evaluation, and ensurethat the identied outcomes are realistic and achievable.

Frr

rm

Theory o Change Community. What is Theory o Change? [Online Resource].

http://www.theoryochange.org/about/what-is-theory-o-change/

Keystone. 009. Developing a theory o change: A guide to developing a theory o change as a ramework or inclusive dialogue, learning and accountability or social impact. Impact Planning, Assessment and Learning (IPAL) Guide . Lon-don. http://www.keystoneaccountability.org/sites/deault/les/%0Developing%0a%0theory%0o%0change.pd

Keystone. 009. Theory o Change Template. London. http://www.keystoneaccountability.org/sites/deault/iles/Theory%0o%0CHANGE%0template_July%0009.pd

Organizational Research Services. 00. Theory o Change: A Practical Tool For Action, Results and Learning. Baltimore, Maryland, USA, Annie E. CaseyFoundation. http://www.aec.org/upload/publicationles/cc977k0.pd

or s m p d1

Community-based planning

W s ? A step-by-step guide or acilitators o a community-based planning (CBP)process. It explains the background to the approach and the six phases o planning involved.

W bs r?

This guide can be used by acilitators o a CBP process to develop community-designed poverty-reduction interventions. Beyond the resulting plan o

action, the process is also designed to empower communities, harnessingexisting strengths and relationships and creating new platorms.

Developed as a method or local people to contribute to South Arica’sIntegrated Development Plans, the process is applicable or other similarmultistakeholder processes.

a5.3

a5.4




The knowledge gained in this understanding stage can inorm thinking anddiscussions or the other stages o organizing, engaging and ensuring – movingtowards a tenure-reorm process that optimizes opportunities to reduce poverty andimprove sustainability.

Ky ms The guide explains how the CBP process takes place, providing suggestedtimelines or steps in the process and illustrating suitable methods. A six-

phase roadmap is presented, including: preparation; gathering o planninginormation; consolidating planning inormation; planning the uture;preparing implementation; and monitoring and implementation. Dierentactivities in each process are mapped out, such as interviews, uturevisioning and analyses o strengths, weaknesses, opportunities and threats(SWOT). Each section is broken down into the background, objectives,process and resources needed.

Frrrm

AICDD/Development Works. 005. Community-Based Planning and the IDP,Guide 2: Facilitator’s Guide to Community-Based Planning. Community-BasedPlanning Project Steering Committee. Arican Institute or Community-Driven Development and Development Works. http://www.ansa-arica.net/index.php/views/pub_view/community_based_planning_and_the_idp_guide_/

or s m p

a4, B, c1.2, c2.3, c2.4



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ns



Bts r rz



How to use icons


The prevailing level and quality o inormationand stakeholder engagement or which the tool isappropriate. One gear is a low level (i.e. there doesnot need to be much inormation and stakeholderengagement available to use this tool); our is a highlevel (i.e. there needs to be plenty o inormation and

stakeholder engagement available to use this tool).





B. Tools for organizing

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Wy rz s mprr vr rs r

For orest users to have policy infuence, they generally need to have sucientnumbers and to organize into eective groups or institutions. At the communitylevel, this entails developing the appropriate capacity and skills, and enhancingcommunity-based organizations. It also requires a public sector that is responsive tothe issues put orward by communities, and a private sector that operates airly andinclusively. In some situations, the best way to organize to bring about change may beto orm alliances or coalitions. This section ocuses on tools and techniques that willhelp dierent sectors o society to organize themselves appropriately, so that they caneectively shape and govern tenure systems or responsible orestry.

Public, private and civil society groups need to have the necessary skills, systemsand structures in place to ensure that policies and decisions around tenure are agreedin a air and accountable manner. Free, prior and inormed consent (FPIC) should beobtained or any changes, and there should be support or people with rights to orestresources so that they can use the resources airly and eectively or livelihood andconservation benets.

In many countries, there have been major changes in the way rights to orestresources are agreed and distributed in recent years. Decentralization o decision-making has been strengthened through participatory orest management, and therole o the private sector has grown through the privatization o orests and, in somecases, the emergence o new markets or orest ecosystem services.

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Tools or

ensuring

Tools or

engaging

Tools or

understanding

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Public, private and civil society groups may need to adopt very dierent roles romthose that previously prevailed, and the relationships between these key actors can

oten change dramatically. Capacity-building or these new roles and relationships isoten the most important way to ensure that improved security and benets emergerom a diversied tenure system.


Tools to help the public sector, private sector and civil society organize themeselvesare identied and shared in this section. There is also guidance and tools to help withthe establishment o alliances, networks and ederations, and to promote exchangebetween these actors.

The tools are structured around the ollowing issues:

B1. Strengthening communities to engage

• Developing the knowledge, skills and capacity o orest communitiesand marginalized groups to understand their rights, to draw attention totheir needs through advocacy, and to engage in dialogue and negotiatewith decision-makers on orest tenure issues (such as strengtheningcommunity leaders, training in legal literacy, negotiation and runningcommunity meetings).

• Building strong organizations to enable communities to organize withinand between themselves and exercise their rights over orest goods andservices in a responsible way or conservation and livelihood benets. Thisinvolves work on how community institutions are governed to minimize

the risk o elite groups becoming dominant. It also involves creatingmanagement capacities, including technical, nancial and organizationalaspects, or eective and equitable management o orest goods andservices – including, where appropriate, commercial orest enterprises.

B2. Building a responsive public sector

• Developing the skills and capacity among orest agencies or the publicsector to promote good governance o orest resources, and enablingorest department sta to build a positive and responsive relationshipwith other orest rights-holders.

• Tools to support and acilitate organizational change in the orest sector.

B3. Organizing or the private sector to operate in a air and inclusive way

• Building good governance within small orest enterprises, and organizingto access and develop markets.

• Investing in sustainable orest enterprises and company–communityorestry partnerships.

B4. Building or strengthening coalitions, networks and ederations to enabledierent interest groups with a stake in orest resources to work together todiscuss and negotiate orest tenure issues (see also ‘Tools or engaging’).



5B. Tools for organizing

By using and adapting tools in this section, you will gain an understanding o how tostrengthen the capacity o civil society, the state and the private sector so they are

better able to engage and participate in eorts to shape the governance o tenure o orest resources in a air and transparent way.

Many o the tools highlighted in this section overlap with those included in othersections. This is because good organization and capacity is vital or all initiatives tostrengthen governance o tenure or responsible orestry. The reader is signposted toother sections where specic tools may be covered in more detail.

B1. Strengthening communities to engage

Are orest communities engaged in dialogue and negotiation with decision-makerson orest tenure issues? Are they organized in an eective way to lobby or and

exercise their rights? The extent to which local communities are involved in decision-making varies in dierent contexts. Even in situations where the state or privatesector is willing to allow local communities and orest dwellers to have a greatervoice in shaping tenure o orest resources, communities do not necessarily have theappropriate capacity to understand and negotiate their rights.

Beore communities can make inormed decisions and eectively engage indialogue about proposed changes to their orest rights, they need to understand theshort- and long-term implications o any changes. These include potential impactsand costs, potential benets and legal implications. Support is particularly neededto enable the weaker voices in society to be heard and to participate in decisions anddialogue around the tenure o orest goods and services.

Communities also need to be well organized so that they can eectively managethose resources to which they have access, use and/or management rights, and canresolve local intra- or intercommunity conficts around tenure. They should be ableto exercise their rights over orest resources in a responsible way or livelihood andconservation benets.

Areas o support include:

• Supporting communities to understand the situation they are acing, thelegal context and their rights and responsibilities in relation to orest tenure,and helping them identiy their needs and problems. This includes buildingcommunity understanding o the law, plus legal tools and mechanisms theycan use to negotiate with decision-makers. Joint analysis and understandingare important steps towards eective organization.

• Building strong local community-based organizations that are able tomanage their orest resources eectively and that take advantage o opportunities to reduce poverty, resolve internal conficts, and negotiateand engage with decision-makers.

• Strengthening community leaders’ capacity to represent community orindigenous constituents, including running community meetings andestablishing eective dialogue with decision-makers.




Recommended tools

Organizing orest user-groups to engage

W s ? A ramework to guide development practitioners in helping local orestproducers to organize themselves and legitimately engage in eectivepartnerships.

W bs r?

To acilitate the necessary steps or orest producers to organize themselves.As a recognized organization legitimately engaged in orest governance andmanagement, orest producers may be able to access resources, partnershipsand markets that would otherwise be out o their reach.

Ky ms The process consists o ve phases: understanding the situation acingpitsawyers and their enterprise; discussing the advantages and disadvantages

o setting up an organization; setting up an organization; operating theorganization; and engaging in eective partnerships.

Frrrm

Krassowska, K. & Davidson, M. 005. Organising pitsawyers to engage. Power Tools Series. Uganda, Budongo Community Development Organisation, andLondon, IIED. http://www.policy-powertools.org/Tools/Organising/OPE.html

or s m p

B3.1, B3.4, c1.2 In-depth tool: Xl B1.1

Building advocacy, lobbying and negotiationskills or indigenous leaders to engage with REDD+

W s ? A training guide and supporting inormation to train indigenous leaders inREDD+ and advocacy skills.

What can it beused or?

To help indigenous leaders to dene advocacy strategies and develop skillsin lobbying and negotiation.

Key elements The advocacy, lobbying and negotiation training ocuses on seven stageso advocacy: gathering o inormation; dissemination o inormation; mediaadvocacy; alliance building and networking; lobbying and participating ingovernment decision-making processes; negotiations; and mass mobilizationand mass actions.

Frrrm

Erni, C. & Tugendhat, H. 00. Advocacy, lobbying and negotiation skills. What to do with REDD? A Manual or Indigenous Trainers , Module 5. Asia Indigenous

Peoples Pact (AIPP), Forest Peoples Programme, International Work Group orIndigenous Aairs (IWGIA) and Indigenous Peoples’ International Centre orPolicy Research and Education (TEBTEBBA). http://www.orestpeoples.org/sites/pp/les/publication/00/08/reddtrainingmanualmar0eng.pd

or s m p

c1.2, c1.3

B1.2

B1.1




Community Organizers Toolbox

W s ? Guidance on building more eective and democratic communityorganizations.

W bs r?

Designed or community organizers and organizations, with the aim to buildstronger community organizations.

Ky ms The guidance is arranged around the ollowing themes: work inthe community; building an organization; managing your nances;administration; inormation technology; paralegal advice; local government;HIV and AIDs; government; government programmes and policies; andunderstanding development.

Frrrm

Education and training unit. Community Organisers Toolbox [OnlineResource]. Johannesburg. http://www.etu.org.za/toolbox/

Peterson, E.R. & Barron, K.A.007. How to get ocus groups talking: new ideasthat will stick. International journal o qualitative methods 6(): 0–.https :/ / e jour nals . l ibr ar y.ualbe r ta .ca/ inde x.php/ IJ Q M / ar t ic le /viewFile/60/577

or s m p

B3.2, B4.3, c1.2

From the Roots Up: strengthening organizational capacitythrough guided sel-assessment

W s ? Tools and methods or sel-assessment to strengthen organizationalcapacity.


To enable organizations to regularly refect on their perormance and toimprove and adapt their plans and activities according to their purpose,context and resources.

Key elements The process includes: diagnosing and prioritizing the organization’sstrengths and weaknesses; developing locally appropriate indicators orcontinuing to measure these capacities; and identiying concrete actionsthat will help the organization to mature.

Frrrm

Gubbels, P. & Koss, C. 000. From the Roots Up: Strengthening Organizational Capacity through Guided Sel-Assessment . Oklahoma City, Oklahoma, USA,World Neighbors. http://www.rmportal.net/library/content/tools/biodiversity-conservation-tools/putting-conservation-in-context-cd/capacity-

building-and-organizational-development-resources/Excerpts-From-the-Roots-Up-Strengthening-Organizational-Capacity-through-Guided-Sel-Assessment/view

or s m p

B2.2

B1.3

B1.4




Participatory Governance Assessment

W s ? A tool to assess and improve internal governance o community groups.

W bs r?

To analyse governance structure and practices within community-basedorganizations and identiy areas or improvement.

Ky ms This tool assesses prevalent decision-making and management practicesagainst our governance ‘pillars’: transparency, participation, accountabilityand predictability. Responses are scored (poor to very good), and aGovernance Improvement Plan is developed that lists key activities.

Frrrm

SAGUN Program/CARE Nepal. 008. Tools used in Strengthened Actionsor Governance in Utilization o Natural Resources (SAGUN) program. Tool 3:Participatory Governance Assessment. CARE Nepal with World Wide Fundor Nature (WWF) Nepal, Resource Identication and Management Society(RIMS) Nepal and Federation o Community Forestry Users (FECOFUN) Nepal. http://www.carenepal.org/publication/__SAGUN_PGA.pd

or s m p

a2.2, a4.7, a4.1

Community-based orest resource conict management

W s ? A set o tools to deliver training in community-based orest resource confictmanagement.

W b

s r?

To enable community groups to examine conficts relating to orest resource

use and community-based orest management.

Ky ms The resources include theoretical guidance (volume ) and a toolkit orthe delivery o training in this area (volume ). The key elements include:understanding confict in community-based orest management; a collaborativeapproach to confict management; analysis; developing a strategy or managingconfict; and negotiations and building agreements.

Frrrm

FAO. 00. Community-based orest resource confict management: trainingpackage, Vols. and . Rome. http://www.ao.org/DOCREP/005/Y00E/Y00E00.HTM and http://www.ao.org/DOCREP/005/Y0E/Y0E00.HTM

or s m p

a3.1, a3.3, a4.9

Interacting with national acilitation hub institutions

W s ? A tool used to help orestry groups identiy suitable acilitation supportinstitutions.

W bs r?

To identiy and engage the institutions best equipped to acilitate supportin dierent contexts. It was written in the context o supporting communityorest enterprises but can have wider application.

B1.7

B1.5

B1.6




B1.8

Ky ms The main steps in the process are: mapping o relevant institutions; screeningpromising institutional acilitators; negotiating with potential acilitation

‘hub’ institutions; developing a plan or developing acilitation capacity; andestablishing a steering committee.

Frrrm

Macqueen, d.J., et al. 0. Supporting small orest enterprises: a acilitators toolkit. Small and Medium Forest Enterprise Series, No. 9. London, IIED. [Identiyingnational small orest enterprise support institutions’ module] http://pubs.iied.org/558IIED.html

or s m p

B3.1, c1.2

Guidance or developing advocacy plans

W s ? Guidance and tools or general advocacy planning or NGOs.

W bs r?

It is aimed at environmental NGOs in West Arica (examples are all rom theregion), but can be used elsewhere or local and national NGOs to developadvocacy plans.

Ky ms The guidance introduces key steps in inormation-gathering, planningand campaigning. The toolkit includes stakeholder analysis, risk analysis,conducting legal research, writing position papers, using the media andeective networking.

Frrrm

Ozinga, S. & Riesco, I.L. 006. Provoking change: a toolkit or Arican NGOs. Brussels and Moreton-in-Marsh, UK, FERN. http://www.ern.org/sites/ern.org/les/provokingchange_LR.pd

or s

m p a4, c1

B2. Building a responsive public sector

Are the state orest institutions – government departments and agencies – able torespond to the issues and challenges within the orestry sector? Are they structuredand organized in an eective way? Do they have the appropriate skills and capacityto listen and respond to the issues o orest rights-holders? State institutions need toplay a signicant role in ensuring that the governance o tenure or orest resourcesis transparent, accountable and delivers poverty and environmental benets. For this

‘ensuring’ role (covered in section D) to be eective, some (re)organizing o the stateorest sector may be a necessary precursor.

There is no blueprint or institutional change. However, to ensure that orest-sectorreorm creates an accountable system that serves both conservation and poverty-reduction goals, any reorm process should ocus attention on the ollowing issues:

• Address corruption and collusion between industry and public sector sta.

• Address any problems in the judiciary system, so that it can operate properlyto resolve disputes over resources and land.




• Strengthen capacity in land and resource tenure where necessary.

• Resolve any areas o overlapping responsibility among government

departments and ministries or orest lands.• Have a system or recording customary claims to orest lands and their

tenure systems.

• Review and address any nancial and logistical hurdles or orest users whoobtain statutory rights.

• Assist in creating equal opportunities or small and medium-sized orestenterprises to compete with larger ones.

This toolkit does not go into all the particular steps o orest-sector reorm. It does,however, present useul approaches and sources o guidance that can help orestdepartments and other relevant institutions adapt to their changing roles and embedappropriate practices in their day-to-day operations. These approaches can assist in

reviewing and addressing the above points. Guidance here includes:• investing in and managing organizational change processes to overcome those

institutional barriers within the public sector that are identied as limiting goodgovernance o tenure or responsible orestry;

• ensuring that sta, including ront-line sta and middle and senior management,understand legislation and key concepts relevant to governance o tenure orresponsible orestry (human rights; poverty; poverty’s root causes and links toorests; gender; and the infuence o power relationships on how orest rightsare exercised and upheld);

• strengthening the orest department’s administrative capacity and resources todemarcate, delimit and enorce orest tenure rights;

• developing skills o orest department sta to enable and support rights-holders

to exercise their rights and eectively manage orest resources (communityengagement skills such as participation, negotiation and dispute resolution;and establishing ree, prior and inormed consent beore making any changes).

Recommended tools

Facilitating organizational and institutional change

W s ? A sourcebook oering a range o tools to provide a common ramework or

discussion among stakeholders throughout an institutional reorm process.

W bs r?

To be used within an organizational or institutional change process, to betteracilitate the process.

Ky ms The sourcebook describes various stages and corresponding tools: analysisand diagnosis o the overall institutional ramework; analysis and diagnosiso the organization within its institutional ramework; review and design;implementation; and monitoring and evaluation.

B2.1




B2.3

B2.2

Frrrm

DFID. 00. Promoting institutional and organisational development: a sourcebook o tools and techniques. London. http://webarchive.nationalarchives.

gov.uk/+/http://www.dd.gov.uk/pubs/les/prominstdevsourcebook.pd

or s m p

a4.2, a4.7, a5

Appreciative inquiry

W s ? An approach to explore potential organizational change through identiying andbuilding on existing positive aspects.

W b

s r?

To generate new knowledge, using current practice as a catalyst, that expands

the ‘realm o the possible’ and helps members o an organization to both envisiona collectively desired uture and carry it orward.

Ky ms Appreciative Inquiry attempts to ask questions in such a way that they explorepositive aspects o an organization. The intention is to build – or rebuild –organizations around what works, rather than trying to resolve what does not.

It uses a cycle o our processes: ‘discover’ – the identication o organizationalprocesses that work well; ‘dream’ – the envisioning o processes that would work well in the uture; ‘design’ – planning and prioritizing processes that would work well; and ‘destiny’, or ‘deliver – the implementation (execution) o the proposeddesign.

Frrrm

Serrat, O. 008. Appreciative Inquiry . Knowledge Solutions Series. Manila, AsianDevelopment Bank. http://www.adb.org/Documents/Inormation/Knowledge-Solutions/Appreciative-Inquiry.pd

or s m p

a5, c1, c2

Running pilot projects

W s ? An approach to test and understand the possible eects o a new way o working beore rolling it out more widely.

W bs r?

For use prior to organization- or country-wide changes, to test and gain a betterunderstanding o how things can work dierently through reorm or through

the use o dierent approaches.

Ky ms A key characteristic o pilot projects is that they must have clear learningobjectives and adopt an ‘action-learning’ approach. The learning objectives setout explicit questions that will be explored through the pilots, and the lessonslearned can be used to inorm uture practice or policy development.

Frrrm

Uganda Forestry Sector Policy and Strategy Project. Understanding what willwork: pilot projects or extension service delivery reorm. Uganda National




B2.4

Forest Programme (NFP) Process Learning Series, Note . Forestry InspectionDivision, Uganda Ministry o Water, Land and Development, London, DFID,

and Edinburgh, LTS International. http://webarchive.nationalarchives.gov.uk/+/http://www.dd.gov.uk/Documents/publications/ugandanpseries.pd

or s m p

a, c, d

On-the-job mentoring o government ofcials in participatory approaches

W s ? Mentoring local or national government sta to encourage the use o participatory approaches.


To build capacity to adopt participatory approaches within the orestry sector.

Key elements Supports the integration o participatory approaches into day-to-day work to support sustainable orest management. Capacity-building can be carriedout with government orest departments and key institutions, such as orestryschools, training institutes and other agencies.

Frrrm

Gilmour, D. & Saro-Mensah P. 005.Evaluation report on project ‘StrengtheningParticipatory Approaches to Forest Management in Ghana, Guyana & Uganda’. London, DFID. http://www.dd.gov.uk/rd/Project/6005/Deault.aspx

or s m p

a4.7, c2.3, c2.4In-depth tool: Xl B2.4

E-government systems or securing orest rights

W s ? Providing public access to computerized ocial records.


The computerization o records o land rights, made more readily availablethrough village-level computer kiosks, has been widely used to documentland rights. The system is considered suitable or application to orest lands.

Key elements While open-data policies are primarily initiated by government agencies, itis possible or civil society organizations to generate the demand or publicaccess to such ocial data. The demand can ocus on various benets:

reduced ambiguity over boundaries, more transparency o ownership, betterrelations between authorities and communities, or nancial benets such aslower levels o corruption.

Frrrm

Castrén, T & Pillai, M. 0. Forest Governance 2.0: a primer on ICTs and governance. Washington, DC, The Program on Forests (PROFOR) and WorldBank http://www.proor.ino/proor/sites/proor.ino/les/docs/Forest%0Governance_web.pd

or s m p

a3.2

B2.5




B3. Organizing or the private sector

to operate in a air and inclusive way

What are the dierent roles o the private sector that aect orest goods and services?Are the appropriate systems and agreements in place or them to do so? The privatesector needs to operate airly and inclusively or responsible orestry.

The main roles o the private sector are:

• as owners and managers o orested land;

• as managers o small and medium-sized orest enterprises;

• as traders and marketers o orest resources (including ecosystem services);

• as investors unding projects or programmes on orest land.

Small and medium-sized orest enterprises are business operations aimed at makingprots rom orest-based activity. Frequently, they are very small scale, developed asopportunities or local communities to benet nancially rom exploiting their orestresources. Responsible and protable small orest enterprises are seen as an eectivemechanism to reduce poverty, avoid deorestation and tackle climate change. Theyalso need to be managed in a way that is socially and environmentally responsible,however. As with local community groups, many smaller organizations need support tosecure the rights that they have, and to convert these rights into sustainable livelihoodstrategies.

Companies and private banks investing in inrastructure projects and otherdevelopments on orested land need to ollow best practices in environmental and socialsaeguards to ensure that all de acto andde jure access, use and management rights are

taken into consideration. As owners or managers, it is important that companies – likethe state – use best practices in engaging local communities and orest dwellers, andobtain ree, prior and inormed consent (see also ‘Tools or engaging’).

Company–community orestry partnerships have the potential to contribute tosustainable orest management and rural development. There are active agreementsor the production o orest goods and services in which the parties share benets,costs and risks with the expectation o a mutually benecial outcome. They are oteninitiated ater changes in tenure arrangements, such as the privatization o orests orthe emergence o markets or ecosystem services. The negotiation and management o these partnerships needs to take into account all existing orest rights. A critical actor inthe success o such relationships is the level o trust established between the companyand the community; in addition, technical support is oten as important or companies

as or local communities.




Recommended tools

Market analysis and development orcommunity-based tree and orest product enterprises

W s ? A eld manual providing a ramework or planning tree and orest-product enterprises.

W bs r?

To guide acilitators who will assist local people in a process to identiypotential products and develop markets that provide income andbenets without degrading the resource base.

Ky ms The manual consists o six booklets, which lay out a set o steps and casestudies in three phases: Phase – assess the existing situation; Phase – identiy products, markets and means o marketing; Phase – planenterprises or sustainable development.

Frrrm

FAO. 0. Community-based tree and orest product enterprises: Market analysis and development, I. Lecup. Rome. http://www.ao.org/docrep/0/i9e/i9e00.pd

or s m p

a1.1, B1.5

Strengthening community enterprisegovernance and structures

W s ? A tool to identiy appropriate institutional structures and governance or

successul community orest enterprise organizations.

W bs r?

To help acilitators enhance the social sustainability o community orestenterprise producers, ocusing on the ‘triple bottom line’ o economy,ecology and society.

Ky ms The key steps in the process are: participatory situation analysis;acilitating the establishment o an improved organizational structureand governance system; capacity-building; exploring collective action;establishing a ‘one-stop shop’ or inormation on nancial and business-development services; acilitating market inormation systems.

Frrrm

Macqueen, D.J. et al. 0. Strengthening community enterpriseorganisations. Supporting small orest enterprises: A acilitators toolkit ,Module . Small and Medium Forest Enterprise Series, No. 9.

London, IIED. http://pubs.iied.org/558IIED.html

or s m p

B1.5

B3.2

B3.1




Investing in sustainable orestry enterprises

W s ? A toolkit or progressive banks and investors to support sustainablemanagement o orest resources.

W bs r?

To help nancial institutions develop consistent and eective policies,implementation and monitoring procedures or nancing sustainable orestryenterprises.

Ky ms The Sustainable Forest Finance Toolkit comprises our key sections arrangedin a practical, interactive ormat, and targeted at specic user groupswithin a nancial institution. These include: New Application – guidance orassessing prospective orestry-sector clients on sustainability issues; PortolioManagement – illustrative approach or evaluating a portolio o legacyorestry clients; Policy Development – guidance on issues o strategic andoperational importance in designing a pragmatic and clear orestry policy;Procurement – a model orestry procurement policy and links to key resources.

Frrrm

Pricewaterhouse Coopers/WBCSD. 009. Sustainable Forest Finance Toolkit. New York, Pricewaterhouse Coopers, and Geneva, World Business Council orSustainable Development. http://www.pwc.co.uk/sustainability-climate-change/issues/orest-nance-home.jhtml

or s m p

B1.5, c1.3, c2.6

Company–community orestry partnerships

W s ? Guidance on essential elements or eective and equitable company–community orestry partnerships.

W bs r?

To guide larger companies and community-based orest producer or user groupsin developing equitable and productive contract-based enterprise partnerships.

Ky ms Ater reviewing case studies in depth, the guidance oers: a range o successactors or companies, landowners and communities; principles or good deals;elements or desirable partnership contracts or agreements, with particularinnovations rom case material; and some key actions that companies,communities, governments, third parties and donors can take or betterpartnerships.

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Mayers, J. & Vermeulen, S. 00. Company–community orestry partnerships:rom raw deals to mutual gains? London, IIED. http://pubs.iied.org/9IIED.html

Chandrasekharan Behr, D., Sander, K., Rosenbaum, K., Angeletti, I. &Dengel, C. 009. Rethinking orest partnerships and benet sharing: insights onactors and context that make collaborative arrangements work or communitiesand landowners. Washington, DC, World Bank. http://www.proor.ino/proor/sites/proor.ino/les/Benet_Sharing_WEB_0.pd

B3.4

B3.3




Chandrasekharan Behr, D. 0. Making benet sharing arrangements work or orest-dependent communities: overview o insights or REDD+ initiatives.

Washington, DC, The Program on Forests (PROFOR).

or s m p

a4.7, B1.1

Fairtrade standard or timber sourced rom small-scaleand community-based producers

W s ? This standard is used to add the ‘airtrade’ dimension to responsible orestmanagement by small-scale producers, and to improve trading practices atsupply-chain level.

W bs r?

The airtrade standard or timber denes additional air trade requirements ontop o orest management and chain-o-custody certication.

Ky ms The requirements are or: () orest enterprises already holding a valid ForestStewardship Council (FSC) combined Forest Management/Chain o Custodycerticate that are themselves, or source their timber rom, small-scaleor community-based producers; and () traders in the supply chain thatsubsequently handle the airtrade products, who must also already have a validChain o Custody certicate.

This standard applies to orest enterprises producing a broad range o orestryproducts, including timber products and, potentially, non-timber orestproducts. To meet the standard, enterprises must ull a series o requirementsregarding social development, economic development, environmentaldevelopment and labour conditions. The standard document sets out the

steps to be ollowed in each case and the specic requirements. Forestenterprises must also demonstrate compliance over time through continuousimprovement.

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FLO. 0. Fairtrade standards or timber or orest enterprises sourcing romsmall-scale/community-based producers. Bonn, Germany, Fairtrade LabellingOrganizations International. http://www.airtrade.net/leadmin/user_upload/content/009/standards/documents/0-0-0_EN_Fairtrade_Standard_or_Timber.pd

or s m p

c2.6, d3.5

B3.5

B4. Building or strengthening coalitions, networks and ederations

How can local communities ensure that their voices are heard? How can they joinorces to engage with policy and governance processes? Associations and coalitionscontinue to be the most eective routes or communities to raise bargaining power.

The creation o alliances among agencies, governmental institutions, civil societyand their representatives (armers’ organizations, research institutes, trade unions




and so on) can encourage broad participation. It is necessary to invest in reinorcingcooperation as a means or strengthening inormation fows and communication

both vertically (between civil society and proessionals, authorities or institutions)and horizontally (among dierent civil society representatives or directly among thedierent actors concerned).

The coming together o NGOs and/or civil society organizations will enable existingresources to be better used and additional resources to be mobilized. Furthermore,the cooperation o communities with NGOs, as well as cooperation between NGOs,will have the ollowing advantages:

• the provision o technical and institutional support or civil society actors;

• the replication o NGOs’ experiences elsewhere;

• increased access to inormation in civil society;

•

increased decision-making capacities o public ocials and projectmanagers.

Networks, coalitions and partnerships can also exist between community leadersand organizations, enhancing their ability to collaborate in negotiation and dialogue.

The tools here ocus on the establishment both o alliances and o smooth fows o inormation within and between such alliances and coalitions.

Managing a peer-to-peer learning group or improving orest governance

W s ? Peer-to-peer groups or mutual support and learning to improve orest governance.

W bs r?

Learning groups are an eective way or individuals in institutions to support andlearn rom each other, and to create and take opportunities to improve orestgovernance through their institutions. They have proven impacts in: understandingkey governance barriers and opportunities, and on-the-ground realities;understanding practical tactics or changing governance; improving capabilitiesto infuence or change governance; improving engagement mechanisms andprocesses; changing discourses and decision-making processes; and infuencingdecisions and policies.

Ky ms Four linked areas o action by orest governance learning groups at national orlocal levels are recommended: establishing a team o ‘governance-connected’people rom a mix o agencies, with experience and ideas; conducting policy work on orest livelihood issues that arise when people are marginalized rom decision-

making; developing practical guidance and tools or making progress; andcreating and taking opportunities to improve governance. Key tactics in makingsuch improvements include: securing sae space; provoking dialogue; buildingconstituencies; wielding evidence; and interacting politically.

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Mayers, J. et al. 009. Just orest governance: how small learning groups can have bigimpact. IIED Brieng. London, IIED. http://pubs.iied.org/7070IIED.html?c=orestry

or s m p

a, c1.5, c1.10, c2.1, c2.3, d1.4, d1.5, d3.6

B4.1




B4.3 Building alliances and coalitions or advocacy

W s ? Tools that set out how civil society groups can identiy and build alliances andcoalitions to push or change.

W bs r?

To promote citizen participation in a wide range o contexts, rom participatoryresearch and community development, to neighbourhood organizing and legalrights education, to large-scale campaign advocacy.

Ky ms These tools combine practical steps with a sound theoretical oundation in rights-basedpolitical empowerment. They recommend, and describe how to carry out, ve ‘planningmoments’: looking inward; understanding the big picture; identiying and deningproblems; analysing problems and selecting priority issues; and mapping advocacystrategies. They describe nding policy hooks, political angles, riends and oes, andthey give guidance on: messages and media; outreach and mobilization; lobbying andnegotiating; advocacy leadership; and developing alliances and coalitions.

Frr

rm

VeneKlasen L. & Miller, V. 007. Alliances and Coalitions. A New Weave o Power,

People and Politics: The Action Guide or Advocacy and Citizen Participation. Sterling,Virginia, USA, Stylus Publishing, and Rugby, UK, Practical Action Publishing. http://www.justassociates.org/ActionGuide.htm

Colchester, M., Apte, T., Laorge, M., Mandondo, A. & Pathak, N. 00. Bridging thegap: communities, orests and international networks. Occasional Paper . Bogor,Indonesia, Centre or International Forestry Research (CIFOR). http://www.cior.org/publications/pd_les/OccPapers/OP-.pd

or s m p a4.4, c1.6, c1.7

Social networks: 8 Degrees and others

W s ? 8 Degrees – so named because 8° is the angle beyond which an avalancheoccurs – is an independent, non-partisan political community o citizens workingto bring about ‘an avalanche or real change’ in the UK by taking action on theissues that citizens care about.

W bs r?

Social networks can be used or any campaigning issues that have a popular baseo support. A notable achievement o 8 Degrees (with others) was to persuade theGovernment o the United Kingdom o Great Britain and Northern Ireland to cancelits plans to sell 58 000 ha o state-owned woodland in England to the private sector.

Ky ms The strength and infuence o social networks depend on the numbers o peopleinvolved, which, in turn, are increased i the agenda is clear and participation is easy. 8Degrees uses simple tools or concerned members o the public to infuence decisionsmade at local and national levels, including: online petitions; emails, letters and visitsto members o parliament and corporate leaders; and other peaceul methods o campaigning by large numbers o people. The members (the public) set the agenda,and the small sta devises tactics drawing on suggestions rom the public.

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drs, UK : http://www.8degrees.org.uk

Mvo, USA: http://ront.moveon.org =

gup, Australia: http://www.getup.org.au

avz, International: http://www.avaaz.org

or s m p

a4.2, a4.4, a4.6

B4.2



59B. Tools for organizing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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ns



C

ts r



6

RefeRences

How to use icons


The prevailing level and quality o inormationand stakeholder engagement or which the tool isappropriate. One gear is a low level (i.e. there doesnot need to be much inormation and stakeholderengagement available to use this tool); our is a high

level (i.e. there needs to be plenty o inormation andstakeholder engagement available to use this tool).





C. Tools for engaging 6

C. ts r

Why engaging is importantor governance o orest tenure

Reaching agreement about changes to orest tenure systems that are air, inclusiveand likely to be implemented requires the engagement o dierent interest groups. Those interest groups should be able to articulate their needs and interests in aprocess o negotiation and consensus-building. In the previous section we saw howdierent actors can organize themselves so that they are ready to engage. In thissection we ocus on the tools that bring stakeholders together to engage with eachother while ensuring that such processes are inclusive and participatory, so thatmarginalized voices are heard and all interest groups are engaged eectively.

Engagement among stakeholders can take many orms. It can range rom oneparticular group taking specic action to raise awareness o their concerns withothers, through to consultations and roundtable discussions. Multistakeholderprocesses are now widely acilitated in the orestry sector – bringing dierent interestgroups into longer-term constructive engagement, dialogue and decision-making.In all contexts, inormed and inclusive dialogue and decision-making around oresttenure requires sensitive acilitation.

gvr

rs r

k

Tools or

ensuring

Tools or

engaging

Tools or

organizing

Tools or

understanding




Throughout the engagement process, specic attention and tactics are needed toaddress inequalities o power and to support weak or marginalized actors in entering

the dialogue process and creating potential or negotiation. For example:

• modiying the procedures used to manage the process, ensuring that whatis at stake or weaker stakeholders is better heard by others;

• meeting in settings in which weaker stakeholders eel comortable, oradopting the discussion style o weaker stakeholders;

• becoming amiliar with customary procedures used by weaker stakeholdersand adopting aspects o these procedures, which may require legaladvocacy, legal action or political action to change the legal ramework o rights to resources;

• mobilizing and organizing: orming associations or other local organizationsto press claims and deend interests, or orming alliances with externalorganizations that provide support and resources in various orms, includinglegal advice, technical assistance and training.


There is much guidance available on roundtables, multistakeholder processes andways o supporting poor and marginalized groups to participate eectively. Thissection points you in the right direction to access this generic guidance, while payingspecic attention to tools that have been successully applied in the context o governance o tenure or responsible orestry.

The guidance and tools are organized in the ollowing two themes:

c1. Supporting civil society to wield evidence, advocate, campaign and negotiateor more equitable tenure arrangements that refect traditional and customarypractices.

c2. Running eective consultation, participation and multistakeholder processes to promote mutual understanding, trust and commitment to action to shapeorest tenure.

By adopting and adapting the tools in this section, you will:

• know where to go or guidance on running eective participatory workshopsand multistakeholder processes;

• understand how to support dierent stakeholder groups who infuenceand/or are aected by tenure agreements over orest resources – includingcommunities, government ocials and business representatives – toparticipate eectively in decisions, understand each other’s perspectivesand needs, and reach an agreement.




C1. Supporting civil society to wield

evidence, advocate, campaign and negotiate

Are people in civil society able to negotiate and campaign or equitable tenurearrangements that refect traditional and customary practices? Are their voices heard?In processes o tenure reorm or responsible orestry, acilitation eorts should ensurethat weaker stakeholders have sucient access to decision-making processes and theability to articulate their relevant needs and interests eectively.

Many dierent approaches and tactics can be used by local community membersto build an evidence base and engage with policy-makers around their needsand aspirations. The approaches and tools listed below can be used to supportcommunities in developing the skills to engage with political processes and themedia through negotiating, infuencing and campaigning.

There are also tools that explore mechanisms or engaging such as community radio,participatory video and participatory photos. With rising use o ICTs, new channels areavailable to reach out to a greater number o people and to draw the attention o keyaudiences.

Recommended tools

Advocacy tools and guidelines

W s ? CARE has produced guidelines or advocacy planning to help practitionersinfuence policy-makers. The guidelines look at key concepts in advocacy,how to strategically and practically plan an intervention and how tosuccessully implement that plan.

W bs r?

The guidelines can be used when an issue has been identied that wouldbenet rom a policy being eected, reormed or implemented. They provideguidance rom the initial inormation-gathering stages through the planningand implementation phases o advocacy work.

Ky ms The guidelines take the potential advocate through the initial stages, such asgathering background inormation on key decision-makers and institutions,and establishing relationships and credibility. They then provide guidanceor planning techniques, including more detailed policy analysis; identiyingpolicy issues and goals; identiying key actors, messages, types o strategy

and associated activities; and practical planning o timelines, budgets andmonitoring-and-evaluation indicators. In the nal implementation stages,guidance is included on clear and eective communication strategies;building coalitions and local capacity or policy infuence; and tips on media,negotiation tactics and managing risk.

Frrrm

Sprechmann, S. & Pelton, E. 00. Advocacy tools and guidelines: promoting policy change – A resource manual or CARE program managers. Atlanta, Georgia,USA, CARE. http://www.care.org/getinvolved/advocacy/tools.asp

c1.1




Frrrm

WaterAid. 00. Advocacy – what’s it all about? A guide to advocacy work in thewater and sanitation sector. London.

http://www.wateraid.org/documents/advocacysb.pd

Datta, A. 0. Strengthening world vision policy advocacy: a guide to developingadvocacy strategies. London, Overseas Development Institute (ODI).http://www.odi.org.uk/sites/odi.org.uk/les/odi-assets/publications-opinion-les/76.pd

or s m p

a4.2, a5.2

Eective consultation

W s ? A tool oering guidance to help communities participate successully inlocal consultations and negotiations relating to the management o naturalresources.

W bs r?

To empower communities in local consultations aimed at identiying who hasthe right to manage natural resources in an area and how this managementshould be carried out and monitored.

Ky ms This tool sets out our steps to help the community to prepare or aconsultation, to develop a common vision and position or negotiations, andto ensure that any agreements are clearly captured and can be enorced andmonitored in the uture.

Frrrm

Joaquim, E., Norolk, S. & Macqueen, D. 005. Avante consulta! Efectiveconsultation. Power Tools Series. Matumbo, Mozambique, Terra Firma, andLondon, IIED. http://www.policy-powertools.org/Tools/Engaging/AC.html

or s m p

a2.1, a4.9, a5.4

c1.2

Free, prior and inormed consent – rom principle to practice

W s ? Guidance on implementing the principles o ree, prior and inormed consent(FPIC).

W bs r?

FPIC means establishing the conditions under which people can and doexercise their right to negotiate the terms o externally imposed policies,programmes and activities that may aect the lands, resources or assetsthey customarily own, occupy or otherwise use, and give or withhold theirconsent to them. Guidance on implementing FPIC comes into play whenindigenous people or local communities are negotiating with internationalinstitutions, governments or private investors who seek to apply policies,programmes or investments aecting resources to which these communitieshave a strong connection. The guidance helps with practically applyingthe principles o FPIC in catalysing and concluding such negotiations.

c1.3




Ky ms The guidance – written in the context o agribusiness investments and REDD+– oers a series o steps or setting up and organizing a documented system

that enables indigenous peoples, local communities and other stakeholders toexpress their views in negotiations and to have these views and wishes includedin decision-making. The steps include: identiying customary land (or example,using participatory mapping); engaging with organizations representing thecommunities; providing inormation to allow air participation and inormedconsent; ensuring consent is reely given (without coercion); ensuring consentis prior (well beore any development plans and so orth are put in place);ensuring there is consent; and resolving any confict in the process.

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Forest Peoples Programme. 008. Free, Prior and Inormed Consent and Oil Palm Plantations: a guide or companies. Moreton-in-Marsh, UK. http://www.orestpeoples.org/sites/pp/iles/publication/009//picandrspocompaniesguideoct08eng.pd

Anderson, P. 0. Free, Prior, and Inormed Consent in REDD+: Principles and Approaches or Policy and Project Development. Bangkok, Regional Community

Forestry Training Center (RECOFTC), and Eschborn, Germany, GIZ. http://www.recotc.org/site/uploads/content/pd/FPICinREDDManual_7.pd

FAO. Forthcoming. Implementation guide on land acquisition, ree, prior and inormed consent and customary land o indigenous peoples and other local communities, S. Chao and M. Colchester.

or s m p

a3, B1.2 In-depth tool: Xl c1.3

Supporting communities to negotiate and run impactand benet agreements with companies

W s ? A toolkit designed or communities engaged in negotiating impact andbenet agreements with companies.

W bs r?

To help community negotiators and/or consultants working with indigenouscommunities and organizations to address the process and content issuesrelevant to negotiating agreements. This guide was written in the contexto small armers in Canada but is more broadly relevant to communitiesdependent on orest resources or their livelihoods.

Ky ms The toolkit ocuses on preparing or negotiations and establishing anegotiating position; conducting negotiations and creating agreements; andimplementing agreements and maintaining relationships.

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Gibson, G. & O’Faircheallaigh, C. 00. IBA Community Toolkit: Negotiation and Implementation o Impact and Benet Agreements. Toronto, Walter and Duncan

Gordon Foundation. http://www.ibacommunitytoolkit.caor s m p

B1.2

c1.4




Media and lobbying tactics or local groups

W s ? Using media and lobbying tactics to build a shared understanding o aproblem and to engage with policy.

W bs r?

For acilitators to support armers and develop their media and lobbying skills whilethey engage in national policy processes. Particular experience comes rom Grenada,but the approaches are applicable more widely to natural resource policy processes.

Ky ms Key elements include: outside preparations (land-registry search and land-useaudit); building armers’ evidence (or example, encouraging armers to keeprecords or map land use); linking the issue to the bigger picture (integratingarmers’ issues with national programmes or building relationships betweenarmers and agricultural technical sta); and targeting, communicating andnegotiating with wider groups (such as helping armers to prepare or keymeetings or using the media to spread awareness). The tactics range rom airlytechnical, time-consuming activities such as mapping and audits to suggestions

or seizing opportunities – particularly with politicians and the media.Frrrm

Williams, J. & Vermeulen, S. 005. Media and lobby tactics: linking armers' actions with national policy processes. Power Tools Series. Grenada CommunityDevelopment Agency and London, IIED. http://www.policy-powertools.org/

Tools/Engaging/MLT.html

Ellsworth, L. & White, A. 00. Deeper roots: strengthening community tenure security and community livelihood, Strategies and 7. New York, FordFoundation. http://www.ordoundation.org/pds/library/deeper_roots.pd

or s m p

a3, a4, B4.1In-depth tool: Xl c1.5

c1.5

Crowdsourcing

W s ? ‘Crowdsourcing’ means opening up tasks to a community or an undenedlarge group o people (a ‘crowd’) through an open call or inormation.

W bs r?

Crowdsourcing is a powerul tool or reaching out to and enlisting a largenumber o community members, volunteers and NGOs. It can draw attentionto key issues around orest tenure and rights, and raise their prole.

Ky ms Relatively simple technology can be used to set up mass messaging systemsthat reach greater numbers o people more directly than traditional massmedia. Open-source sotware is available to turn a laptop and a mobilephone into a central communications hub (see the Ushahidi tool below).Once installed, the programme enables users to exchange text messages

with groups o people through mobile phones.

Frrrm

Mobileactive is a global network or people who are using mobile technologyor social impact (www.mobileactive.org).

or s m p B4.3

c1.6




Ushahidi: open-source sotware and collaborative mapping

W s ?A tool based on sotware that enables people to collaborate and shareinormation through a variety o media.

W bs r?

It allows people to collaborate to provide and share real-time inormationabout issues in their environment.

Ky ms

‘Ushahidi’ is Swahili or testimony. It is an Arican non-prot organization thatdevelops ree and open-source sotware. Ushahidi has been widely used toshare inormation, mobilize social movements and enhance transparency.

The approach brings together inormation rom SMS, email, Twitter, Facebook,photos, video ootage and so on, into a single internet-based map.

Frrrm

http://www.ushahidi.com

Examples o how Ushahidi has been used: http://www.youtube.com/watch?

v=Hh_PiVq8BA&eature=player_embeddedor s m p

a1, B4.3

c1.7

Community radio

W s ?A community radio station is operated in the community, or the communityand by the community, with shows about the community.

W bs r?

Addressing social concerns and promoting social change in a community.

Ky ms

A community radio station is dened as one that is not or prot, hascommunity ownership and control, and has community participation.Guidance describes how to get started, legal issues, unding options, thingsto think about when selecting equipment, ideas or managing a communityradio station and broadcasting tips.

Frrrm

Barker, K. 008. Community radio start-up inormation guide. Ottawa, Ontario,Canada, Farm Radio International. http://www.amarc.org/documents/manuals/community-radio-start-up-guide_e.pd

Tabing, L. 00. How to do community radio: a primer or community radiooperators. New Delhi, UNESCO Asia-Pacic Bureau. http://unesdoc.unesco.org/images/00/00/08e.pd

Olssen, M. 005. Digital audio in Papua New Guinea. ICT Update No. 9.Wageningin, The Netherlands, Technical Centre or Agricultural and RuralCooperation ACP–EU (CTA). http://ictupdate.cta.int/en/Feature-Articles/Digital-audio-in-Papua-New-Guinea

or s m p

B4.3

c1.8




Participatory photos and video

W s ? A range o techniques to involve a group or community in designing andcreating their own visual messages and lms or advocacy.

W bs r?

These methods can convey a large amount o inormation very quickly andenable local groups themselves to communicate what is important to them,share experiences between communities and potentially advocate or changewith decision-makers.

Ky ms Key elements in the process oten include: an initial visit; preliminary research;training workshops in photo or video such as in camera use, visual literacyand improving technical skills; techniques and games or getting started,or example, developing a storyboard, screenings and communicating theresults. Participatory photos and video can work particularly well in enablingcommunities with low literacy levels to communicate with decision-makers.

Frrrm

PhotoVoice. 0. See it our way: participatory photo as a tool or advocacy.London. http://www.photovoice.org/html/pporadvocacy/pporadvocacy.pd

Lunch, N. & Lunch, C. 006. Insights into participatory video: a handbook or theeld. Oxord, UK, InsightShare. http://insightshare.org/resources/pv-handbook

Examples: http://insightshare.org/resources/case-study/all

or s m p

c2.3, d1

c1.9

Policy research or change

W s ? A tool or analysing policy bottlenecks that aect small orest enterprisesand or acilitating a process o change.

W bs r?

This tool ocuses on strategies or engaging policy-makers rom the outset inwork to support small orest enterprises.

Ky ms Key steps are: mapping the policy context, clariying the desired change andidentiying those with infuence; building constituencies to create politicalgroundswell and draw in key decision-making allies rom the outset; tailoringthe policy research to maximize infuence; investing in a team leader withprole and training the team well or consistent quality; anchoring the write-up to enlightened parts o the legislation; making an inormed choice alongthe spectrum o conrontation to cooperation; having a publicity strategy.

Frr

rm

Macqueen, D.J. et al. 0. Policy Research or Change. Supporting small

orest enterprises: a acilitators toolkit, Module 6. Small and Medium ForestEnterprise Series, No. 9. London, IIED. http://pubs.iied.org/558IIED.html

Mayers, J. & Bass, S. 00. Policy that works or orests and people: real prospects or governance and livelihoods. London, Earthscan. http://pubs.iied.org/976IIED.html

Court, J. & Young, J. 00. Bridging research and policy: insights rom 50 casestudies. London, Overseas Development Institute (ODI). http://www.odi.org.uk/resources/docs/80.pd

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Recommended tools

The Pyramid: a diagnostic and planning tool or orest governance

W s ? A ramework or stakeholders to analyse the whole situation o orest governanceat local or national levels, and to prioritize and plan improvements.

W b s r?

Participatory assessment and planning or orest governance improvements thatare appropriate to the type o stakeholder interaction and conditions present in anycountry context.

c2.1

C2. Running eective consultation,

participation and multistakeholder processes

Are participatory and multistakeholder processes managed so that they are inclusive?Is there a level playing eld or negotiation and consensus-building among allstakeholders? Underlying eective reorm processes, there needs to be mutualunderstanding, trust and commitment to shaping orest tenure.

Enhanced participation can bring:

• more relevant, eective and coherent policy;• greater ownership o decisions;• increased accountability, with accountability and responsibility shared

across a broader section o society;• reduced confict through improved relationships;

• a higher prole and greater support or orestry.Multistakeholder processes are about setting up and acilitating long-term processesthat bring dierent groups into constructive engagement, dialogue and decision-making. The reorm o orest tenure is a learning process. It requires allocation o sucient time or the identication o key stakeholders, discussion within andbetween stakeholder groups, negotiations between stakeholders over orestmanagement objectives, and eeding back eld experience into the policy dialogue.

Balancing power disparities, increasing actors’ ability and willingness to participatein the dialogue, and developing and sharing available knowledge are necessarypreconditions or activating processes o collaborative decision-making. Favourableconditions or negotiation are prepared and maintained through a lengthy processo sensitization, communication, participation and empowerment, and throughcoordinated eorts at local and higher levels (see ‘Tools or organizing’).

Relevant questions or those managing the negotiation process are:

• How to establish dialogue at multiple levels and around dierent issues?

• What are the basic principles o the negotiation?

• How to set up ground rules to acilitate the participation o all concernedactors in the negotiation process?

• How to initiate the creation o a consensus?




Ky ms The Pyramid comprises the base, or oundation, and ve tiers, which are all

elements in orestry governance. These include: oundations (or example,property and tenure rights, market and investment conditions); roles(stakeholder roles and institutions in orestry and land use); policies (orestpolicies, standards or sustainable orest management [SFM] and legislation);instruments (a coherent set o ‘carrots and sticks’ or implementation);extension (promotion o SFM to consumers and stakeholders); andverication o SFM (audit, certication or participatory review). The precisesequence in which tiers and elements are addressed depends on the countrycontext and the concerns and timing o in-country discourse.

Frrrm

Mayers, J., Bass, S. & Macqueen, D. 005. The Pyramid: a diagnostic and planning tool or good orest governance. Power Tools Series. London, IIED.http://www.policy-powertools.org/Tools/Engaging/TP.html

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a, B4.1

Stakeholder involvement in national orest programmes

W s ? A set o tools to acilitate participation in national orest programmes.

W bs r?

Primarily to be used in workshop settings, these tools are designed and compiledor those acilitating participation in national orest programmes, although manyo them are highly applicable to other multistakeholder processes.

Ky ms Tools are arranged by dierent stages o the policy process: analysis (orexample, stakeholder analysis and visioning); policy ormulation and planning

(priority ranking and auction ranking); implementation (problem analysis); andevaluation (SWOT analysis and target ranking).

Frrrm

FAO. 009. Enhancing stakeholder participation in national orest programmes:tools or practitioners, P. O’Hara. National Forest Programme Facility, Rome.http://www.ao.org/docrep/0/i858e/i858e00.pd

or s m p

a4, a5, B2

c2.2

Road map or running participatory dialogue processes

W s ? Methods and guidance or running multistakeholder dialogue processes.

W bs r?

To plan, implement and maintain a multistakeholder dialogue process and usemethods to enhance participation.

Ky ms The road map includes tools or designing a stakeholder process, acilitationand unding processes, and provides methods or our ‘categories o dialogue’:promoting mutual understanding, promoting uture views, promotingdecision-making and capacity-building.

c2.3




Consultation with civil society by others

W s ? Tools and guidance or carrying out a consultation process with civil society.

W bs r?

To improve the design and process o consultations so that opportunities aremaximized or stakeholders to participate and be heard. The guidance is written orWorld Bank sta but is relevant or government and other stakeholders who leadand organize consultations.

Ky ms Key steps in design are: clarication o objectives; dening roles and responsibilities;understanding the political landscape; identiying stakeholders; and selectingparticipants and sharing inormation with them. Tools and methodologies orthe consultation process include e-discussions, public gatherings and hearings,workshops and roundtables, public disclosure and ocus groups. There are alsotools or evaluating the process.

Frrrm

World Bank. 007. Consultations with civil society: a sourcebook.Washington, DChttp://siteresources.worldbank.org/CSO/Resources/ConsultationsSourcebook_Feb007.pd

Edmunds, D. & Wollenberg, E. 00. A strategic approach to multi‐stakeholdernegotiations. Development and Change (): –5. http://portals.wi.wur.nl/les/docs/msp/EdmundsWollenberg.pd

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a4.7, a5.4 , B2.4

c2.4

Pathnder: steering multistakeholder working groups to develop orest standards

W s ? An online toolkit to support the establishment o working groups or nationalorest certication standards.

W bs r?

Developed to aid the establishment and management o multistakeholdernational and regional working groups to develop national standards or orestcertication, Pathnder tools also have wider applicability where workinggroups are needed.

Ky ms Pathnder presents a series o instruments grouped under three categories:basic elements; behaviour in standard-setting; and technical instruments orstandard-setting. The instruments include: institutional requirements or orestcertication; certication – how it works; chain-o-custody manual; consensus-building and confict resolution tools; national working group initiation andelection procedures; survival guide; and standard-setting sotware.

c2.5

Frr

rm

UN. 007. Checklist or designers o multi-stakeholder processes. Participatory

dialogue: towards a stable, sae and just society or all, Ch. and Annex . NewYork. http://www.un.org/esa/socdev/publications/prtcptry_dlg%8ull_ver-sion%9.pd

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Forest certication

W s ? Certication o orest management and chain-o-custody operations showsthat a orest manager complies with social and environmental standardssuch as those set by the Forest Stewardship Council (FSC).

W b

s r?

The FSC label or a similar label can bring consumer recognition o

responsible practices and potentially a price premium, and, hence, credibilitywith customers, business partners, nancial institutions and watchdogorganizations. Increasingly, governments speciy the use o certied orestproducts in their procurement.

Ky ms The Forest Stewardship Council outlines ve steps to certication:

• Contact accredited, independent certication bodies or estimates o cost and time, and urther inormation.

• Choose your preerred certication body and sign an agreement.

• A certication audit is carried out.

• An audit report is produced and becomes the basis or the certicationdecision.

• I the decision is positive, a certicate is awarded. I not, improvementsare suggested, ater which another audit can be carried out.

Frrrm

Forest Stewardship Council. 5 steps towards FSC certication [Online Resource].https://ic.sc.org/5-steps-to-certication.6.htm

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c2.6

Frrrm

Hauselman, P & Vallejo, N. 00. The pathnder. Switzerland, Pi EnvironmentalConsulting and WWF. http://www.piec.biz/pathnder/index.ht ml

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ns



Dts r sr



How to use icons


The prevailing level and quality o inormationand stakeholder engagement or which the tool isappropriate. One gear is a low level (i.e. there doesnot need to be much inormation and stakeholderengagement available to use this tool); our is a highlevel (i.e. there needs to be plenty o inormation andstakeholder engagement available to use this tool).





79D. Tools for ensuring

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Reaching agreement and taking joint action is not enough. Mechanisms or trackingprogress and accountability are necessary to ensure that agreements, dialogue andpromises translate into the right action. And even such ‘ensuring’ is not the end o the process. I good organization and engagement are ensured, it provides newunderstanding about how to improve action – ideally leading to an iterative, ever-adaptive cycle o increasingly eective, equitable and ecient orest governance.

Monitoring and evaluation are important or tracking progress and impacts towardsthe end goal o responsible orestry that supports both people’s livelihoods andsustainable orests. They assess the expected and unexpected impacts o governanceand tenure arrangements on both livelihoods and orests. There also need to bemechanisms to ensure that people’s rights over orest resources are upheld, that civilsociety can hold decision-makers to account and that dispute-resolution mechanismsare eective, air and accessible to all.

Access to inormation enables people to scrutinize the eects o policy decisions andprovides checks and balances in the public interest, minimizing the undue infuenceo privileged groups and reducing incentives or corruption. Forest operations otentake place in quite remote rural areas, and it is critical, or example, that local peoplehave inormation on which operations might be legal and who they can contact i they

gvr

rs r

k

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sr

Tools or

engaging

Tools or

organizing

Tools or

understanding




are not. The knowledge that decisions and processes are open to scrutiny can makegovernment bodies work better, prompting them to manage their inormation systems

properly.

It is particularly important to ensure that the poorest and most marginalizedstakeholders are not disproportionately aected by tenure arrangements. By invitingthose stakeholders most aected to refect on their experiences o how orest tenureis negotiated and realized, and by ensuring that these ndings are widely shared andmade accessible to all, it is possible to develop greater transparency and accountability.Lessons learned should inorm any adaptations and adjustments to governancepractices.

Navigating and applying the guidance in this section

The tools in this section are organized around three approaches or ensuring responsibleorestry:

d1. Monitoring and evaluation, accountability and transparency.

d2. Mechanisms or grievances, dispute resolution and access to paralegal support ,enabling orest communities to complain and to resolve conficts through local justice systems.

d3. Recourse to courts, higher levels o government or international policies andlevers.

By adopting and adapting the tools in this section, you will be able to:

• develop monitoring, evaluation, transparency and accountability systems toensure good governance o tenure or responsible orestry;

• establish systems that enable groups to hold each other to account orcommitments they made, allow laws to be airly enacted and acilitate confictresolution;

• understand how international mechanisms and conventions can be used tostrengthen transparency and to hold stakeholders to account.

D1. Monitoring and evaluation, accountability and transparency

Are agreements being translated into action? What dierence – positive or negative,expected or unexpected – have initiatives made? What lessons can be learned andwhat should or could be done dierently? Monitoring and evaluation is a process o gathering and assessing inormation to make judgements about progress towardsgoals and objectives, and to identiy unintended positive or negative consequences o action.

Whether it be the implementation o a policy, a multistakeholder process, an FPICagreement or another project, it is crucial to have mechanisms in place or assessing




whether an initiative is achieving its goals and or monitoring changes in situationsthat concern key stakeholder groups. The use o indicators can provide inormative and

comparable benchmarks to analyse the state o governance and identiy critical areasor reorm, and can help in monitoring progress towards better governance. There iswidespread guidance available on monitoring and evaluation.

Participatory monitoring and evaluation (PM&E) is a process through whichstakeholders at various levels engage in monitoring or evaluating a particular project,programme or policy. The stakeholders share control over the content, the process andthe results o the monitoring and evaluation activity, and they are involved in taking oridentiying corrective actions. The results o this exercise orm a powerul instrumentor civil society to enhance transparency and hold policy-makers and the privatesector to account or their commitments. Central to strengthening transparency andaccountability is access to inormation.

The tools included here are participatory tools that enable civil society to participatein the monitoring and evaluation process, gain access to inormation and ensureaccountability and transparency. It should be noted that many o the tools includedin the ‘Tools or understanding’ section can be used as tools or ensuring. Repeatingthe understanding processes over time reveals whether conditions are changing orbetter or worse. For example, repeated orest surveys will show whether orest cover isincreasing or decreasing over time, and repeated stakeholder power analyses will showchanges in the infuence and voice o marginalized groups during decision-making.

Recommended tools

Citizen report cards

W s ? Participatory surveys that provide quantitative and/or qualitative eedback.

W bs r?

To reveal user perceptions o the quality, adequacy and eciency o publicservices.

Ky ms Citizen report cards use standardized ormats and sets o assessment indicatorsthat are easily replicated, making them powerul tools or comparisons overtime and/or between places. They go beyond just being a data collectionexercise – they are an instrument to push or increased public accountabilityand to inorm civil society advocacy.

Frr

rm

Public Aairs Centre/Asian Development Bank. Citizen report card learning

toolkit [Online Resource]. http://www.citizenreportcard.com/index.htmlGlobal Witness. How do report cards help? [Online Resource]. http://www.oresttransparency.ino/background/how-do-report-cards-help/

Global Witness. 00. Making the orest sector transparent: annual orest sector transparency report card 2010 – Ghana. London. http://www.oresttransparency.ino/cms/le/57

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a2.4

d1.1




Community score cards

W s ? Qualitative monitoring tools or local-level monitoring and perormanceevaluation.

W bs r?

Communities evaluate services, projects and government administrativeunits, thus providing users’ perceptions.

Ky ms The Community Score Card (CSC) process is a hybrid o the techniques o socialauditing, community monitoring and citizen report cards. Like the citizenreport card, the CSC process is an instrument to ensure public accountabilityand responsiveness o service providers. Because it includes a meetingbetween service providers and the community that allows or immediateeedback, the process is also a strong instrument or empowerment.

Frrrm

World Bank. Citizen Report card and community score card [Online Resource].http://go.worldbank.org/QFAVL6790

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B1

Forest-sector transparency report cards

W s ? A report card specically designed to benchmark government progress inimproving orest governance.

W bs r?

Developed or civil society to hold governments to account on orest-sectorgovernance and transparency.

Ky ms The report card covers all aspects o orest governance, including a specictheme on orest tenure, land use and allocation o user rights, which isparticularly pertinent to this guide. Although issues o tenure orm only parto this tool, it is valuable to complete the whole exercise. The ways that oresttenure issues are addressed relate to other aspects o orest governance andthe overall transparency o the orest sector.

Frrrm

Global Witness. 00. Making the orest sector transparent: annual transparency report 2009. London. http://www.oresttransparency.ino/cms

/le/

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a4.5, a4.10 In-depth tool: Xl d1.3

d1.3

Framework or assessing and monitoring orest governance

W s ? A ramework o principles and criteria to assess and monitor orest governance

W bs r?

A systematic ramework allows or description, diagnosis, monitoring,assessment and reporting on the state o governance in a country’s orest

d1.4

d1.2




sector. The ramework was developed by PROFOR, the World Bank, FAO andothers, and it shows potential, i used widely, to avoid the duplication o

monitoring and assessment eorts or dierent unders.

Ky ms The ramework comprises three pillars: policy, legal, institutional andregulatory rameworks (including orest-related policies, laws and institutionalrameworks); planning and decision-making processes (including stakeholderparticipation, transparency and accountability); and implementation,enorcement and compliance (including administration o orest resources,orest law enorcement and measures to address corruption). Work is ongoingto create agreed indicators.

Frrrm

PROFOR/FAO. 0. Framework or assessing and monitoring orest governance.Washington, DC, and Rome. http://www.proor.ino/proor/sites/proor.ino/les/ForestGovernanceFramework_0.pd

Kishor, N. & Rosenbaum, K. 0. Assessing and monitoring orest governance:a user’s guide to a diagnostic tool. Washington, DC, Program on Forests(PROFOR). http://www.proor.ino/sites/proor.ino/les/docs/AssessingMonitoringForestGovernance-guide.pd

IMAZON/ICV/WRI. 009. The governance o orests toolkit (Version 1): a drat ramework o indicators or assessing governance o the orest sector. Institutodo Homem e Meio Ambiente da Amazônia, Instituto Centro de Vida, andWashington, DC, World Resources Institute. http://pd.wri.org/working_papers/g_tenure_indicators_sep09.pd

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a4.4, a4.5, a4.8, a4.10, B4.1

Monitoring government policies: a toolkit or civil society organizations

W s ? A toolkit to monitor the eectiveness and impact o government policy initiatives.

W bs r?

Developed or civil society organizations working in Arica, it providesorganizations with tools to monitor government policies. It is written or allpolicy initiatives and can be applied to the orestry sector.

Ky ms Some key steps in the process are: reviewing policies and collating relevantinormation, identiying policy stakeholders, analysing the policy content,dening monitoring objectives, analysing policy budgets, gathering evidenceon policy implementation and using policy evidence to advocate or change.

There are corresponding tools or each o the stages.

Frrrm CAFOD/Christian Aid/Trócaire. 006. Monitoring government policies: a toolkit or civil society organisations. UK, Catholic Agency or Overseas Developmentand Christian Aid, and Ireland, Trócaire. http://www.commdev.org/content/document/detail/88

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a4, B4.1

d1.5




Accessing public inormation

W s ? A set o tools – approaches, methods, strategies, tactics and techniques –that can be used to increase transparency and accountability in governmentagencies.

W bs r?

The toolkit can be used or accessing inormation held by governmentagencies. It is mainly targeted at NGOs, activists and civil society groupsthat are working on natural resource management and decentralizedgovernance as well as livelihood issues.

Ky ms There are two key phases: the preparatory and implementation phases,with corresponding tools. The preparatory phase involves seeking anunderstanding o the local legal and policy context under which inormationis to be accessed rom government agencies. There are three broad stepsduring the implementation phase: building awareness and capacity o

target groups; engaging in the inormation-access process; and using theinormation to bring about desired change, or example, through publichearings or signature campaigns.

Frrrm

Winrock International India. 005. Accessing 'public' inormation. Power Tools Series. New Delhi, Winrock International India, and London, IIED.http://www.policy-powertools.org/Tools/Ensuring/API.html

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a4, B4, c1, d3.3In-depth tool: Xl d1.6

Community scrutiny o legislation

W s ? A tool or scrutinizing and improving the practical outcomes o legislationor marginalized communities.

W bs r?

To identiy what is working in current legislation, what is missing and whatlegal changes are required to improve the situation. The tool has beendeveloped in the context o orestry concessions in Mozambique butwould be applicable to organizations elsewhere wishing to assess laws andpolicies relating to the governance o tenure or orest resources.

Ky ms Where legislation results in variable practical impact (‘good’, ‘average’ and‘bad’), the tool identies at what level improvements to legislation can bemade (that is, during ormulation, implementation or enorcement). Stepsused to assess the policy gaps between legal intent and practical impactinclude: identication o legal provisions on community rights and benets;

the perceived impact on the ground; assessment o what is working, what ismissing and what can be done; and identication o the legal adjustmentsthat would better secure the rights o and benets to communities.

Frrrm

Johnstone, R., Cau, B., Norolk, S. & Macqueen, D. 005. Good, average,bad: law in action. Power Tools Series. Maputo, Mozambique, Terra Firma andLondon, IIED. http://www.policy-powertools.org/Tools/Ensuring/GAB.html

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a3.1, a4.2, a4.8, a5, d3.3

d1.7

d1.6




d1.8Citizen action to reduce orest corruption

W s ? Ideas or anti-corruption projects in the orest sector.

W bs r?

Based on Transparency International (TI) tools that they have used acrossdierent sectors or civil society anti-corruption projects.

Ky ms Some o the tools adapted to the orestry sector based on TI’s experienceare: awareness raising, access to inormation, documenting governmentperormance, establishing and implementing model orest integrity pacts,creating a orest-sector corruption perception index, creating an anti-corruptioncomic book, and collecting statistics on orest law enorcement.

Frrrm

Rosenbaum, K. 005. Tools or civil society action to reduce orest corruption:drawing lessons rom Transparency International. Washington, DC, World Bank.http://www.proor.ino/proor/sites/proor.ino/iles/docs/Tools-or-civil-

society.pd

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B4.3, c1.6, c1.7

Anti-corruption Websites: Blow Your Whistle

W s ? A communications technology-based initiative or citizens to ght corruption.

W bs r?

To enable citizens to report corruption through mobile phones and the internet,by uploading text, audio and video les.

Ky ms “Blow Your Whistle” is a technology-supported anti-corruption initiative o theCentral Vigilance Commission o India, also known as Project Vigeye. It enablescitizens to air their grievances through their mobile phones, by downloading amobile application; through the internet, by lling out a complaint orm onlineand attaching audio, video or photo evidence; or through telephone help lines.Complainants are contacted directly over phone, email or in person or ollow-up and or inormation on the status o their complaint. The Blow Your Whistlesite also has discussion orums, podcasts on corruption in the country, videosand links to other resources.

Frrrm

Central Vigilance Commission. Blow Your Whistle [Online Resource]. India.http://cvc.nic.in/

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d1.9

Citizens’ juries

W s ? A citizens’ jury is a space to share knowledge, to dialogue and to inorm policydecisions through a process o deliberative democracy that seeks to ully involveall stakeholders.

d1.10




D2. Mechanisms or grievances, disputeresolution and access to paralegal support

Do communities have access and opportunities to le complaints? Is action takeni their rights have been abused? Communities need to be able to have recourseto courts, higher levels o government and international policies and levers i commitments to responsible orestry are not being upheld.

A recourse mechanism should be:

• accessible, so that indigenous people and orest-dependent communitiescan nd it and use it;

• independent and impartial, so it is not infuenced by vested interests;

• ecient and eective;

• based on the principle o subsidiarity – disputes should be addressed as

close to the administrative level where they arose as possible, and use o indigenous dispute-resolution institutions where possible;

• a pathway to results – changes in activities, policies and/or procedures;

• adequately unded.

A grievance mechanism can provide the rst means o recourse to resolve complaints,and i eective, it may be the most ecient option. This is a process to address aectedpeople’s concerns and complaints without having to rely on external courts and legalprocedures. It is a mechanism or government, companies and/or communities toidentiy problems and discover solutions together. While customary or alternative

W bs r?

Citizens’ juries enable small-scale producers to assess expert knowledge andarticulate strategic research priorities and policy recommendations that meet

their needs. It is particularly useul as a orum or discussion o contentiousissues, where all views can be expressed and heard.

Ky ms Integrity, inclusiveness and credibility are vital to ensuring that a citizens’ jury successully infuences policy. An oversight panel would normally makeparticular eorts in preparation or the process; they also ensure proceedingsare trustworthy and air.

Typically a ‘jury’ o local citizens likely to be aected by the proposed policy change oraction – such as the introduction o genetically modied organisms – are presentedwith evidence rom government ocials, scientists, NGOs and other concernedstakeholders. The jury members then give their ‘verdict’ along with proposedactions.

Frrrm

Coote, A. & Lenaghan, J. 996. Citizens’ juries: theory into practice. London,Institute or Public Policy Research. Link to purchase: http://www.ippr.org/

publications/55/87/citizens-juries-theory-into-practicePimbert, M. & Wakeord, T. (eds.) 00. Deliberative democracy and citizenempowerment. PLA Notes, 0. http://pubs.iied.org/65IIED.html

IIED. Deliberative democracy: citizens’ juries [Online Resource]. http://www.iied.org/deliberative-democracy-citizens-juries

or s m p

a4.1, B1.2, B4.1, c2.3, d2.3




Establishing grievance and complaints procedures

W s ? Principles and steps or establishing a community grievance procedure in thecontext o private-sector projects and companies.

W bs r?

To help companies create a oundation or successul resolution o concerns andcomplaints.

Ky ms It provides guidance on basic principles and process steps that organizationsshould take into account when creating and implementing grievancemechanisms. The steps include: publicizing grievance-management procedures;receiving and keeping track o grievances; reviewing and investigatinggrievances; developing resolution options and preparing a response;monitoring, reporting and evaluating a grievance mechanism together.

Frrrm

IFC. 009. Good practice note: addressing grievances rom project-afected communities – guidance or projects and companies on designing grievancemechanisms . Washington, DC, International Finance Corporation, World Bank Group.http://www.ic.org/wps/wcm/connect/cbe7b8088558ae6ce6a655bb8/IFC%BGrievance%BMechanisms.pd?MOD=AJPERES&CACHEID=cbe7b8088558ae6ce6a655bb8

Example:

Rao, Y.G., Dash, T. & Mishra, S. 0. Forest rights act: a eld guide. WWF India.http://awsassets.wwndia.org/downloads/orest_rights_act_a_eld_guide.pd

or s m p c2.4

Recommended tools

Strengthening the capacity o paralegals in orest communities

W s ? Guidance and tools or paralegals working with communities in the orestry sector.

W b

s r?

To provide paralegal workers in orest ringe communities with the basic

knowledge and practical tools needed to work eectively. It also serves as thebasis or training o advocates and stakeholders in aected orest communities.Although it is written specically or a Ghanaian audience, many o the principlesare transerable.

Ky ms The guide discusses the role o a paralegal (and tools that are needed); themandates, unctions and benets o the various governmental agencies thatoversee the orestry sector; the various laws aecting the management o theorestry sector; the procedures and processes to obtain timber rights to exploittimber resources (in Ghana); the rights and duties o communities living in andaround orest zones, and how they can take advantage o those rights andcontribute to orest protection; and Social Responsibility Agreements.

d2.2

d2.1

dispute-resolution mechanisms are oten the most avourable option, it is also importantthat citizens have access to legal support and courts i this is their preerred approach.

The tools included here range rom ensuring that paralegal support is available tocommunities to alternative dispute resolution and grievance mechanisms.




Public hearings and auditing

W s ? An open dialogue and audit o all activities and nancial transactions carried outby organizations or committees.

W bs r?

To strengthen transparency and accountability o organizations to communitymembers. This tool was created in the context o orest user groups in Nepal butcan be applied more widely.

Ky ms Public hearings are participatory processes in which, in this case, usergroups (rights-holders) critically discuss, question and assess the duties andresponsibilities o executive committees (duty bearers) in terms o plansprepared, meetings held, and decisions made and implemented. Public auditing

is the process o sharing, assessing and auditing all nancial transactions,decisions and processes. The resulting inormation is sited through critical andconstructive question, answer and discussion sessions.

Frrrm

Maharjan, M. & Shrestha, B. 006. Public hearing and public auditing in thecommunity orestry user groups: a summary o process, outcomes and lessonslearned rom the SAGUN programme in Nepal. SAGUN Forestry Buer Zone Team,CARE Nepal. http://www.orestrynepal.org/images/Insight--006.pd

or s m p

d1.10

d2.4

Legal literacy camps

W s ? A manual or trainers to deliver legal literacy ‘camps’ or workshops orcommunities.

W b

s r?

To increase understanding o the law and how it applies to the community.

Ky ms There are three parts to the process: assessment o when legal literacy campsshould be used and preconditions or them to work well; delivering the legalliteracy training, guidance, tips and tools; and analysing the strengths andweakness o delivering legal literacy camps.

Frrrm

ELDF. 005. Legal literacy camps. Power Tools Series. New Delhi, Enviro-LegalDeence Firm, and London, IIED. http://www.policy-powertools.org/Tools/Ensuring/LLC.html

or s m p

a4.8, c1.3

d2.3

Frrrm

CEPIL. 009. Handbook or paralegals in orest communities in Ghana. Accra,Ghana, Center or Public Interest Law, and London, IIED. http://pubs.iied.org/

pds/G075.pd

or s m p

a3.1, a4.8, d1.6




D3. Recourse to courts, higher levels

o government or international policies and levers

Can orest peoples use regional and international human rights mechanisms topromote and seek enorcement o their rights? These should be accessible toindigenous and orest peoples, and strategic use o these mechanisms may addressspecic problems aecting individuals, communities or peoples and also contributeto the interpretation and creation o international law.

I countries or companies are signatories to international conventions, this canprovide additional levers and opportunities to enhance transparency and addressinjustices in relation to people’s rights to orest resources. Committing to internationalconventions and agreements oten leads to requirements or greater transparency andother good-governance practices. Signatory countries may be required to producerigorously veried annual reports that can increase the amount o inormation inthe public domain. In addition, these conventions and agreements promote certainminimum standards o practice and can provide incentives (access to unds and/orexpertise) to support an improvement in governance, transparency and rights.

Key international conventions and agreements related to this include:

• the Universal Declaration o Human Rights (UDHR), International Covenanton Economic, Social and Cultural Rights (ICESCR) and International Covenanton Civil and Political Rights (ICCPR);

• the UN Declaration on the Rights o Indigenous Peoples (UNDRIP);

• the Convention on the Rights o the Child (CRC);

• the Convention on the Elimination o All Forms o Discrimination against

Women (CEDAW);• the International Convention on the Elimination o All Forms o Racial

Discrimination (ICERD).

In many cases, however, international conventions cannot directly hold the practiceo governments or companies to account. Oten their eective implementationrequires the translation o the principles into national law and use o in-country legalmechanisms. However, principles and commitments included in these internationalagreements have been successully used at the national level as globally acceptedstandards against which to compare the practices o banks, companies andgovernments.

There are a range o international organizations promoting human rights,

environmental justice and access to inormation that can be used by civil societyto draw attention to perceived injustices (or example, Amnesty International,Article 9, Friends o the Earth and the Global Transparency Initiative). Operatingoutside target countries – but oten in partnership with national organizations –these organizations play an important role in setting and promoting internationalstandards, raising awareness and campaigning against injustices in a way that nationalorganizations may eel unable to do, and infuencing the policies and practices o regional, intergovernmental and international organizations that sit beyond national jurisprudence.




Securing women’s rights using the Arican human rights system

W s ? A toolkit to introduce indigenous women, and the organizations thatrepresent them, to the Arican system o human rights.

W bs r?

To help indigenous women in Arica to better understand the Arican humanrights system and how to use it eectively to secure their rights.

Ky ms The toolkit comprises individual inormation notes, including: key humanrights treaties o the Arican Union; the Arican Commission on Human andPeoples' Rights; the rights o women; and the Working Group on indigenouspopulations/communities. A guide includes inormation on how to participateand use the system, specically: participating at the Arican Commissionsessions; country reporting processes; requesting a mission o enquiry; and

national-level advocacy on the Commission and its Working Group.Frrrm

Vig, S. 0. Indigenous women’s rights and the Arican human rights system: atoolkit on mechanisms. Moreton-in-Marsh, UK, Forest Peoples Programme.http://www.orestpeoples.org/topics/arican-human-rights-system/publication/0/toolkit-indigenous-women-s-rights-arica

Braun, T. & Mulvagh, L. 008. The Arican human rights system: a guide or indigenous peoples. Moreton-in-Marsh, UK, Forest Peoples Programme.http://www.orestpeoples.org/sites/pp/iles/publication/00/08/aricanhrsystemguideoct08eng.pd

or s m p

a4.1, a4.10, B1.2, d2.3

d3.1

Indigenous peoples’ rights in the International Labour Organization (ILO)

W s ? Guidance and mechanisms or ling complaints with the International LabourOrganization (ILO).

W bs r?

To provide indigenous peoples with a better understanding o their rights inrelation to the ILO and encourage them to use these international proceduresto gain redress.

Ky ms This tool provides guidance on how to le a complaint with the ILO’sgoverning body. Summaries o relevant cases and decisions that have alreadypassed through the system are also included. These cases and decisions showhow the system deals with indigenous rights and provide concrete examples

o how a case can be moved through the system. This tool also summarizeswhat rights are protected under the two ILO Conventions most relevant toindigenous peoples.

Frrrm

MacKay, F. 00. A guide to indigenous peoples’ rights in the International Labour Organization. Moreton-in-Marsh, UK, Forest Peoples Programme.http://www.orestpeoples.org/sites/pp/iles/publication/00/09/iloguideiprightsjul0eng.pd

or s m p

B1.2, d2.3

d3.2

Recommended tools




The public’s right to know: principles on reedom o inormation legislation

W s ? Principles or anyone to measure whether domestic laws genuinely permitaccess to ocial inormation.

W bs r?

A set o internationally accepted principles that set out clearly and preciselythe ways in which governments can achieve maximum openness, in line withthe best international standards and practice.

Ky ms The principles are based on international and regional law and standards,evolving state practice (as refected, inter alia, in national laws and judgmentso national courts) and the general principles o law recognized by thecommunity o nations. The principles are: maximum disclosure; obligationto publish; promotion o open government; limited scope o exceptions;processes to acilitate access; costs; open meetings; disclosure takesprecedence; and protection or whistleblowers.

Frrrm

Article 9. 999. The public’s right to know: principles on reedom o inormationlegislation. London.http://www.article9.org/pds/standards/righttoknow.pd

or s m p

d2.3

d3.3

Using the compliance review mechanism o the Aarhus Convention

W s ? Guidance on communicating concerns about a party's compliance directlyto a committee o international legal experts empowered to examine the

merits o the case.

W bs r?

A compliance review mechanism enables weaknesses in implementation o the United Nations Economic Commission or Europe (UNECE) Conventionon Access to Inormation, Public Participation in Decision-making and Accessto Justice in Environmental Matters (Aarhus Convention) to be raised andconstructive solutions sought.

Ky ms The Aarhus Convention grants the public rights, and imposes on parties andpublic authorities obligations, regarding access to inormation and publicparticipation and access to justice. This has been translated into EU law which,in turn, is due to be transposed into national legislation and implementedin EU member states. The unique compliance review mechanism can betriggered i a member o the public makes a communication concerning thecompliance o a party.

Frrrm

UNECE. 00. Guidance document on the Aarhus Convention compliancemechanism. Geneva, United Nations Economic Commission or Europe.http://www.unece.org/env/pp/compliance/CC_GuidanceDocument.pd

or s m p

a4.5, d2.3

d3.4




Validation o transparency in the extractive industries

W s ? A tool to check whether companies and governments are complying withtheir commitments to transparency o revenue in the extractive industries.

W bs r?

To assess in-country compliance with a global standard or transparencyin the extractive industries. The initiative was developed or the oil, gasand mining sectors but potentially has wider application in other sectorsincluding orestry.

Ky ms The Extractive Industries Transparency Initiative (EITI) sets a global standardor transparency in oil, gas and mining. It is a coalition o governments,companies and civil society, and a standard or companies to publishwhat they pay and or governments to disclose what they receive. EITIrules establish the methodology countries must ollow to become ullycompliant. Periodic independent validation is then required.

Frrrm

EITI. 009. Extractive industries transparency initiative: validation guide. Oslo. http://eitransparency.org/document/validationguide

or s m p

d1.3, d2.3

d3.5

Voluntary Partnership Agreements (VPAs) on orest governance

W s ? Bilateral agreements between the EU and timber-exporting countries, whichaim to guarantee that the wood exported to the EU is rom legal sources.

W b

s r?

Voluntary Partnership Agreements (VPAs) or Forest Law Enorcement,

Governance and Trade (FLEGT) also support partner countries in improvingtheir own regulation and governance o the sector. VPAs work to assureEU consumers o the legality o imported timber while improving orestmanagement and governance, including strengthening orest peoples’tenure rights, increasing transparency in decision-making processes, andensuring participation o civil society in policy-making.

Ky ms VPAs are legally binding bilateral trade agreements setting out actions theEU and timber-exporting countries need to take to tackle illegal logging.

The VPA process provides opportunities or orest communities andenvironmental organizations in partner countries to clariy and strengthenorest communities’ rights to land and orests, and to hold governments toaccount or commitments made.

At the heart o a VPA lies a legality assurance system (LAS) requiringstakeholder engagement to guarantee: a clear denition o legal timber;

mechanisms to control the timber supply chains; verication o compliance;licensing o legally produced timber and timber products or exports; andindependent auditing o the LAS to ensure the system is ully implemented.

Frrrm

EFI. 0. The elements o voluntary partnership agreements [Online Resource].Joensuu, Finland, European Forestry Institute. http://www.eufegt.e.int/portal/home/vpas/the_elements/

or s m p a4.8, B4.1, c2.6, d2.3

d3.6



9D. Tools for ensuring. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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ns



ANNEXES 95

axs




How to use icons


The prevailing level and quality o inormationand stakeholder engagement or which the tool isappropriate. One gear is a low level (i.e. there doesnot need to be much inormation and stakeholderengagement available to use this tool); our is a highlevel (i.e. there needs to be plenty o inormation and

stakeholder engagement available to use this tool).





ANNEXES 97

Annex 1: In-depth tools

Some tools are useul and adaptable in many dierent contexts o governance o orest tenure. They can help to clariy and better secure rights, or to build capabilitywhere it is really needed, or to bring decision-makers to account. This sectionhighlights a selection o these tools in more depth than was possible in the previousour sections. These tools have proven themselves eective in practice – they are triedand tested with useul results. While each o the in-depth tools proled below haspreviously been summarized in the preceding sections, the aim is to oer enoughpractical know-how so that you can not only sense that a tool might be useul – aswith the summaries in the preceding sections – but you can also understand how itcan be used eectively.

Rapid Land Tenure Appraisal (RaTA)

W s ? A methodology or exploring competing claims over land and orest tenure. The methodology acknowledges that dierent actors hold dierent rightsand powers, and that these competing claims are oten related to competingor changing land tenure policies developed in dierent historical periods.

The methodology is drawn rom practical tools developed all over Indonesiain World Agroorestry Centre - South East Asia projects and used by otherdevelopment agencies in the past ew years.

W bs r?

RaTA can be particularly helpul:

• when there are actual or potential conficts and competing claims toorest land and resources;

• to understand the causes o intra- and intercommunity disputes;

• when there is a risk that historical or customary claims to resources havebeen excluded rom policies and laws;

• to inorm eorts to change tenure arrangements and policy or to addressconficts;

• as part o an initial situation analysis in the early stages o a REDD+project.

The tool can be adapted or application at a range o scales depending on thepurpose o the exercise.

W ss ?

It is relevant or people working in national institutions in charge o land orresource conficts and competing claims – NGO eld experts, governmentocers and consultants – who are working on confict issues, carrying outtenure studies or proposing policies to improve tenure.

Sks rsrsrqr

Skills required include:• document review;

• aerial photography;

• participatory and qualitative research methods;

• acilitation skills (to explore local perspectives and the infuence o powerrelations on people’s claims and access to resources);

• policy and legal analysis;

• mediation and confict resolution;

• managing multistakeholder processes and/or policy change.

Xl a3.1In-depth version o A3.1




hw bs

There are six stages:

S 1: i mpp

Initial scoping exercise to identiy any areas where competing claims or confictexist or could emerge. Secondary data, such as websites, newspapers or ocialreports, can be used and analysed or ongoing disputes. Satellite imagery oraerial photography can provide an overview o the main land uses and resourcesin the area at a large scale. Participatory mapping (see tool a3.2) will bring localperspectives and understanding o the local institutions into this assessment.

S 2: cmp ms mss This is an analysis o people’s competing claims over access or use o resourcesand the relative importance that each actor gives to their stake in these resources.

This includes analysis o their interests, but also their perceptions and eelings, andthe relationship between competing parties. Some o this is done by reviewingsecondary data including the competing claims history.

S 3: ar yssIdentication o the key actors (individuals, group representatives or government)in the competing claims. The rst step is to identiy the key actors who have a

legitimate stake in the confict. The second step is to map out the actors’ interestsand the eect o their interests in land and resources on the conficts. The thirdstep involves understanding the relationships between actors and investigatingactors involved in the confict, including perceptions o other people’s rights. Theourth and nal step is to assess the power and infuence o dierent actors andtheir potential role in addressing land tenure conficts (see tool Xl a4.6 or a morein-depth description o Stakeholder Power Analysis).

S 4: assssm This orms the core o the analysis. The key actors (rom stage above) areinterviewed about their perceived and legal claims to rights over land andresources. Participatory tools are used, such as semi-structured interviews,participatory mapping exercises (see tool a3.2) and timelines. A matrix can beused to summarize and compare the actors’ claims, the basis o these claims andthe external or internal infuences that have driven the actors to make the claims.

S 5: Py yss

An assessment o dierent laws and policies relating to the tenure issues,analysing contradictions, gaps and uncertainties in a country's land law, policiesand regimes. It is important that the analysis acknowledges that the writtenpolicy may not be the same as how policy is applied in practice. Aspects o policyanalysis include:

• content analysis – the content o policy statements and laws;

• historical analysis – how history has shaped current policies;

• process analysis – how the political system infuences policy;

• evaluation – the consistency between policy and on-the-ground reality, andthe eect o policy on intended targets.

S 6: Py ps Exploring opportunities or using the ndings o steps –5 to resolve competingclaims over tenure – by policy and legal reorm, use o courts and claimscommissions, as well as non-legal processes such as alternative dispute resolution

and community-based mechanisms.lms rys

People’s claims to land and orest resources are infuenced not only by policies,laws and traditional rights, but also by power. The more powerul stakeholderswill be able to exert greater infuence over how rights are distributed, policiesare ormed and conficts are resolved. This assessment process requires theresearch team to take power and its infuence into consideration throughout(see tool Xl a4.6, Stakeholder Power Analysis).

Frrrm

ICRAF. Rapid Land Tenure Assessment (RaTA): a tool or identiying the nature o land tenure conicts [Online Resource]. http://www.worldagroorestrycentre.org/Sea/Projects/tulsea/node/9



ANNEXES 99

Participatory mapping o orest tenure

W s ? Participatory mapping involves the creation o visual maps by localcommunities documenting the key eatures o their local environment romtheir perspective. The process o creating the map and the resulting map itsel attempt to make visible the links between land, natural resources and localcommunities.

The overall principle o any participatory mapping exercise is that authorityand control over decision-making are turned over to the community so theycan direct the map-making process and the map’s use. It is also known asparticipatory mapping, community mapping or indigenous mapping.

W bs r?

There are various reasons to use participatory mapping:

• to help communities articulate and communicate spatial inormation toexternal agencies;

• to allow communities to record and archive local knowledge;

• to assist communities in land-use planning and resource management;• to enable communities to advocate or change;

• to increase the capacity within communities;

• to address natural resource-related conficts.

W ss ?

A participatory mapping exercise can be initiated and acilitated by a teamo orest department sta, local NGOs or consultants. It has increasingly beenused by indigenous groups as a tool to document and advocate or theircustomary rights to land and natural resources.

Participatory mapping can be used as part o a REDD+ social and environmentalassessment processes. REDD+ support programmes recommend that aparticipatory process is established to inventory and map existing statutoryand customary lands, territories, resource tenure, and use, access andmanagement rights relevant to the programme. Participatory mapping is also

identied as a critical stage in establishing ree, prior and inormed consentor investment initiatives.

Sks rsrsrqr

The team implementing participatory mapping needs strong skills in:

• participatory methods;• acilitation to ensure ull and air participation o the community;• mapping techniques, i GIS or other computer modelling tools are being

used.

The mapping process can range rom low-cost, low-resource input activitiesusing paper and pens to more high–tech, high-input processes involving GISsystems that are more expensive and require technical skills and time romthe resource team.

hw b s

There are six key stages to participatory mapping:

S 1: e w mmy prpr r mppShare inormation with the community about participatory mapping withina community meeting. This should include the tools that could be used, theprocess, how the map could be used, plus any risks associated with the processthat the community should be aware o (see ‘Limitations and cautionarynotes’). This could be done through a community meeting. Care should betaken to identiy marginalized groups with specic needs who should beincluded in the preparation stage.

S 2: drm prps mp(s)Agreeing the purpose requires careul acilitation to ensure that as manycommunity members as possible are involved and that they agree on the





mapping process. This is also an important step in enabling communitymembers to take control o the process. To help determine the purpose o

creating a map, the ollowing questions can be raised in a community meeting:

• Why do we want to make a map?• Who do we want to show it to?• What are some o the most important land- and resource-related issues?• What can we use the map or in the short term?• What can we use the map or in the long term?• Is there a predened reason or creating the map?

Once agreed, community members can decide what inormation to collect tomeet their purposes.

S 3: c rmHow this stage is completed will depend on the particular mapping methodsand techniques being adopted. Capacity-building is an important parto participatory mapping, with all interested members o the communitylearning how to read a map, and some learning about global positioningsystems (GPS), GIS, topographic maps and overlaying community dataonto base maps as required. Inormation can be collected using traditionalparticipatory processes such as transect walks and ocus group discussions(see ‘Further inormation’ below). It may be most appropriate to divide thecommunity into dierent social groups to ensure that dierent people’sperspectives have been incorporated. The community (with acilitators)then needs to bring this inormation together, validate it and address anyinconsistencies while acknowledging dierences.

S 4: cr mp The specic details o this stage depend on the particular methods beingused (see ‘Further inormation’). It is important that all community membersagree and understand the symbols or legends used to represent dierentphysical eatures, uses and claims to resources. Inormation can be cross-reerenced with, or added to, spatial maps (i they exist). Take care when

identiying boundaries or people’s claims to particular resources that are inreality contested, undeclared, overlapping and permeable. GIS equipmentor sotware such as Google Maps or Google Earth can be used to overlaydierent types o inormation about people’s current and historical rights orconfict areas (which may require expert assistance).

S 5: ays v rm This involves bringing together those involved in the process to check theoverall accuracy, completeness and relevance o the inormation.

S 6: us mm rm This stage will vary according to the purpose o the mapping exercise.However, it is important that the inormation and the map are retained asthe property o the community, to be used as and when they see t. The mapitsel is unlikely to resolve any tenure-related issues, but it will be a valuabletool as part o a wider plan to address tenure conficts or engage in advocacy

around tenure rights.

lms rys

• Maps are a powerul political tool and can be very infuential. Themapping process must be acilitated careully and sensitively to ensureull participation o all stakeholders and to ensure appropriate use o theinormation generated.

• Maps represent only a snapshot at the time they are developed. There is arisk that they present a ‘rozen’ picture o rights o access and use, which inreality may be seasonal, fuid and evolving.



ANNEXES 0

• Participatory mapping may document sensitive inormation that maymake that inormation or the concerned communities more vulnerable

to exploitation. It is important that communities retain control o theinormation generated and how it is used.

• While the use o inormation technology oers signicant benets, it alsorequires signicant investment in training, is expensive and introduces thedanger that practitioners will ocus on the technology to the detriment o community participation and ownership. This also may prevent communitiesbeing able to update and adjust their maps over time.

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IFAD. 2009. Good practices in participatory mapping. Rome, International Fundor Agricultural Development. http://www.iad.org/pub/map/pm_web.pd

Di Gessa, S. 008. PAFID: participatory -D modelling in Mindanao – ThePhilippines. Participatory mapping as a tool or empowerment experiences and lessons learned rom the ILC network, pp. –8. International Land Coalition. http://www.landcoalition.org/publications/participatory-mapping-tool-empowerment

Galudra, G. et al. 00. RaTA: a rapid land tenure assessment manual or identiying the nature o land tenure conicts Bogor, Indonesia, WorldAgroorestry Centre (ICRAF). http://www.worldagroorestrycentre.org/sea/Publications/les/book/BK0-0.PDF

FAO. 009. Participatory land delimitation. An innovative development modelbased on securing rights acquired through customary and other orms o occupation, C. Tanner, P. De Wit & S. Norolk. FAO Land Tenure Working PaperNo. . Rome. tp://tp.ao.org/docrep/ao/0/ake/ake00.pd

Rambaldi, G. et al. (eds.) Mapping or change. Participatory learning and action,5. http://www.planotes.org/pla_backissues/.html

Example:Minang, P. & McCall, M. 006. Participatory GIS and local knowledgeenhancement or community carbon orestry planning: an example rom

Cameroon. Participatory Learning and Action, 5: 85–9. http://pubs.iied.org/G09.html

Stakeholder power analysis

W s ? Stakeholder power analysis is a tool or understanding how people aectpolicies and institutions, and how policies and institutions aect people. It isparticularly useul in identiying the winners and losers and in highlighting thechallenges that need to be aced to change behaviour, develop capabilities andtackle inequalities.

The process includes exploring questions such as: Whose problem is it? Whobenets? Who loses out? What are the power dierences and relationshipsbetween stakeholders? What relative infuence do they have?

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Stakeholder power analysis can be used in a variety o contexts, at dierentlevels and or dierent purposes:

• broad-level strategic process – to scope, build momentum and monitor aprocess;

• institution or business – to examine the health o an organization and planchanges;





• project or programme – to design, steer and monitor a project;• particular decision – to predict the consequences o a decision and plan to

deal with them.

Specic to orestry, the process can also examine the legitimacy o dierentpeople’s claims to orest land and resources, identiy particularly powerulor marginalized groups, and can help to identiy who should be involved inshaping decisions about orest tenure and what support they may need.

Monitoring and reporting rom stakeholder power analysis can itsel becomea tool or making progress. By talking regularly with stakeholders, someorganizations have learned not only how best to include them in decision-making processes, but also how to become more accountable.

W ss ?

Stakeholder power analysis can be applied by a range o proessions indierent contexts. For example, it can be used by independent analystsand evaluators, project planners, managers o organizations or enterprises,lobbyists and activists, individual stakeholders, groups o stakeholders, or

multistakeholder groups.

Sks rsrsrqr

Particular skills and attitudes may be needed to conduct stakeholder poweranalysis. Some o these may be hired in or trained, but others can only beacquired through experience:

• acilitation o processes involving several stakeholders;• trust and consensus building, and confict management;• chairing o meetings and workshops;• developing enthusiasm, transparency and commitment;• patience – it takes time or stakeholders to consult with their own

constituencies.

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The ollowing approach is drawn rom applications in dierent sectors but isparticularly ramed around the type o stakeholder power analysis needed tounderstand and potentially change the governance o tenure or responsible

orestry.S 1: dvp prps prrs yss rs sysmDevelop a clear understanding o the goals and boundaries o the analysis;gain an understanding o the key problems identied by some o the maingroups; set out a process o engagement and participation.

S 2: iy ky skrs There are various ways to start identiying stakeholders. Key inormants, writtenrecords, stakeholder sel-selection and identication and verication by otherstakeholders are good methods to use. There need to be special eorts toinclude the usually voiceless and to establish validity o representation. At thisearly stage, it may be helpul to start to narrow down the list o stakeholdersand identiy the most important ones to involve in the subsequent process o analysis. It may also be useul to categorize stakeholders by gender, age, well-

being and relation to orestry, among other actors.S 3: ivs skrs’ rss, rrss rmssOnce stakeholders have been identied, their own concerns, interests,characteristics and circumstances need to be better understood. At this stageit is particularly important that stakeholders express their own concerns. Achecklist o questions or each stakeholder group might include:

• What are the stakeholder's experiences or expectations o the policy orinstitution?

• What benets and costs have there been, or are there likely to be, or thestakeholder?



ANNEXES 0

• What stakeholder interests confict with the goals o the policy orinstitution?

• What resources has the stakeholder mobilized, or is willing to mobilize? Techniques rom group brainstorming to semi-structured interviews tosecondary data collection help to develop and share this understanding.

S 4: iy prs xs r bw skrs This step aims to explore relationships between stakeholder groups andpatterns o confict and cooperation, revealing common ground or prevailingconficts and potential trade-os (see ‘The Four Rs’, tool a4.7).

S 5: assss skr pwr pStakeholders have very dierent degrees o power to infuence policies orinstitutions. They also have dierent potential to aect, or to be aected by,policies and institutions.

A checklist o questions or assessing which stakeholders have power andpotential (or importance) with respect to the policy, institution or process at

issue might include:• Who is dependent on whom?• Which stakeholders are organized? How can that organization be

infuenced or built upon?• Who has control over resources? Who has control over inormation?• Which problems, aecting which stakeholders, are the priorities to address

or alleviate?• Which stakeholders’ needs, interests and expectations should be given

priority attention with respect to the policy or institution in question?

The resulting inormation about stakeholder power and potential can becombined in a table or diagram.

S 6: assss ps s s mk prrss To be useul, the analysis o the rst ve steps needs to be summarized ina orm where everyone’s interests and issues can be seen together. A series

o stakeholder tables may be used to organize inormation about interests,power, infuence and involvement o each key stakeholder or group. Assessinghow to make progress requires drawing out the possible options generatedthrough the rst ve steps. The ndings o a stakeholder power analysis needto be included in proposals or changing policies, institutions and processes,and in monitoring reports and reviews.

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• This process itsel is political. Some people’s interests may be hidden orcontradictory to those o their organization. People may have personaland/or political reasons to subvert the ndings o the process.

• The interests and agendas o those instigating and steering the analysisneed to be explained transparently and regularly interrogated. This willhelp to build trust.

• While stakeholder power analysis can illuminate the interests o marginalized

groups, it cannot in itsel guarantee them stronger representation. Careshould be taken in the process o ranking stakeholders according to powerand potential.

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Mayers, J. 005. Stakeholder power analysis. Power tools series. London, IIED. http://www.policy-powertools.org/Tools/Understanding/SPA.html

Grimble, R. 998. Socioeconomic methodologies or natural resources research. Stakeholder methodologies in natural resource management. Greenwich, UK,Natural Resources Institute. http://www.nri.org/publications/bpg/bpg0.pd

ODA. 995. Guidance note on how to do stakeholder analysis o aid programmes.London, Social Development Department, Overseas Development Administration.




http://www.sswm.ino/sites/deault/iles/reerence_attachments/ODA%099%0Guidance%0Note%0on%0how%0to%0do%0

a%0Stakeholder%0Analysis.pd

Mayers J., Ngalande, J., Bird, P. & Sibale, B. 00. Forestry tactics: lessonslearned rom Malawi’s national orestry programme. Policy That Works orForests and People Series. London, IIED. http://pubs.iied.org/pds/9009IIED.pd

Organizing orest user groups to engage

W s ? A tool to help marginalized orest producers organize themselves in order togain greater recognition. The intention is that with more organization andlegitimacy, policy-makers and institutions involved in orest governance,management and law enorcement will recognize small-scale orestryorganizations as legitimate operators and include them in policy and orestmanagement processes.

This tool has been designed by IIED based on experiences and lessonsrom the ormation and operation o the Budongo Sub-county PitsawyersAssociation in Uganda.

W bs r?

The purpose behind the tool is to create recognized community organizationsthat are seen to be legitimately engaged in orest governance and management.Marginalized orest producers may be able to access resources, partnershipsand markets that they otherwise could not reach.

W ss ?

It is written or development practitioners providing support to local orestproducers, such as pitsawyers, to organize themselves and legitimatelyengage in eective partnerships.

Sks rsrsrqr

Skills that are needed include:

• acilitation skills;• participatory approaches;• organizational development skills and experience;• managing multistakeholder processes and/or policy change.

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There are ve key stages:

S 1: urs s rp s rprs The aim o this phase is to understand the specic characteristics o pitsawing,the problems aced by the group and what support they need.

The individuals participating rst need to dene their group’s identity andhistory. An understanding o roles in the group, who ulls them and howthey relate to each other is important. It is also key to understand how thegroup aects people’s livelihoods and the environment, and to map out howdecisions are made and how the group is organized (i at all).

S 2: dsss prs s s p rzOnce the constraints acing the more marginalized individuals are identied,there is refection on whether, as an organized group, they would be betterplaced to take advantage o the opportunities. This includes looking at whatthe organization could achieve, whether it would be appropriate or possible,what the risks are, and who should be included or excluded. A process o decision-making or all potential members should be set out.

S 3: S p rzI the decision is made to organize, prospective members need to decide the

Xl B1.1In-depth version o B1.1



ANNEXES 05

most important issues or the ormation o an organization. It is vital that allprospective members participate in this process, so that there is agreement

on the undamental principles and institutional structures. Participants willneed to dene: objectives and activities o the organization; categories andcriteria or membership – who is included and excluded; roles and principlesor running the organization – who does what, why they should do it, why itbenets themselves and the organization, and what happens i they do notdo it; and a written agreement recording all this.

S 4: opr rzA practical operating system helps the organization remain clear aboutwhat it will achieve and how, and provides a ramework or managing theorganization. Simple systems are required in the areas o:

• strategic planning and management, or example annual work plans,a ve-year strategic plan, and delegation o tasks and responsibilities topeople within the organization;

• nancial management, such as bookkeeping and establishing a company

bank account;• licensing systems;

• skills development and training – identiy what skills are needed and whocan provide this support and training. It could come rom other NGOs orrom district orestry or agriculture departments.

• monitoring and evaluation – regular monitoring helps to evaluate progressover the longer term or ater an objective has been achieved.

S 5: e v prrspsOne o the key objectives or organizing as a group is to gain recognition o legitimacy. Once recognized, there is the potential to engage with others onissues o concern as eective partners. This phase involves:

• determining what skills are needed (what links may be useul and whichto avoid);

• starting to negotiate with potential partners;• moving orward as partners.

Key questions to assess relationships with partners are:

• Are the organization and the partner both achieving their objectives?

• Is there a good working relationship between the organization and itspartner?

• Are they communicating well? Do they hold regular meetings? Do theyhave to?

• Does the organization eel that it is being controlled by the partner? Is itbecoming dependent upon the partner?

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It requires careul work to help groups that have not been involved in keydecisions aecting them become better organized and engage with decision-making. It is important to have some indication rom the start that such

organization and engagement might bring results, so that targets can berealistic and expectations managed. Clear shared objectives are essential, andeven with these, external resistance and internal divisions should be expectedand planned or.

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Krassowska, K. & Davidson, M. 005. Organising pitsawyers to engage. Power Tools Series. Uganda, Budongo Community Development Organisation, andLondon, IIED. http://www.policy-powertools.org/Tools/Organising/OPE.html

Education and Training Unit. Community organisers toolbox [Online Resource].Johannesburg. http://www.etu.org.za/toolbox /




On-the-job mentoring o government ofcials in participatory approaches

W s ? Mentoring aims to help individuals to manage their own learning so thatthey can develop their skills, improve their perormance and develop theirpotential.

W bs r?

Eective mentoring approaches can lead to lasting change by:

• transorming the attitudes and behaviour o those being mentoredthrough the acquisition and use o new skills;

• enabling individuals to develop more condence to adopt practices;• improving relationships and communication among sta, and between

sta and other stakeholders such as local communities.

W ss ?

Mentoring is appropriate or use by any organization or group o peoplegoing through an organizational change process. It can complement andstrengthen other orms o capacity-building such as training, and can helpindividuals change their behaviours or practices.

The success o mentoring programmes is dependent on the skills o thementors, the relationship between the mentor and the mentee, and the levelo commitment o the organization and sta going through the mentoringprocess.

Sks rsrsrqr

Mentors need a wide range o attitudes and skills to be eective:

• practical expertise and experience in the issues;

• the ability to adapt and communicate their knowledge o the subject in away that is relevant to the particular needs o the mentee;

• listening and questioning abilities, sensitivity, empathy and understanding.

A ‘chie mentor’ coordinates and oversees the whole process. Their role is toensure there is institutional commitment to the mentoring process and to itsoutcomes – i.e. the changes in sta practice.

A monitor provides a quality-control and overview unction to the mentoringscheme – ensuring that the mentor-mentee relationship is working eectively –and observes how the mentee is using the tools and methods in real-lie situations.

Frequent ongoing contact is required between the mentor and theindividual(s) being mentored, over a medium to long period o time. Boththe mentors and the mentees need to commit at least one day a month tothe relationship. FAO estimates that it requires a long-term commitmento around three years to ensure the new practices are ully and sustainablyembedded in institutional culture and practice. I the mentors are selectedand trained rom within the organization (rather than external contractedmentors), the costs will be lower than traditional training events.

hw b s

There are ve stages in running a mentoring process:

S 1: S mrs

Select mentors and monitors based on their skills, competencies and status. These can be existing senior sta within the organization, ex-sta or otherrelevant in-country individuals with the right skills and aptitude or mentoring.

S 2: cr r mrsDevelop the appropriate training materials or the mentors to work throughwith the mentees. This could, or example, be an interactive CD with dierenttasks and exercises that the mentees could work through over time with thementors’ support. The chie mentor trains the mentors and monitors in theparticular tools and methods.

Xl B2.4In-depth version o B2.4



ANNEXES 07

S 3: S msSelect sta to receive on-the-job mentoring, bearing in mind their roles,

capacity and interest.

S 4: Ps 1 mrMentors conduct mentoring sessions with each individual mentee to teachthe participatory tools and techniques (one day per month per mentee).Focus on ensuring good understanding o a ew priority tools and techniques,rather than lots o dierent ones.

S 5: Ps 2 mrMentors (in consultation with mentees) complete a personalized issues-basedwork plan with each mentee. This sets out where and how the previouslylearned tools and techniques will be applied in a structured manner to addressissues o direct concern to the mentee (one day per month per mentee).

Throughout the process:

• Monitors provide quality control by carrying out regular checks during

both Phases 1 and 2. They discuss progress with the mentees and observethem working in the eld.

• The chie mentor continuously reviews, acilitates and reinorces the wholeapproach.

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Successul mentoring requires a reasonably long-term relationship and asecure organizational setting. I neither o these can be guaranteed, it may bebest to use tools or shorter-term capacity-building.

Frrrm

Deans, F., Oakley, L., James, R. & Wrigley, R. 006. Coaching and mentoringor leadership development in civil society. Praxis Paper No. . Oxord, UK,International NGO Training and Research Centre (INTRAC). http://www.intrac.org/resources.php?action=resource&id=

Gilmour, D. & Saro-Mensah P. 005. Evaluation report on project ‘StrengtheningParticipatory Approaches to Forest Management in Ghana, Guyana & Uganda’.

London, DFID. http://www.dd.gov.uk/rd/Project/00/Deault.aspx

Ensuring ree, prior and inormed consent (FPIC)

W s ? FPIC is dened as the establishment o conditions under which people canand do exercise their undamental right to negotiate the terms o externallyimposed policies, programmes and activities that directly aect theirlivelihoods or well-being, and to give or withhold their consent to them.

This tool sets out potential elements in developing robust processes orcitizens to grant, reuse and uphold consent or projects and programmes.

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To help indigenous people and local communities in rural areas be heard andgain political power. In particular, this tool ocuses on having their intereststaken into account when international institutions, governments and privateinvestors make decisions about resources to which local people have astrong connection. FPIC is also increasingly linked to the right o all peopleto their land and territories based on customary and historical connectionto them. FPIC is evolving in the context o external investments in land useand carbon orestry initiatives. With widening acknowledgment o the historyo discrimination against indigenous people and appropriation o their

Xl c1.3In-depth version o C1.3




ancestral or customary lands, there is increasing recognition o rights to sel-determination (see the entry on FPIC in the Glossary or urther inormation).

In view o the potential risks inherent in land-use investments and REDD+programme policies, design and implementation, FPIC has become acornerstone o many indigenous groups’ demands – whether or not landrights are recognized nationally.

W ss ?

This tool sets out the issues that a project proponent or policy developershould raise with aected indigenous peoples and local communities, with aview to agreeing on a plan o activities with each aected community to ullan FPIC process. The tool is developed rom the perspective o engaging withcommunity leaders and communities at the village level around community-or orest-specic activities, rather than negotiating FPIC at a national level.

Sks rsrsrqr

Skills required include:

• acilitation skills;• knowledge and experience in the use o participatory approaches;• technical and legal knowledge o FPIC;• capacity-building in relevant areas;• managing multistakeholder processes and/or policy change.

The process is likely to take several months or even years. Implementing arobust and veriable FPIC process is resource intensive, requiring considerableinvestment in people, time, communication materials and strategies, capacity-building activities, independent verication, technical and legal advice, andso on. The bulk o this eort will be needed at the ront end o a programme.

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There are our key stages:

S 1: d bss r FPic• Understand the legal ramework. Review international and national laws

to identiy the state’s legal obligation to respect rights, nd out who islegally responsible or seeking and obtaining a community’s consent, and

identiy the potential legal impacts i a project does not accommodatepeople’s rights.

• Understand the administrative ramework. Identiy the legal licencesrequired to secure access to a orest and its resources, and the administrativeprocedures that make people’s rights secure or insecure.

S 2: Prpr r rs-rs’ m FPic • Map rights, rights-holders and land use. Participatory mapping exercises

(see tool a3.2) can be used to provide clarity on boundaries and claimedrights or a particular community.

• Identiy the decision-making institutions o indigenous peoples andlocal communities. Indigenous peoples have the right to use their owndecision-making institutions rather than imposed systems. Facilitation canbe oered by the project proponent as an option to broaden participationin inormation-gathering, sharing, discussions and decision-making, while

respecting the community’s decision to use their own decision-makinginstitution.

• Identiy national support structures or rights advocacy. Oer assistanceor indigenous people to understand their rights and to advocate or thoserights to be recognized and respected by government and other actors.

• Develop a process or consent. Set out a process or consent including aschedule or all the stages o obtaining consent, rom initial discussions,inormation gathering and consideration o impacts, benets and options,through to negotiating and implementing an agreement. The consentprocess must demonstrate that it is ree rom coercion and manipulation.



ANNEXES 09

• Develop the ormat o consent agreements. The orm and ormat or consentmust be recognized by both parties using a combination o written, oral

and/or traditional ceremonial means.• Agree a communication plan. A communication plan or the FPIC process

is needed so that all aspects o the consent process are communicatedto members o the community and to other interested parties includingneighbouring communities, local government, NGOs and companiesoperating in the area.

• Develop a capacity-building strategy. A capacity-building strategy or acommunity should match skills its members need to engage in each stageo the ongoing consent process. An initial survey should identiy capacityneeds within the community in relation to the inormational stage o theFPIC process.

S : impm s prss

• Keep people engaged and participating in programme design. Indigenouspeople and local communities should be actively engaged throughoutthe design phase o the project, through the assessments, developmento the benet-sharing mechanisms and so on (see tools on stakeholderparticipation).

• Ensure access to alternative inormation and independent advice. Theright o communities to access inormation and advice independent o theproject proponent is a cornerstone o an inormed-consent process. Mostrural communities aected by a project will need help to identiy sourceso independent inormation and advice on legal, social, economic andenvironmental issues, as well as help to pay or advice — or example, bysetting up a trust und.

• Negotiate and reach consent. Negotiation consists o a two-way dialoguebetween communities and project proponents or acilitators (government,private sector or NGO) on proposals, interests and concerns. In the contexto REDD+ or other orest land-use initiatives, key issues are likely to include

the nature and extent o any changes to orest use, roles o communities inorest management and monitoring, and how communities will secure andmanage anticipated benets.

S 4: Mr rrs: m s

• Monitor what is agreed in implementation. Monitoring the implementationo agreements enables parties to hold each other accountable or agreedresults as well as to adaptively manage the situation i actual outcomesdiverge rom projections (or example, o community costs or benets).Community rights-holders should be substantively involved at all stages o designing and carrying out monitoring o consent agreements (rather than

just collecting data or payment). (See section D or participatory monitoringtechniques.)

• Develop a grievance process. The overall aim o a grievance process shouldbe to restore consent. The mechanism should include the possibility o independent arbitration and recourse to legal or administrative remedies i negotiations break down. (See section C or more on grievance mechanisms.)

• Veriy consent. It is a requirement o FPIC that an independent party veriesthat consent has indeed been ree, prior and inormed. I the vericationprocess is known by the programme proponent, it could be used as a basisor ensuring their FPIC process will satisy all elements o verication.

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FPIC as a demand and precondition has been expressed, in particular byindigenous peoples, or many years. But it is only in recent years that it hasbecome a strong expectation and increasingly a reality, as more national




legislation, corporate practices and international programmes require it. Thus, experience with successul FPIC processes in land-use sectors is still

thin. Tools are thereore at the ‘rst-generation’ stage and need to improve. I you use this tool, please document and spread your experience.

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Forest Peoples Programme. Forthcoming. Guidebook on FPIC in REDD+.

UN-REDD. 00. Programme guidelines or seeking the ree, prior, and Inormed consent o indigenous peoples and other orest dependent communities [Drat].Geneva, United Nations Collaborative Programme on Reducing Emissionsrom Deorestation and Forest Degradation in Developing Countries.

WWF. 0. Free, prior, inormed consent and REDD+: guidelines and resources. Gland, Switzerland. http://awsassets.panda.org/downloads/report_ree_pd_nal.pd

Forest Peoples Programme. 008. Free, prior and inormed consent and oil palm plantations: a guide or companies. Moreton-in-Marsh, UK. http://www.orestpeoples.org/sites/pp/les/publication/009//picandrspo

companiesguideoct08eng.pd Example:Forest Trends. 00. Free, prior, inormed consent: Surui carbon project (Brazil). Brazil, Amazon Conservation Team (ACT), Metareila Association o the SuruiPeople, Institute or the Conservation and Sustainable Development o Amazonas (IDESAM), and Brazilian Biodiversity Fund (FUNBIO). http://www.orest-trends.org/documents/les/doc_9.pd

FAO. Forthcoming. Implementation guide on land acquisition, ree, prior andinormed consent and customary land o indigenous peoples and other localcommunities, S. Chao and M. Colchester.

Media and lobbying tactics or local groups

W s ? This tool sets out a range o tactics that civil society groups can use toencourage national policy to respond to their needs and aspirations. Thetactics range rom airly technical, time-consuming activities, such as mappingand audits, to other suggestions or seizing opportunities with politicians andthe media to draw attention to issues o concern. Many o the tools aim tostimulate public awareness and debate.

The tool has been produced in the context o small armers in Grenada, butthe ramework and tactics are relevant or many community organizations,advocacy and development agencies.

W bs r?

It is relevant when a particular stakeholder group wishes to raise the proleo issues concerning them and to encourage policy-makers to respond tothese needs. For example, it is relevant in cases where the government hasnot made any signicant eorts to redress a problem and the stakeholders areconcerned that there is inadequate attention to the issue.

W ss ?

The tool is designed or use by NGOs and other organizations trying tosupport interest groups in drawing attention to their issues o concern andengaging with policy-makers.

Sks rsrsrqr

The key skills include:

• acilitation skills (including links between the oresters and otherorganizations);

Xl c1.5In-depth version o C1.5



ANNEXES

• knowledge o the relevant media and political bodies;

• specic skills dependent on tactics used, such as video production.

Any work with communities needs to be built around principles o commonalityand common sense. It takes time to set up trust, build relationships andestablish mutual respect.

hw bs

The process can be simplied into the ollowing our stages:

S 1: Prpr

• Identiy the possible entry points in the policy process that can be targetedthrough subsequent lobbying. Build up knowledge o relevant policiesthat aect the group and are o concern. Set up an archive o relevantpolicy and land titles, which can be made available or public access.Critique some elements o the policy, such as how participatory the policyprocess was. Gather inormation about land title and use.

• Engage early with the media. Tempt the media into investigative journalisminstead o being happy with press releases, as this will lead to much bettercoverage and longer-term engagement. Do not take armers to the press –bring the press to the armers.

S 2: B rmrs’ v• Demonstrate land use. For armers, real evidence is on the ground, not on

paper, so use media such as videos, photography and tape recordings todocument the current use o the land in a way that will attract the attentiono the national media (see tool c1.9, participatory photos and video).

• Map actual landholdings. Tenure on the ground is oten dierent romland titles, and ormal mapping helps armers to plan and argue their case.Mapping can identiy owners, users or plots, strengthen claims to land,conrm oresters’ registration with relevant local government services,underpin planning exercises, and so on (see tool a3.9, participatorymapping).

• Encourage and support oresters in keeping records. Help them developsimple systems or recording key activities. This generates an evidencebase to use in lobbying government.

• Articulate oresters’ development alternatives. Use ormal maps and armerdiscussions to prepare arguments or sustainable and equitable land use,such as combining orestry with other land uses. This helps to prepare oruture dialogue and advocacy with policy-makers.

S 3: W pr

• Improve oresters’ awareness o their role in the national economy.Help them develop arguments or their orestry use within national andinternational policy contexts. These arguments will resonate with policy-makers.

• Connect oresters’ issues with national programmes such as ood security,poverty reduction and biodiversity programmes. Make the case or oresters’

signicance by demonstrating how orestry practices contribute to thesepolicies and programmes.

• Build relationships between oresters and orestry technical sta.Facilitate extension ocers to work locally and oresters to press or theull complement o extension services. Help oresters to understand theirrights and to press or good service provision.

• Record and share experiences rom similar situations elsewhere to provideoresters with inspiration about what is possible. Discuss these scenariosto learn what has worked and what has not.




S 4: tr, mm w wr rps

• Help oresters prepare or key meetings and develop negotiation skills.

Important meetings and negotiations need preparation. Hold advancemeetings to discuss practicalities and ‘what i?’ scenarios.

• Use political processes tactically, such as elections at local and nationallevels.

• Use media to spread the message and stimulate public debate. Be vigilantabout broadcasting armers’ views without compromising them.

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Civil society groups vary greatly in their levels o organization andaccountability. Policy processes can be extremely dicult to break into,and civil society groups need to be clear about their evidence, position andlegitimacy in their advocacy and media work.

Frrrm

Williams, J. & Vermeulen, S. 005. Media and lobby tactics: linking armers' actions with national policy processes.Power Tools Series. Grenada CommunityDevelopment Agency and London, IIED. http://www.policy-power

tools.org/Tools/Engaging/MLT.html

Forest sector transparency report cards

W s ? The purpose o the Making the Forest Sector Transparent Report Card is toenable a comparison between the quality, quantity and accessibility o orest-sector inormation provided to the public by governments in orest-richcountries.

The tool was developed by project partners in the Global Witness Makingthe Forest Sector Transparent project (008–0). The project supportscivil society groups in orest-rich countries to engage with policy-makersand advocate or accountable orest-sector governance. Global Witness ispiloting the tool with civil society organizations in Cameroon, the DemocraticRepublic o Congo, Ecuador, Ghana, Guatemala, Liberia and Peru.

W bs r?

Report cards can help orest-sector transparency in various ways:

• summarizing the current situation o orest-sector transparency in variouscountries;

• assessing change and progress on accountability by replicating the samemethod o data collection over time;

• reporting on progress toward achieving national commitments aroundorest governance and access to inormation.

On the basis o these data, advocacy strategies can be evidence-based andrecommendations can be made or key stakeholders to enhance orest-sectortransparency.

The methodology or this tool varies in dierent countries according to thespecic purpose and how the inormation collected will be used.

W ss ?

This tool has been designed or use by civil society organizations actively workingon orest-sector governance and transparency. A certain level o expertise andunderstanding o the sector is required. The process will be most useul i thelead agency has the interest and capability to widely communicate the ndingso the report card process and use them in uture advocacy around orest-sectortransparency. The report card is developed through a participatory process withknowledgeable and interested civil society actors working in the orest sector.

Xl d1.3In-depth version o D1.3



ANNEXES

A cross-section o dierent stakeholders, ranging rom local communityrepresentatives to companies and government sta, are involved in completing

the report card.

Sks rsrsrqr

Skills needed include:

• workshop and ocus group acilitation skills;• knowledge and experience in the use o participatory approaches;• conducting interviews and questionnaires, possibly to rigorous standards;• handling questionnaire data and distilling key points as uture action

points or advocacy.

Several months o work rom a small team is needed to produce eectivecountry-level results with this tool, and these results become more eective i the work is repeated annually.

hw bs

The methodology will vary in each context according to the purpose andinormation available, but will ollow these ve stages:

S 1: dsOrganizations should spend time agreeing some o the key conceptual andmethodological issues associated with measuring transparency, so that thereport card is based on a commonly agreed understanding o transparencyand the relationship between transparency and accountability. Ensure thereis a clear understanding o the purpose o the report card and how it will beused, and clearly dene what will be assessed.

A decision should be made as to how many questions to include, taking intoaccount the ollowing: desired coverage; desired level o specicity; issueso easibility and availability o inormation; and the intended audience. It isimportant to clearly describe the criteria and indicators used and explain theirrationale. This will give credence to the research as well as assist in explainingthe ndings.

S 2: cmp rpr rDepending on the agreed purpose, the project partners use a mix o questionnaires, ocus groups, interviews and document reviews to completethe report card, capturing the perspectives o a mix o civil society, stateocials and government, and private companies. A key part o the process isto assess what documents are in the public domain to determine the extentto which authorities meet their obligations to transparency.

S 3: ayss v Project partners validate stakeholder responses to the questionnaires orinterviews by asking or examples and evidence, as well as by comparing theseresponses against the other methods used, such as testing the availabilityand quality o documents through the internet or government oces. All theinormation collected should be reviewed and analysed against the themesand indicators agreed upon.

S 4: Fw-p vy For the project partners, the main ollow-up is to identiy items that areboth important and relatively easy to persuade the authorities to publish.Recommendations are made or civil society, state orestry institutions andrelevant private sector businesses.

S 5: Rp vry yrWhile this exercise has value in itsel, its particular worth as a monitoring toolcomes when the report card is repeated annually, allowing changes over timeto be documented. Positive changes can be celebrated, unresolved issuesfagged and negative changes protested. The process can also provide a




valuable orum or key stakeholders in the orest sector to come together anddiscuss how to make better use o inormation when it is available.

lms rys

• Beore starting, be clear about the purpose o the report card – in particular,the distinction between citizen perceptions and actual availability o documents – and how the inormation will be used.

• Make sure to validate people’s assessments with examples and evidenceas ar as possible.

Frrrm

Making the Forest Sector Transparent http://www.oresttransparency.ino

Global Witness. 00. Making the orest sector transparent: annual transparency report 2009. London. www.oresttransparency.ino/cms/le/

Global Witness. 0. Making the orest sector transparent: annual transparency report 2010. London. http://www.oresttransparency.ino/cms/le/9

Global Witness. 0. Fourth annual report. London. http://www.oresttransparency.ino/cms/le/

Accessing public inormation

W s ? The Accessing ‘Public’ Inormation (API) toolkit is a set o tools or accessinginormation held by public (government) agencies to improve governance.

While access to public inormation is desirable, it is not always easy toachieve. The API toolkit is designed to help overcome hurdles with varioustools that have been used successully by a number o NGOs and activistsin India.

W b

s r?

The API toolkit can be used in many situations when the public has the ‘right

to know’. Some o these are:• Securing land rights. In cases where the land titles are unclear, many

communities, such as tribes living in orests, ace the threat o evictiondespite having lived in the area or generations. The API toolkit can beused to challenge their eviction by accessing and examining recordsrelated to the status o land ownership and orest rights regimes.

• Saeguarding the environment. Concerned citizens can seek inormationregarding various environment-related issues such as pollution orresource degradation. This inormation can be used by communities topreserve or improve their natural environment.

• Fair compensation and rehabilitation. The API toolkit can be used toensure air compensation and rehabilitation o people aected by largeinrastructural and industrial projects. It may also be used to ensure

justice or victims o industrial accidents and disasters.

W ss ?

The API toolkit is mainly targeted at NGOs, activists and civil societygroups working on natural resource management and decentralisedgovernance, as well as livelihood issues. It will also be useul or individualsand organizations working on human rights, justice and corruption issues.Community members (either individually or collectively) can also use thistoolkit.

The toolkit will be particularly useul or NGOs and activists working in thosecountries or areas where the right to inormation (RTI) has been grantedon paper but its implementation on the ground is poor. While an enabling

Xl d1.6In-depth version o D1.6



ANNEXES 5

environment in the orm o a specic RTI law helps, the toolkit can also be usedeectively in areas or countries where there is no specic law on RTI. In such

cases, other means o accessing inormation can be explored.

Sks rsrsrqr

Skills include:

• basic legal and policy understanding;• accessing sources o inormation;• capacity-building in the above areas;• skills in using inormation to bring about desired change; or example,

holding a public hearing.

hw bs

The use o API approach involves a series o steps that may be broadly classiedinto two stages: the preparatory phase and the implementation phase.

S 1: Prprry psIn order to eectively use the API tool-kit, it is important to understand thelocal legal and policy context under which inormation is to be accessed romgovernment agencies. This involves education, exposure and experience – a ‘-

E’ model.

• Education: Study RTI law and other pertinent laws, constitutional provisions,administrative orders and procedures, as well as their judicial interpretations.

• Exposure: Find out about other organizations and individuals working onsimilar issues. This will help in learning about their strategies and tactics aswell as networking with them or support.

• Experience: Past experience as well as ongoing processes can providevaluable lessons about how to use the API toolkit eectively. Past

judgements, experience o other organizations, and success stories as wellas ailures can all be inormative.

S 2: impm ps There are three broad steps in this phase: building awareness and capacityo target groups; engaging in the inormation access process; and using the

inormation to bring about desired change.• Building awareness and capacity. The API toolkit can be used eectively only

i people are aware o their rights and start exercising them. It is essential thatNGOs and activists build awareness about the power o the API approachamong their target groups. A number o strategies can be used, such asestablishing Inormation Centres or creating and disseminating pamphlets,posters and charts. In areas where many people are illiterate, meetings,songs, street plays and puppet shows are more eective. Capacity can alsobe built through one-to-one interaction, training programmes, workshopsand seminars.

• Engaging in the inormation access process. This stage involves identiyingthe exact inormation needed, the source o the inormation and their contactdetails, and then drating questions to obtain the required inormation.Because vague or general requests are less eective, it is important to bespecic when requesting inormation.

• Using the inormation to bring about desired change. Once inormationhas been collected, the next step is veriying it through interactions withconcerned individuals or communities, then using it to bring about change.Government inormation can be veried through means such as socialaudits (monitoring o service delivery by members o the local community),parallel attendance registers (registers kept by community members) andother records maintained by individuals and communities, testimonies, andon-site inspections. One eective strategy or changing the attitudes andbehaviour o government ocials is a public hearing (see tool d2.4) or asignature campaign.




I all this ails, then recourse to courts is an option that may be exercised.

lms rys

In instances where disclosure o inormation is likely to adversely aect thepowerul, attempts to access inormation may lead to retaliation includingviolence.

Frrrm

Winrock International India. 005. Accessing 'public' inormation. Power ToolsSeries. New Delhi, Winrock International India, and London, IIED. http://www.policy-powertools.org/Tools/Ensuring/API.html

Article 9. 999. The public’s right to know: principles on reedom o inormationlegislation. London. http://www.article9.org/pds/standards/righttoknow.pd

National Campaign for people’s right to information, India. http://righttoinormation.ino/



ANNEXES 7

ass rm reers to the right o accessto inormation under the control o a governmentinstitution. The principle is that government in-ormation should be available to the public (withnecessary exceptions, which should be limitedand specic) and that decisions on the disclosureo any government inormation should always bereviewed independently o government. Accessto inormation enables people to scrutinize theeects o policy implementation and provides anextra set o checks and balances in the public inter-est, minimizing the undue infuence o privilegedgroups and curbing vulnerability to corruption.

aby means holding people and publicagencies responsible or their actions and deci-sions, according to the principle o the rule o law.Accountability works in two directions. Downwardaccountability entails individuals and agencieswho have specic responsibilities towards othersbeing answerable to those persons or their ac-tions. Upward accountability entails those receiv-ing services, or to whom commitments are made,checking that matters go according to plan, askingor explanations i they do not, and – where rel-evant – electing persons capable o ullling theirunctions.

arrsry is a collective name or land-usesystems and practices in which woody perenni-als are deliberately integrated with crops and/oranimals on the same land-management unit. Theintegration can be either in a spatial mixture or ina temporal sequence. There are normally both eco-logical and economic interactions between woodyand non-woody components in agroorestry.

a reers to an agreement between two ormore parties, made in order to advance commongoals and secure common interests.

Bvrsy – or biological diversity – is a termused to describe the variety o lie on Earth. It re-ers to the wide variety and variability o ecosys-tems and living organisms: animals, plants, theirhabitats and their genes.

crb sks srs. A carbon sink is any-thing that absorbs more carbon than it releases,whereas a carbon source is anything that releasesmore carbon than it absorbs. Forests, soils, oceansand the atmosphere all store carbon, and this car-bon moves between them in a continuous cycle.

The constant movement o carbon means that or-ests act as sources or sinks at dierent times.

crb sk reers to the quantity o carboncontained in a ‘pool’, meaning a reservoir or sys-tem that can accumulate or release carbon. In thecontext o orests, it reers to the amount o carbonstored in the world’s orest ecosystem, mainly inliving biomass and soil, and to a lesser extent indead wood and litter.

c reers to a pact or treaty among indi-viduals or groups, during which they cooperate in

joint action each in their own sel-interest, joiningorces together or a common cause.

cv sy reers to the sphere in which citi-

zens and social movements organize themselvesaround objectives, constituencies and thematicinterests.

cmmy-bs rsry reers to orest man-agement implemented in a communal orest withthe community's consent, or in orest areas locallyrecognized as linked to members o the same com-munity who coordinate eorts to manage orestresources and/or sell orest products.

cs mprvm is systematically moni-toring and analysing tenure governance, and im-plementing reorms.

csmry r rs include the collec-

tive rights o community members to the naturalcommons as well as private rights o communitymembers to their agricultural and residential par-cels. Customary tenure rights have been granted ormal legal recognition equivalent to other statu-tory tenure rights in some countries, while in othercountries they lack such legal recognition.

d de jure. De acto is a Latin expres-sion that means "concerning act”. In law, it otenmeans "in practice, but not necessarily ordainedby law" or "in practice or actuality, but not o-cially established”. The phrase is commonly used incontrast to de jure, which means "concerning thelaw", when reerring to matters o law, governanceor technique (such as standards) that are ound in

common experience but have developed withoutor contrary to a regulation. In discussions o a le-gal situation, de jure designates what the law says,while de acto designates what happens in prac-tice, similar to the expressions "or all intents andpurposes" or "in act”.

Fr r describes a trading partnership basedon dialogue, transparency and respect that seeks

Annex 2: Glossary




greater equity in international trade. It contributesto sustainable development by oering bettertrading conditions to, and securing the rights o,marginalized producers and workers, especially inthe global South. Fair trade organizations, backedby consumers, are engaged actively in supportingproducers, raising awareness and campaigning orchanges in the rules and practices o conventionalinternational trade.

Fr describes a joint body, ormed o sepa-rate, independent groups or bodies, united or thepurposes o mutual support or action.

Frs r is one o a number o market-based instruments that may contribute to im-proved management o orests and improved or-estry-sector development. The goal is to link tradein orest products to the sustainable management

o the orest resource by providing buyers with in-ormation on the management standards o theorests rom which the timber came.

Frs rprs can be a commercial enterprise,a sel-contained cooperative, an indigenous com-munity or any other organizational orm that man-ages orests or prot, with optional additional pro-cessing activities or orest products.

Fr, prr rm s (FPIC) is theprinciple that a community has the right to giveor withhold its consent to proposed projects thatmay aect the lands that community memberscustomarily own, occupy or otherwise use. FPICis now a key principle in international law and ju-

risprudence related to indigenous peoples. Thisprinciple means that those who wish to use thecustomary lands belonging to indigenous com-munities must enter into negotiations with them.It is the communities who have the right to decidewhether they will agree to the project or not oncethey have a ull and accurate understanding o the implications o the project or them and theircustomary land. As most commonly interpreted,the right to FPIC is meant to allow or indigenouspeoples to reach consensus and make decisionsaccording to their customary systems o decision-making.

gvr is the process o governing. It is theway in which society is managed and how com-

peting priorities and interests o dierent groupsare reconciled. It includes the ormal institutionso government but also inormal arrangements.Governance is concerned with the processes bywhich citizens participate in decision-making, howgovernment is accountable to its citizens and howsociety obliges its members to observe rules andlaws. The United Nations describes “good govern-ance” as promoting “equity, participation, plural-ism, transparency, accountability and the rule o

law, in a manner that is eective, ecient and en-during.”

is pps are ethnic groups that aredened as "indigenous" according to one o thevarious denitions o the term, though there is nouniversally accepted denition. Most uses o thephrase reer to being the "original inhabitants" o aterritory. It has been used to reer to ethnic groupsthat have historical ties to groups that existed in aterritory prior to colonization or ormation o a na-tion state, and which normally preserve a degreeo cultural and political separation rom the main-stream culture and political system o the nation-state within whose border the indigenous groupis located. The political sense o the term denesthese groups as particularly vulnerable to exploita-tion and oppression by nation-states.

irm mm s (ICTs) are a diverse set o technological tools andresources used to communicate and to create, dis-seminate, store and manage inormation. Thesetechnologies include computers, the Internet,broadcasting technologies (radio and television)and telephones.

is reers to any structure or mechanismo social order and cooperation governing thebehaviour o a set o individuals within a givenhuman community. The term "institution" is com-monly applied to customs and behaviour patternsimportant to a society, as well as to particular or-mal organizations o government and public ser-vice.

ir vs rms canbe loosely compared to contracts: both are meanso willing parties assuming obligations amongthemselves, and parties to either a conventionor an agreement that ail to live up to their obli-gations can be held liable under internationallaw. For orest governance and tenure, some o the most relevant international conventions andagreements include:

• Universal Declaration o Human Rights (UDHR),International Covenant on Economic, Social andCultural Rights (ICESCR) and the InternationalCovenant on Civil and Political Rights (ICCPR);

• UN Declaration on the Rights o Indigenous Peo-ples (UNDRIP);

• Convention on the Rights o the Child (UNCRC)• Convention on the Elimination o All Forms o

Discrimination against Women (CEDAW);• International Convention on the Elimination o

All Forms o Racial Discrimination (ICERD).

Mr v are processes o gathering and assessing inormation to make

judgements about progress towards goals andobjectives, and to identiy unintended positive or



ANNEXES 9

negative consequences o action.

nwrk reers to a mechanism that links people

and/or organizations that share some kind o com-mon goal.

orz reers to a purposeul structure with-in a social context.

Pr reers to a person qualied througheducation and training to perorm substantive le-gal work that requires knowledge o the law andprocedures, and who is not a qualied solicitor orbarrister.

Prpry mr v (PM&E)is a process through which stakeholders at variouslevels engage in monitoring or evaluating a par-ticular project, programme or policy; share controlover the content, the process and the results o the

monitoring and evaluation activity; and take oridentiy corrective actions.

Pyms r vrm srvs (PES) re-ers to incentive mechanisms – requently mar-ket-based – whereby armers, orest owners orlandowners are oered incentives in exchange ormanaging their land or orest to provide speciedservices such as carbon sequestration, watershedprotection, biodiversity conservation or landscapebeauty.

Prv sr reers to that part o the economywhich is run by private individuals or groups, usu-ally as a means o enterprise or prot, and is notcontrolled by the state.

Pb sr is sometimes reerred to as the statesector or the government sector. It is that part o the state that deals with goods and services or thegovernment and its citizens.

R msss rm rs rs r (REDD) is an eort to createa nancial value or the carbon stored in orestsby oering incentives or developing countries toreduce emissions rom orested lands and investin low-carbon paths to sustainable development.“REDD+” goes beyond deorestation and orestdegradation, and includes the role o conserva-tion, sustainable management o orests and en-hancement o orest carbon stocks.

Sm rs rprs reers to small-scale busi-ness operations aimed at making a prot rom or-est-linked activity. Precise denitions o the scalevary and are oten relative to context, e.g. in somecontexts small orest enterprises might employ0–00 ull-time employees, with an annual turno-ver o US$0 000 - US$0 million or with an annualroundwood consumption o 000 – 0 000 m ; inother contexts they might be enterprises whoseeconomic activities are undertaken mainly at the

individual or household level, usually employingmembers o the amily or close relatives and neigh-bours, and where salaried labour is negligible.

Sm-s prrs are sel-contained groupso people who undertake an activity – such asorest management leading to the production o trees or conversion o logs by chainsaw or port-able sawmill in a orest – that contributes to thebeginning o a value chain or orest products, butwho are not hired or employed directly by a orestenterprise.

Skr, in the context o orest rights andtenure, reers to an individual, community, socialgroup or organization who: has existing ormalor inormal rights to land or orest resources; hassome degree o economic or social reliance onorest resources; might sustain potential or real

losses, damage or other negative impact rom de-cisions about the resources; is infuenced, currentlyor potentially, by activities associated with the or-est resource base; has a continuous relationshipwith orest land and resources; has a historical orcultural relation with the resources at stake; hasshown some degree o eort at and interest in or-est management; or has experience or expectationo the policy or institutional intervention. A stake-holder also has the resources to mobilize or is will-ing to mobilize.

Ssb orest management (SFM) reers tothe stewardship and use o orests and orest landsin a way, and at a rate, that maintains their biodi-versity, productivity, regeneration capacity, vitality

and their potential to ull, now and in the uture,relevant ecological, economic and social unctions,at local, national and global levels; and that doesnot cause damage to other ecosystems.

ts are procedures or a set o manoeuvres car-ried out to achieve a goal.

tr is the relationship, whether dened legallyor customarily, among people with respect to land(including associated buildings and structures),sheries, orests and other natural resources. Therules o tenure dene how access is granted to useand control these resources, as well as associatedresponsibilities and restraints. Tenure, thus, usuallyrefects the power structure in a society, and socialstability may depend on whether or not there is a

broad consensus on the airness o the tenure sys-tem.

t reers to a procedure or process with a specicpurpose. In this context tools can be approaches,methods, strategies, tactics or techniques.

trspry means clearly dening and widelypublicizing policies, laws and procedures in rel-evant languages, and widely publicizing decisionsin relevant languages.




Annex 3: Bibliography

gr

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Rb, J.c. 00. Democratic decentralization o natural resources: institutionalizing popular participation.Washington, DC, World Resources Institute. http://pd.wri.org/ddnr_ull_revised.pd

Rb, J.c., arw, a. & lrs, a.M. 006. Recentralizing while decentralizing: how national govern-ments reappropriate orest resources. World Development, (): 86–886. http://www.sciencedirect.com/science/article/pii/S005750X060006

RRi. 0. What rights? A comparative analysis o developing countries’ national legislation on community and indigenous peoples’ orest tenure rights. Washington, DC, Rights and Resources Initiative. http://www.rightsandresources.org/documents/les/doc_9.pd

Sr, W., hr, J. & l, M. 008. From exclusion to ownership? Challenges and opportunities inadvancing orest tenure reorms. Washington, DC, Rights and Resources Initiative. http://www.rightsan-dresources.org/documents/les/doc_76.pd

Wkr, t. & S, J. 008. Towards empowered participation: stories and refections. Participatory Learning and Action, 58: 6–9. http://pubs.iied.org/56IIED.html

W, a. & Mr, a. 00. Who owns the world’s orests? Forest tenure and public orests in transition.Washington, DC, Forest Trends. http://www.cior.org/publications/pd_les/reports/tenurereport_whoowns.pd

Wy, l.a. 0. Rights to resources in crisis: reviewing the ate o customary tenure in Arica. Washington, DC,Rights and Resources Initiative. http://www.rightsandresources.org/documents/index.php?pubID=69

ts r rs

ar, F., Sb, h.J., ev, h. & Myx, P. 00. Tropical orest cover monitoring in the humid tropics

– TREES project. Tropical Ecology, (): 9–0. http://www.tropecol.com/pd/open/PDF__/0.pd aicdd/dvpm Wrks. 005. Community-based planning and the IDP. Guide 2: acilitator’s guide to

community-based planning. Community-Based Planning Project Steering Committee. Arican Instituteor Community-Driven Development and Development Works. http://www.ansa-arica.net/index.php/views/pub_view/community_based_planning_and_the_idp_guide_/

Brkm, l. & ewrs, K. 00. The art o building acilitation capacities: a training manual. Bangkok, Re-gional Community Forestry Training Center (RECOFTC).

cmps, J., ov, g. & Srk, J. 0. Summary o governance assessment tools and indicators. Gland,Switzerland, IUCN. http://cmsdata.iucn.org/downloads/governance_assessment_tools_matrix_nal_6_.docx




ciFoR. Multi-disciplinary landscape assessment [Online Resource]. http://www.cior.cgiar.org/mla/_re/home/index.htm

ciFoR. 007. The poverty and environment network: a comprehensive global analysis o tropical orests and poverty. Bogor, Indonesia, Center or International Forestry Research. http://www.cior.org/pen/research-tools/tools.html

cr, c.J.P., Brksby, M.a., dw, c., e, P., gür, M., hrw, e., Md, c., Prr, n.M.,Prr, R., Prb, R., Sm, a., Srj, M.a., tkw, B., t, a.M., Wy, R.l., W, J. &Wbr, e. 999. The BAG. Basic assessment guide or human well-being. Criteria and Indicators ToolboxSeries No. 5. Bogor, Indonesia, Center or International Forestry Research (CIFOR). http://www.cior.cgiar.org/livesinorests/publications/pd_les/toolbox-5c.pd

dFid. 00. Problem Tree Analysis. Promoting institutional and organisational development. A source book o tools and techniques, p. . London. http://webarchive.nationalarchives.gov.uk/+/http://www.dd.gov.uk/pubs/les/prominstdevsourcebook.pd

d gss, S. 008. PAFID: Participatory -D Modelling in Mindanao - The Philippines. Participatory mapping asa tool or empowerment experiences and lessons learned rom the ILC Network, pp. –8. International LandCoalition. http://www.landcoalition.org/publications/participatory-mapping-tool-empowerment

Fao. 005a. Validation o the diagnostics by the actors o the territory. Participatory and negotiated territorial

development (PNTD), pp. 5–5. Rome. http://www.ao.org/sd/dim_pe/pe_0500a_en.htmFao. 005b. Participatory and negotiated territorial development (PNTD). Rome. http://www.ao.org/sd/

dim_pe/pe_0500a_en.htm

Fao. 005c. Field guide to confict analysis. Negotiation and mediation techniques or natural resource manage-ment,Annex II, A. Engel and B. Kor. Rome. http://www.ao.org/docrep/008/a00e/a00e0d.htm#bm.

Fao. 009a. National Forest Monitoring and Assessment – manual or integrated eld data collection. Version ..FAO National Forest Monitoring and Assessment Working Paper NFMA 7/E. Rome. http://www.ao.org/orestry/9900-06d9ecb097c09d89aea7.pd

Fao. 009b. Participatory Land Delimitation. An innovative development model based on securing rights acquired through customary and other orms o occupation, C. Tanner, P. De Wit and S. Norolk. FAO Land Tenure Work-ing Paper No. . Rome. tp://tp.ao.org/docrep/ao/0/ak56e/ak56e00.pd

Fao. 00. Developing Efective Forest Policy – A guide. Rome. http://www.ao.org/docrep/0/i679e/i679e00.pd

FAO. 0. Governing land or women and men: a technical guide to support the achievement o responsible gen-der-equitable governance o land tenure. Governance o Tenure Technical Guide no. . Rome.

g, M. 006. Ecology is or the people: a methodology manual or people’s biodiversity register. Bangalore,Centre or Ecological Sciences, Indian Institute o Science.http://ces.iisc.ernet.in/PBR/PBR%0Final%0document.pd

gr, g., Sr M., Psy g., Fy c., Sy, v nrwjk, M. & Pr u. 00. RaTA: aRapid land tenure assessment manual or identiying the nature o land tenure conicts. Bogor, Indonesia, World Agro-orestry Centre (ICRAF). http://www.worldagroorestrycentre.org/sea/Publications/les/book/BK0-0.PDF

gbs, d. 0. Manual or the introduction and implementation o the management oriented monitoring sys-tem. Gland, Switzerland, WWF. http://www.sacnet.org/index.php/the-news/natural-resources-manage-ment/natural-resources-management?download=97%Amanagement-oriented-monitoring-systems-manualpd

grmb, R. 998. Socioeconomic methodologies or natural resources research. Stakeholder Methodologies inNatural Resource Management. Greenwich, UK, Natural Resources Institute. http://www.nri.org/publica-tions/bpg/bpg0.pd

hr, h. & R, S. 00. Political and social analysis or development policy and practice - An overview o veapproaches. Birmingham, UK, Governance and Social Development Resource Centre, International Devel-opment Department, University o Birmingham. http://www.gsdrc.org/docs/open/EIRS0.pd

h csrv V nwrk. Identiying high conservation values [Online Resource]. http://www.hcvnetwork.org/about-hcv/the-hcv-process-older/identiying-high-conservation-values

hby, M. 007. Where in the world is there pro-poor orest policy and tenure reorm? Washington, DC, Rightsand Resources Initiative. http://www.rightsandresources.org/documents/les/doc_658.pd

icRaF. Rapid carbon stock appraisal (RaCSA): a rapid but integrated way to assess landscape carbon stocks [On-line Resource]. http://www.worldagroorestrycentre.org/Sea/Projects/tulsea/racsa

icRaF. 009. RAFT: rapid appraisal o agroorestry practices, systems and technology. Bogor, Indonesia, World



ANNEXES

Agroorestry Centre (ICRAF). http://www.worldagroorestry.org/sea/vn/publication?do=view_pub_detail&pub_no=LE05-09

icRaF. Participatory analysis o poverty, livelihoods and environment dynamics (PAPOLD) [Online Resource].http://www.worldagroorestrycentre.org/Sea/Projects/tulsea/node/5

icRaF. Rapid land tenure assessment (RaTA): a tool or identiying the nature o land tenure conicts [OnlineResource]. http://www.worldagroorestrycentre.org/Sea/Projects/tulsea/node/9

iFad. 009. Good practices in participatory mapping. Rome, International Fund or Agricultural Development.http://www.iad.org/pub/map/pm_web.pd

iied. Tools or understanding [Online Resource]. http://www.policy-powertools.org/Tools/Understanding/index.html

Js, R., c, B., nrk, S. & Mq, d. 005. Good, average, bad: law in action. Power ToolsSeries. Maputo, Mozambique, Terra Firma and London, IIED. http://www.policy-powertools.org/Tools/Ensuring/GAB.html

Kys. 009a. Developing a theory o change: a guide to developing a theory o change as a ramework or inclusive dialogue, learning and accountability or social impact. Impact Planning, Assessment and Learn-ing (IPAL) Guide . London. http://www.keystoneaccountability.org/sites/deault/les/%0Develop-ing%0a%0theory%0o%0change.pd

Kys. 009b. Theory o change template. London. http://www.keystoneaccountability.org/sites/deault/les/Theory%0o%0CHANGE%0template_July%0009.pd

lws, J. & nk, t. 0. Accessible technologies and FPIC: independent monitoring with orest com-munities in Cameroon. Participatory learning and action, 65: 5–65. http://pubs.iied.org/68IIED.html

Msr, h. 00. Institutional analysis in natural resources research. Greenwich, UK, Natural Resources Insti-tute. http://www.nri.org/publications/bpg/bpg.pd

Myrs J., n, J., Br, P. & Sb, B. 00. Forestry tactics: lessons learned rom Malawi’s national orestry programme. Policy That Works or Forests and People Series. London, IIED. http://pubs.iied.org/pds/9009IIED.pd

Myrs, J. & Bss, S. 00. Doing Policy Work. Policy that works or orests and people: real prospects or gov-ernance and livelihoods, Annex . London, IIED. http://pubs.iied.org/976IIED.html

Myrs, J. 005a. The Four Rs. Power Tools Series. London, IIED. http://www.policy-powertools.org/Tools/Understanding/TFR.html

Myrs, J. 005b. Stakeholder power analysis. Power tools series. London, IIED. http://www.policy-powertools.

org/Tools/Understanding/SPA.htmlMyrs, J. & Vrm, S. 005. Stakeholder inuence mapping. Power Tools Series. London, IIED. http://

www.policy-powertools.org/Tools/Understanding/SIM.html

M, M., tpp-Jørs, e. & Ps, M.K. 00. Preliminary manual or community based monitoringo natural resource use and orest quality (English and Swahili versions). Iringa, Tanzania, District Lands,Natural Resources and Environmental Oce. http://www.nordeco.dk/assets/79/Tz%0Monitoring%0Manual%0English.pd

M, P. & Mc, M. 006. Participatory GIS and local knowledge enhancement or community carbonorestry planning: an example rom Cameroon. Participatory Learning and Action, 5: 85–9. http://pubs.iied.org/G095.html

Mwy, d.M, Kmbw, R. & grm, K. 0. A toolkit to assess proposed benet sharing and revenuedistribution schemes o community REDD+ projects. REDD-Net. London, Overseas Development Institute.http://redd-net.org/les/Benet%0Sharing%0Toolkit.pd

n Bvrsy ary. 008. People’s biodiversity register: simplied methodology. Chennai, India.http://nbaindia.in/uploaded/docs/simplied_methodology_onpbr.pd

odi. Practical tools to improve skills and capacities [Online Resource]. Research and Policy in Developmentprogramme. London, Overseas Development Institute. http://www.odi.org.uk/programmes/research-and-policy-development/practical-tools-to-improve-skills-and-capacities

odi. 009. Mapping political context: drivers o change. London, Overseas Development Institute. http://www.odi.org.uk/resources/details.asp?id=599&title=drivers-change-dd-doc

orz Rsr Srvs. 00. Theory o change: a practical tool or action, results and learning.Baltimore, Maryland, USA, Annie E. Casey Foundation. http://www.aec.org/upload/publicationles/cc977k0.pd

Participatory Learning and Action [Journal]. London, IIED. http://www.iied.org/pla




Psr, K. 00. Tools or sustainable livelihoods: policy analysis. Brighton, UK, Institute o Development Studies.

Pry, J.n., gj, i., tmps, J. & Ss, i. 995. Participatory learning and action: a trainer’s guide.

London, IIED. http://pubs.iied.org/60IIED.htmlPRoFoR. 009. Field manual: poverty–orests linkages toolkit. Washington, DC, The Program on Forests.

http://www.proor.ino/proor/content/poverty-orests-linkages-toolkit-table-contents

Prrs. 008. Good practice guidelines or high conservation value assessments: toolkit – part 3: identiy-ing and managing high conservation values orests: a guide or orest managers. Oxord, UK. http://www.hcvnetwork.org/resources/global-hcv-toolkits/hcv-toolkit-part-.pd

Prrs. 009. Summary sheet: some rapid assessment techniques. Oxord, UK. http://www.hcvnetwork.org/resources/older.006-09-9.65885/Summary%0o%0Rapid%0Assessment%0Techniques.doc

Rrs F uK. Mapping or Rights [Online Resource]. http://www.mappingorrights.org/

Rmb, g., crb, J., Mc, M., os, R., Mm, J., Kwk Kym, P. & Wr, d. (s.) Map-ping or Change. Participatory learning and action, 5. http://www.planotes.org/pla_backissues/5.html

R, F. Undated. Overview o governance assessment tools: prepared or the core course on govern-ance and anticorruption. Washington, DC, World Bank. http://www.worldbank.org/publicsector/anti-corrupt/eb06course/recanatini%0Gov%0Tools.pd

Sks, M. 00. Community orest monitoring or the carbon market. London, Earthscan.Sr, d. & hv, i. 00a. Force eld analysis. Tools or policy impact: a handbook or researchers. London,

Overseas Development Institute (ODI). http://www.odi.org.uk/rapid/tools/Toolkits/Policy_Impact/Force-eld_analysis.html

Swr, c., gr, P., Ry, t. & nssbm, R. 008. Good practice guidelines or High ConservationValue assessments: a practical guide or practitioners and auditors. Oxord, UK, Proorest. http://www.proorest.net/publication/bibliog.008-07-8.8880088

try c cmmy. What is Theory o Change? [Online Resource]. http://www.theoryochange.org/about/what-is-theory-o-change/

uneP/iiSd. 007. Integrated environmental assessment training manual, Module 5, Step 6 – what is policy analysis? Nairobi, United Nations Environment Programme, and Winnipeg, Manitoba, Canada, Interna-tional Institute or Sustainable Development. http://www.unep.org/IEACP/iea/training/manual/mod-ule5/.aspx

uswr, S. & cf Rsr u. 007. Framework or strategic governance and corruption analysis:Developing strategic responses towards good governance. The Hague, Confict Research Unit, Netherlands

Institute o International Relations. http://www.clingendael.nl/publications/007/007000_cru_occ_unsworth.pd

Vrpk, J.J. & Zb, e. (s.) 009. A eld guide or assessing and monitoring reduced orest degradationand carbon sequestration by local communities.Twente, The Netherlands, Project team KYOTO: Think Global,Act Local (K:TGAL). http://www.communitycarbonorestry.org/Online%0Fieldguide%0ull%0.pd

Wr Bk. 007. Tools or institutional, political, and social analysis o policy reorm: a sourcebook or de-velopment practitioners. Washington, DC. http://siteresources.worldbank.org/EXTTOPPSISOU/Resourc-es/00-8507978/TIPs_Sourcebook_English.pd

ts r rz

38 Degrees http://www.8degrees.org.uk/

Appreciative Inquiry Commonshttp://appreciativeinquiry.case.edu/

Avaaz http://www.avaaz.org/

Bss, S., B, P., Myrs, J., dbs, o., Mrrs, e. & hwr, B. 998. Institutional change in pub-lic sector orestry: a review o the issues. Forestry and Land Use Series No. 12 London, IIED. http://pubs.iied.org/75IIED.html

Br, S. 009. Unlocking E-government potential: concepts, cases and practical insights. New Delhi, India,Sage Publications.

Brkm, l. & ewrs, K. 00. The art o building cacilitation capacities. A training manual. Bangkok, Re-



ANNEXES 5

gional Community Forestry Training Center (RECOFTC).

csré, t & P, M. 0. Forest Governance 2.0: a primer on ICTs and governance. Washington, DC, The

Program on Forests (PROFOR) and World Bank http://www.proor.ino/proor/sites/proor.ino/les/docs/Forest%0Governance_web.pd

crskr Br, d. 0. Making benet sharing arrangements work or orest-dependent communi-ties: Overview o insights or REDD+ initiatives. Washington, DC, The Program on orests (PROFOR). http://www.proor.ino/sites/proor.ino/les/docs/REDD_Part%0I.pd

crskr Br, d., Sr, K., Rsbm, K., a, i. & d, c. 009. Rethinking or-est partnerships and benet sharing: insights on actors and context that make collaborative arrangementswork or communities and landowners. Washington, DC, World Bank. http://www.proor.ino/proor/sites/proor.ino/les/Benet_Sharing_WEB_0.pd

csr, M., ap, t., lr, M., M, a. & Pk, n. 00. Bridging the gap: communities,orests and international networks. Occasional Paper 41. Bogor, Indonesia, Centre or International ForestryResearch (CIFOR). http://www.cior.org/publications/pd_les/OccPapers/OP-.pd

ds, F., oky, l., Jms, R. & Wry, R. 006. Coaching and mentoring or leadership development incivil society. Praxis Paper No. . Oxord, UK, International NGO Training and Research Centre (INTRAC).http://www.intrac.org/resources.php?action=resource&id=7

dFid. 00. Promoting institutional and organisational development: a source book o tools and techniques.London. http://webarchive.nationalarchives.gov.uk/+/http://www.dd.gov.uk/pubs/les/prominstdevs-ourcebook.pd

e tr u. Community organisers toolbox [Online Resource]. Johannesburg. http://www.etu.org.za/toolbox/

eldF/iied. 005. Legal literacy camps. Power Tools Series. New Delhi, Enviro-legal deence rm, and London,IIED. http://www.policy-powertools.org/Tools/Ensuring/LLC.html

er, c. & t, h. 00. Advocacy, lobbying and negotiation skills. What to do with REDD? A man-ual or indigenous trainers, module 5. Asia Indigenous Peoples Pact (AIPP), Forest Peoples Programme,International Work Group or Indigenous Aairs (IWGIA) and Indigenous Peoples’ International Centreor Policy Research and Education (TEBTEBBA). http://www.orestpeoples.org/sites/pp/les/publica-tion/00/08/reddtrainingmanualmar0eng.pd

Fao. 00. Community-based orest resource conict management: training package, Vols. and . Rome.http://www.ao.org/DOCREP/005/Y00E/Y00E00.HTM andhttp://www.ao.org/DOCREP/005/Y0E/Y0E00.HTM

Fao. 005. The new role o the proessional: the Facilitator. participatory and negotiated territorial develop-ment (PNTD), p. 50. Rome. http://www.ao.org/sd/dim_pe/pe_0500a_en.htm

Fao. 009. Enhancing stakeholder participation in national orest programme: tools or practitioners, P. O’Hara,Section C. Rome. http://www.ao.org/docrep/0/i858e/i858e00.pd

Fao. 0a. Community-based tree and orest product enterprises: market analysis and development, I. Lecup.Rome. http://www.ao.org/docrep/0/i9e/i9e00.pd

Fao. 0b. Drating community orestry agreements: rom negotiation to signature – a practitioner’s view,K.L. Rosenbaum. FAO Legal Papers Online, No. 86. Rome. http://www.ao.org/leadmin/user_upload/le-gal/docs/lpo86.pd

Flo. 0. Fairtrade standards or timber or orest enterprises sourcing rom small scale producers. Bonn, Ger-many, Fairtrade Labelling Organizations International. http://www.airtrade.net/leadmin/user_upload/content/009/standards/documents/0-0-0_EN_Fairtrade_Standard_or_Timber.pd

gmr, d. & Sr-Ms P. 005. Evaluation report on project ‘Strengthening Participatory Approachesto Forest Management in Ghana, Guyana & Uganda’. London, DFID. http://www.dd.gov.uk/rd/Pro-

ject/6005/Deault.aspxgbbs, P. & Kss, c. 000. From the Roots Up: Strengthening organizational capacity through guided sel-

assessment. Oklahoma City, Oklahoma, USA, World Neighbors http://www.rmportal.net/library/content/tools/biodiversity-conservation-tools/putting-conservation-in-context-cd/capacity-building-and-or-ganizational-development-resources/Excerpts-From-the-Roots-Up-Strengthening-Organizational-Ca-pacity-through-Guided-Sel-Assessment/view

Krsswsk, K. & dvs, M. 005. Organising pitsawyers to engage. Power Tools Series. Uganda, Budon-go Community Development Organisation, and London, IIED http://www.policy-powertools.org/Tools/Organising/OPE.html

lm, J.d., Wy, d., Mr, B.J. & gr, t.J. 00. The appreciative inquiry summit: a practitioner’s




guide or leading large group change. San Francisco, Berrett-Koehler.

Mq, d.J., ckrbr, l., Br, S., d, S., Psss, P., grs, a., grws, S., gyw,

S., hy, J., hw, d., Kmr, Y., Kw, P., Mr, R., Py, S., P, n., Sb, B. & Vr-m, S. 0. Strengthening community enterprise organisations. Supporting small orest enterprises: A acilitators toolkit, Module . Small and Medium Forest Enterprise Series, No. 9. London, IIED. http://pubs.iied.org/558IIED.html

Myrs, J. & Vrm, S. 00. Company-community orestry partnerships: rom raw deals to mutual gains? London, IIED. http://pubs.iied.org/9IIED.html

Myrs, J., Bry, P., dw, c., Ksm, B,. l, c., Mq, d., Mrrs, e., Mss, M.,opk, K., nb, S., Sb, B., t, n.g., twsy, B. & Vrm, S. 009. Just orest governance:how small learning groups can have big impact. IIED Brieng. London, IIED. http://pubs.iied.org/7070IIED.html?c=orestry

oz, S. & Rs, i.l. 006. Provoking change: a toolkit or Arican NGOs. Brussels and Moreton-in-Marsh,UK, FERN. http://www.ern.org/sites/ern.org/les/provokingchange_LR.pd

Psr, K. 00. Changing organisations or sustainable livelihoods: a map to guide change. Lessons orchange in policy and organisations, No. . Brighton, UK, Institute o Development Studies (IDS). http://www.eldis.org/vle/upload//document/08/KP_chang.pd

Prs, e.R. & Brr, K.a. 007. How to get ocus groups talking: new ideas that will stick. International Journal o Qualitative Methods 6(): 0–. https://ejournals.library.ualberta.ca/index.php/IJQM/arti-cle/viewFile/60/577

Prwrscprs/WBcSd. 009. Sustainable orest nance toolkit. New York, Pricewaterhouse-Coopers, and Geneva, World Business Council or Sustainable Development. http://www.pwc.co.uk/sustainability-climate-change/issues/orest-nance-home.jhtml

Sagun Prrm/caRe np. 008. Tools used in strengthened actions or governance in utilization o natu-ral resources (SAGUN) program. Tool 3: participatory governance assessment. CARE Nepal with World WideFund or Nature (WWF) Nepal, Resource Identication and Management Society (RIMS) Nepal and Fed-eration o Community Forestry Users (FECOFUN), Nepal. http://www.carenepal.org/publication/_SA-GUN_PGA.pd

Srr, S., W, a. & Kmwz, d. 00. Making markets work or orest communities Policy Brie, Wash-ington, DC, Forest Trends and Center or International Forestry Resesarch (CIFOR). http://www.cior.org/nc/online-library/browse/view-publication/publication/85.html

Srr, o. 008. Appreciative inquiry. Knowledge Solutions Series. Manila, Asian Development Bank. http://

www.adb.org/Documents/Inormation/Knowledge-Solutions/Appreciative-Inquiry.pd Sr, W.d., hr, J. & l, M. 008. From exclusion to ownership? Challenges and opportunities in

advancing orest tenure reorm. Washington, DC, Rights and Resources Initiative (RRI). http://www.right-sandresources.org/publication_details.php?publicationID=76

tai. 00. Advocacy and policy change workbook. Washington, DC, The Access Initiative, World ResourcesInstitute (WRI). http://www.accessinitiative.org/resource/advocacy-toolkit-tai

u Frsry Sr Py Sry Prj. Understanding what will work: pilot projects or exten-sion service delivery reorm. Uganda National Forest Programme (NFP) Process Learning Series, Note .Forestry Inspection Division, Uganda Ministry o Water Land and Development, London, DFID, and Ed-inburgh, LTS International. http://webarchive.nationalarchives.gov.uk/+/http://www.dd.gov.uk/Docu-ments/publications/ugandanpseries.pd

VKs l. & Mr, V. 007. Alliances and coalitions. A new weave o power, people and politics: The ac-tion guide or advocacy and citizen participation. Sterling, Virginia, USA, Stylus Publishing, and Rugby, UK,Practical Action Publishing. http://www.justassociates.org/ActionGuide.htm

ts r

ars, P. 0. Free, prior, and inormed consent in REDD+: principles and approaches or policy and project development. Bangkok, Regional Community Forestry Training Center (RECOFTC), and Eschborn, Germa-ny, GIZ. http://www.recotc.org/site/uploads/content/pd/FPICinREDDManual_7.pd

Brkr, K. 008. Community radio start-up inormation guide. Ottawa, Ontario, Canada, Farm Radio Interna-tional. http://www.amarc.org/documents/manuals/community-radio-start-up-guide_e.pd



ANNEXES 7

Brkm, l. & ewrs, K. 00. The art o building cacilitation capacities: a training manual. Bangkok, Re-gional Community Forestry Training Center (RECOFTC).

csr, M. w Bs, M., crrs-hrms, a., d g, F., dmpsy, J., lsyr,g.,obzsk, K., Pmmr, d., Rrs, M., Smbr, S. n., t, n., Vrs Rs, M. t. & Ws,a. 006. Justice in the orest: rural livelihoods and orest law enorcement Bogor, Indonesia, Center or Inter-national Forestry Research (CIFOR).http://www.proor.ino/proor/sites/proor.ino/les/Justice-Forest-Colchester.pd

cr, J. & Y, J. 00. Bridging research and policy: insights rom 50 case studies. London, Overseas Devel-opment Institute (ODI). http://www.odi.org.uk/resources/docs/80.pd

d, a. 0. Strengthening world vision policy advocacy: a guide to developing advocacy strategies. London,Overseas Development Institute (ODI). http://www.odi.org.uk/sites/odi.org.uk/les/odi-assets/publica-tions-opinion-les/76.pd

ems, d. & Wbr, e. 00. A strategic approach to multi‐stakeholder negotiations. Development and change (): –5. http://portals.wi.wur.nl/les/docs/msp/EdmundsWollenberg.pd

eswr, l. & W, a. 00. Deeper roots: strengthening community tenure security and community liveli-hood. New York, Ford Foundation. http://www.ordoundation.org/pds/library/deeper_roots.pd

Fao. 005. Participatory and negotiated territorial development (PNTD). Rome. http://www.ao.org/sd/dim_

pe/pe_0500a_en.htmFao. 007. Reaching consensus. Multi-stakeholder processes in orestry: experiences rom the Asia-Pacic region.

Rome. http://www.ao.org/docrep/00/ai90e/ai90e00.htm

Fao. 009. Enhancing stakeholder participation in national orest programmes: Tools or practitioners, P. O’Hara.National Forest Programme Facility, Rome. http://www.ao.org/docrep/0/i858e/i858e00.pd

Fao. 00. Developing efective orest policy – A guide. Rome. http://www.ao.org/docrep/0/i679e/i679e00.htm

Frs Pps Prrmm. 008. Free, prior and inormed consent and oil palm plantations: a guide or companies.Moreton-in-Marsh, UK. http://www.orestpeoples.org/sites/pp/les/publication/009//pican-drspocompaniesguideoct08eng.pd

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hsm, P & Vj, n. 00. The pathnder. Switzerland, Pi Environmental Consulting and WWF. http://www.piec.biz/pathnder/index.html

hwks, S., nw, M., Rbr, d., S, R., ls, R. & Szm, J. 00. Contracting or Forest carbon:elements o a model orest carbon purchase agreement. USA, Duke Law, Forest Trends, and the KatoombaGroup. http://www.orest-trends.org/documents/les/doc_558.pd

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Mq, d.J., ckrbr, l., Br, S., d, S., Psss, P., grs, a., grws, S., gyw,S., hy, J., hw, d., Kmr, Y., Kw, P., Mr, R., Py, S., P, n., Sb, B. & Vr-m, S. 0. Policy Research or Change. Supporting small orest enterprises: a acilitators toolkit, Mod-ule 6. Small and Medium Forest Enterprise Series, No. 9. London, IIED. http://pubs.iied.org/558IIED.html

Myrs, J. & Bss, S. 00. Policy that works or orests and people: real prospects or governance and liveli-




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VKs, l. & Mr, V. 007. A new weave o power, people & politics: the action guide or advocacy and citizen participation.Rugby, UK, Practical Action Publishing. http://www.justassociates.org/ActionGuide.htm

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ANNEXES 9

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unece. 00. Guidance document on the Aarhus convention compliance mechanism. Geneva, United Nations Eco-nomic Commission or Europe. http://www.unece.org/env/pp/compliance/CC_GuidanceDocument.pd

un-Redd. 00. Guidelines or providing access to recourse or UN-REDD programme stakeholders, includingindigenous peoples and orest dependent communities [Drat]. Geneva, United Nations Collaborative Pro-gramme on Reducing Emissions rom Deorestation and Forest Degradation in Developing Countries.



I mp r ov I n g

g ov e r na n c e

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F A O

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portunities and

and directs you

ate to how you

and what type o

acing. It then lays

6 tools described

, in some depth.

ppropriateness in

d or the amount

d to use them. A

ked bibliography

ration.

A practical guide

Improvigoverna

of forest tenment

Governance o tenure technical guides

FAO. 2013. Governing land for women and men: a technical guide to

support the achievement of responsible gender-equitable governance of

land tenure. Governance o tenure technical guide No. 1. Rome.



uman well-being and the health o our

whole planet depend on whether and how

we grow and look ater orests. So who gets to

decide about who owns and controls the orests

and how – the ‘governance o orest tenure’ - is

prooundly relevant or us all. This technical guide

on Improving governance of forest tenure is or

those who want to try to improve the governance

o orest tenure. It helps you to take action in

our critical areas – ‘understanding’, ‘organizing’,

‘engaging’ and ‘ensuring’ – to improve decision-

making about orest goods and services. It starts

by highlighting some key opportunities and

challenges in governance today and directs you

to urther inormation, appropriate to how you

identiy yoursel as a stakeholder and what type o

opportunity or challenge you are acing. It then lays

out a toolkit containing some 86 tools described

in summary orm and 9 key tools, in some depth.

These tools are labelled or their appropriateness in

diferent governance contexts and or the amount

o time, money and skills needed to use them. A

glossary and extensive Web-linked bibliography

are also provided or urther inspiration.

H

Food and Agriculture Organization

o the United Nations (FAO)

Viale delle Terme di Caracalla

00153 Rome, Italy

[email protected]

International Institute or Environment

and Development (IIED)

80-86 Gray’s Inn Road

London WC1X 8NH

[email protected]

Contact