| United Nations | E/CN.17/IPF/1996/14 |
Economic and Social Council
Distr. GENERAL
16 August 1996
ORIGINAL: ENGLISH
COMMISSION ON SUSTAINABLE DEVELOPMENT
Ad Hoc Intergovernmental Panel on Forests
Third session
9-20 September 1996
Item 2 of the provisional agenda
IMPLEMENTATION OF FOREST-RELATED DECISIONS OF THE
UNITED NATIONS CONFERENCE ON ENVIRONMENT AND
DEVELOPMENT AT THE NATIONAL AND INTERNATIONAL
LEVELS, INCLUDING AN EXAMINATION OF SECTORAL AND
CROSS-SECTORAL LINKAGES
Programme Element I.1: Progress in national forest
and land-use plans
Report of the Secretary-General
SUMMARY
An analysis of the approaches used by countries in different regions to
programme and implement the conservation, management and sustainable
development of all types of forests shows that significant progress has been
made in both developed and developing countries in adopting new policies and
strategies and in preparing plans and programmes of action. However, the
concrete application of those policies, strategies, plans and programmes is
facing a series of obstacles which need to be overcome. The obstacles appear
at both national and global levels and can be grouped into four categories:
Policy and institutional reforms, Investment programming and funding,
Capacity-building, and International cooperation.
At the national level, actions to be considered to overcome these
obstacles depend on the political, social and economic situation of each
country. However, some key actions should be considered by all countries,
such as decentralization of operational planning and implementation;
establishment of intersectoral coordination and consultation; true involvement
of interested parties at all levels, in particular indigenous people, local
communities and women; redefinition of the role of the public sector and
private institutions; development of incentive systems; provision of access to
training and education opportunities for all actors; establishment of a strong
national leadership for donor coordination, when necessary; and simplification
of administrative procedures and bureaucracy.
At the global level, actions to be considered for supporting the efforts
of countries include harmonization of international agreements; enhancement of
cooperation between international institutions; mobilization, reinforcement
and better utilization of international assistance and private-sector
financing; establishment of innovative partnership mechanisms; and respect for
national leadership.
The document proposes that, in order to advance the agenda on this
programme element, the Panel endorse the concept and basic principles of
national forest programmes. The Panel may also wish to consider the following
four themes for addressing obstacles to the implementation of national forest
programmes: sectoral planning, policies and institutions; investment
programming; national capacity-building; and international cooperation.
Finally, the necessity of a global consensus for the promotion,
improvement and support of national forest programmes is stressed, and it is
suggested that the Panel consider institutional options for reinforcing the
efficiency of international cooperation and collaboration.
CONTENTS
Paragraphs Page
INTRODUCTION ............................................. 1 - 7 4
I. OUTCOME OF DISCUSSIONS HELD BY THE PANEL AT ITS SECOND
SESSION ............................................ 8 - 13 5
II. WORKING DEFINITIONS ................................ 14 - 32 6
A. Forests and forest lands ....................... 15 - 17 6
B. Forest sector .................................... 18 6
C. Planning, strategy, policy ..................... 19 - 24 7
D. National forest programmes ..................... 25 - 27 8
E. Forest and land uses ........................... 28 - 32 9
III. FUTURE CHALLENGES .................................. 33 - 48 10
A. Policy and institutional reforms ............... 34 - 37 10
B. Investment programming and funding ............. 38 - 42 11
C. Capacity-building .............................. 43 - 45 12
D. International cooperation ...................... 46 - 48 13
IV. PROPOSALS FOR ACTION ............................... 49 - 100 13
A. Concept and basic principles of national forest
programmes ..................................... 50 - 65 13
B. Planning and implementation .................... 66 - 98 15
C. International consultation on forests .......... 99 - 100 21
INTRODUCTION
1. The present document reports on the implementation of decisions of the
Commission on Sustainable Development relating to programme element I.1 of
the work programme of the Ad Hoc Intergovernmental Panel on Forests (IPF),
Implementation of the United Nations Conference on Environment and
Development decisions related to forests at the national and international
levels, including an examination of sectoral and cross-sectoral linkages.
It reports on progress being made through national forests and land-use
plans and programmes, taking into account discussions held in previous
sessions of IPF and other relevant national, regional and international
forums.
2. The work under this programme element is guided by chapter 11 of
Agenda 21, 1/ the Non-legally Binding Authoritative Statements of
Principles for a Global Consensus on the Management, Conservation and
Sustainable Development of All Types of Forests (Forest Principles), 2/ and
the decisions taken by the Commission on Sustainable Development 3/ at its
third session and further elaborated by IPF at its first and second
sessions (E/CN.17/IPF/1995/3 and E/CN.17/IPF/1996/24).
3. The Commission defined programme element I.1 as a need to consider
"actions to promote progress through national forests and land-use plans
and programmes in implementing the Forest Principles, and chapter 11 and
other chapters related to forests in Agenda 21, through an open,
transparent and participatory process involving Governments and all
interested parties, including major groups, particularly indigenous people
and local communities". 4/
4. Subsequently the Panel, at its first session, emphasized that the
preparatory work should be "based on the provisions of the Non-legally
Binding Authoritative Statement of Principles for a Global Consensus on the
Management, Conservation and Sustainable Development of All Types of
Forests, and would benefit from consideration of regional initiatives and
regional dimensions. The preparatory work should include the preparation
of a report on all types of forests, presenting an overview of current
approaches to national strategies, including links between national forest
plans and sustainable development strategies/plans, and land-use plans,
including ecosystem management aspects, and sectoral plans; and a synthesis
of lessons learned, including lessons learned from participatory forest
management approaches at the national and field levels. The preparatory
work should also include a report on an assessment of progress made in
implementing national forest and integrated land-use plans and should
identify gaps in need of further attention. It should also focus on
improved cooperation and implementation by national Governments of
bilateral and multilateral forest-related planning activities and
programmes, and the use of national-level participatory approaches to that
end." 5/ The Panel also decided to schedule programme element I.1 for
initial discussion at its second session (Geneva, 11-22 March 1996), and
for substantive discussion at its third session (Geneva, 9-20 September
1996).
5. The present report was prepared by the Food and Agriculture
Organization of the United Nations (FAO), as lead agency for programme
element I.1, in consultation with the secretariat of the Ad Hoc
Intergovernmental Panel on Forests in the Division of Sustainable
Development of the Department for Policy Coordination and Sustainable
Development of the United Nations Secretariat. It also benefited from the
Expert Meeting on Financial Mechanisms and Sources of Finance for
Sustainable Forestry (Pretoria, 4-7 June 1996), co-sponsored by Denmark,
South Africa and the United Nations Development Programme (UNDP) and
attended by 29 developing and 11 developed countries; the Expert
Consultation on Implementing the Forest Principles: Promotion of National
Forest and Land-use Programmes (Feldafing, Germany, 16-21 June 1996),
sponsored by Germany and attended by experts from 31 developing and 36
developed countries; and the FAO regional forestry commissions and the
Forest Advisors Group (FAG). It takes into consideration paragraph 13 of
the statement on biological diversity and forests from the Convention on
Biological Diversity to the Intergovernmental Panel on Forests
(UNEP/CBD/COP/2/19).
6. Subsequent IPF deliberations on this topic will benefit from the
outcome of an expert meeting on sustainable forestry and land use, co-
sponsored by Sweden and Uganda and to be held in Stockholm in October 1996;
and a seminar on the implementation of sustainable forest management at the
regional and local levels, co-sponsored by Japan, Canada and FAO, to be
held in Tokyo in November 1996.
7. The present document builds upon the Secretary-General's report to IPF
at its second session (E/CN.17/IPF/1996/8) and the outcome of its
discussions at that session (E/CN.17/1996/24) and, based on the Panel's
observations and on a broader situation analysis of ongoing planning
frameworks adopted in the different regions, presents more consolidated
proposals on basic principles of national forest programmes applicable to
all types of forests for the Panel's consideration.
I. OUTCOME OF DISCUSSIONS HELD BY THE PANEL AT ITS
SECOND SESSION
8. During deliberations at its second session, the Panel considered
national forest programmes as the main tool for planning and implementing
forest-related activities and noted that considerable efforts had been
directed towards planning and policy reforms in all regions, particularly
in developing countries. The quantity and quality of national, regional
and international initiatives relating to forests were viewed as testimony
of Governments' commitment to the conservation, management and sustainable
development of forests.
9. While acknowledging the difficulties faced by many developing
countries in their efforts to comply with the demands of the several
internationally recognized sectoral planning frameworks directly or
indirectly relating to forests, the Panel stressed the importance of
"planning" for addressing the complex issue of the sustainability of forest
resources.
10. The term "national forest programme" was understood to be a generic
expression for a wide range of approaches to the process of planning,
programming and implementing forest activities in countries, comprising
both the planning of forest-sector activities, including the formulation of
policies, strategies and action plans, and their implementation, including
monitoring and evaluation.
11. It was also recognized that there was need for a more participatory,
integrated and cross-sectoral approach to forest planning and
implementation, taking into account the needs and requirements of all
interested parties and the policies and actions being promoted by other
sectors, particularly those relating to often conflicting alternative land
use.
12. Special emphasis was given to the fact that national Governments
should decide on the most appropriate planning framework for addressing
sustainable forest management and development. That approach was more
likely to result in a stronger sense of ownership and political commitment
by Governments and all participating partners.
13. The Panel recognized the importance of international cooperation for
the management, conservation and sustainable development of forests,
particularly in developing countries, in spite of the fact that it was each
country's responsibility to develop policies that would create an enabling
environment for private, bilateral and multilateral investments in the
forest sector.
II. WORKING DEFINITIONS
14. As requested by the Panel at its second session, the terminology used
in the present document has been analysed and modified so as to be
consistent with that used in the Forest Principles 2/ and in chapter 11 of
Agenda 21. 1/ It covers all forest types and utilization patterns in
developing countries, developed countries and countries with economies in
transition.
A. Forests and forest lands
15. Forests - whether natural, modified, or planted - are biotic
communities characterized by a predominance of woody vegetation. They are
found in all climatic zones (boreal, temperate, tropical and mountainous)
and may take the form of closed canopy forests or of open canopy woodlands.
They comprise all the components of the forest ecosystems and their natural
resources.
16. Forest lands may be covered by forests or degraded - that is devoid of
trees or not maintained in a sustainable manner.
17. Forests and forest lands should be viewed as one part of a complex
variety of land uses, together with their human and societal relationships,
and not as an independent biophysical entity.
B. Forest sector
18. The term "forest sector" refers to all the biological, ecological,
social, economical, cultural and religious dimensions of trees and forests.
It includes not only the components of the forest ecosystems - either
natural or artificial, including single trees or rows of trees in rural
areas - but also the human activities relating to the existence and
utilization of those ecosystems and trees and the human beings, actors
and/or beneficiaries of those activities, particularly those who live in
and around the forests.
C. Planning, strategy, policy
19. These three terms refer to long-term processes. Planning is the
systematic process of examining the future and defining policies,
strategies and actions to achieve goals. A strategy is a broad course of
action, chosen from among alternatives to attempt to achieve clearly
defined goals. A policy is a course of action adopted and pursued by a
Government, political party, community or the private sector, according to
desired social and economic objectives.
1. Strategic forest-sector planning
20. Strategic forest, or forest-sector, planning is a continuous process
of taking decisions and actions about alternative ways of conserving and
using trees and forests, with the intent of achieving specific goals in the
medium and long term. It is a way to visualize and define actions to
expand the flow of social, cultural, economic and environmental benefits
from trees, forests and wooded lands. It is a complex and dynamic
iterative process of proposing, testing, evaluating and learning. It can
be viewed as a regulatory structure effecting changes in a desired
direction, considered as progress. The Forest Principles represent an
internationally accepted set of guidelines for recommended changes.
21. A forest, or forest-sector, plan is the main result of the forest-
sector planning process. Forest-sector plans are usually prepared for an
entire country and are therefore referred to as national forest plans.
Countries also devise forest-sector plans at the subnational level (state,
province, region) and even at the local level (district, commune, village).
A plan can exist on one of three levels:
(a) A normative level, linked to the goal or mission. A plan
prepared only at this level is often referred to as a policy;
(b) A strategic level, action-oriented and meant to provoke change.
A plan at this level is often referred to as a strategy;
(c) An operational level, which entails programming or actions
required to implement the strategy. This level is referred to as a plan,
or programme, of action.
2. Operational planning
22. Operational planning is a process of decision-making (and action)
concerned with the programming in time and space of a series of activities,
with a view to addressing a specific issue or set of issues or solving
problems. Whereas strategic planning is mainly concerned with policy
directions, operational planning is about the details of implementation.
It is usually short-term, as opposed to strategic planning, which is
medium-to-long term.
3. Decentralized planning
23. Decentralized planning is a process of empowering subnational and
local-level authorities/institutions in the decision-making and
implementation processes. It involves both a greater level of autonomy and
strong interdependent links with other institutions of the same level and
with central-level institutions. Two main virtues of decentralized
planning are that it empowers subnational institutions with their own
improvement goals and it allows them to take advantage of their special
priorities, capabilities and forest conditions.
4. Participatory planning
24. Through participatory planning, all concerned actors will be invited
to participate in the decision-making process and in the implementation of
the actions jointly decided upon. The actors will normally include
different governmental sectors, particularly those that are closely related
to the forest sector, governmental institutions at the subnational and
local levels, the private sector, community-based organizations and
non-governmental organizations.
D. National forest programmes
25. The term "national forest programme" is understood to be a generic
expression for a wide range of approaches to the process of planning,
programming and implementing forest activities in countries. National
forest programmes comprise both the planning of forest-sector activities,
including the formulation of policies, strategies and action plans, and
their implementation, including monitoring and evaluation.
26. In many countries, the words "programme" and "plan" are used
interchangeably, and "strategy", "forest strategy" or "national strategy"
may be used to designate a process similar to that of national forest
programmes. In the present report, the expression "national forest
programme" is used to designate the process used by a country to deal with
forest issues, including the planning and implementation of forest and
forest-related activities. The expression "national forest plan" refers to
the results of the planning process.
27. The purpose of national forest programmes is to establish a workable
social and political framework for forest conservation, management and
sustainable development. National forest programmes are part of a
political process in the sense that orientations and decisions are the
outcome of debates, negotiations, controversies and compromises on the part
of all interested actors, often with different opinions on what should be
the appropriate policy and course of action. It is important to make a
clear distinction between national forest programmes as part of a process
and some of the results of the process, which are specific policy
statements, strategies, or programmes (or plans) of action.
E. Forest and land uses
1. Integrated land management
28. Integrated land management is a logical sequence of procedures that
identify needs in terms of human and environmental requirements, develop
possible land-use options and suggest the combination of options that would
optimize achievement of those requirements on a sustainable and long-term
basis. It is the subject of chapter 10 of Agenda 21. 2/
2. Land-use planning
29. Land-use planning deals with the nature and the value of land and how
they determine its sustainability for different purposes. Land-use
planning takes place at different levels and scales, from global to local.
It stipulates the advantages and disadvantages of imposing a specific use
on a particular unit of land, based upon physical, economic and social
criteria. Land-use planning is a tool for integrated land management. It
recognizes the multiple uses of a given landscape and the close interface
between forests and other sectors - for example, agriculture.
3. National forest and land-use plans
30. The phrase "national forest and land-use plans" was chosen by the
Commission in reference to chapter 11 of Agenda 21, which requests
Governments "to prepare and implement, as appropriate, national forestry
action programmes and/or plans for the management, conservation and
sustainable development of forests" which "should be integrated with other
land uses". 6/ In addition, Governments should review and, if necessary,
revise "measures and programmes relevant to all types of forests and
vegetation, inclusive of other related lands and forest-based resources",
relate them to other land uses and development policies and legislation,
and promote "adequate legislation and other measures as a basis against
uncontrolled conversion (of forests) to other types of land uses". 7/ This
term recognizes that forests have a cross-sectoral dimension and that
planning for forest land cannot be undertaken effectively without
consideration of competitive uses.
31. The generic expression "national forest programmes" includes reference
to land-use planning and integrated land management. Therefore, it is
suggested that the Panel use "national forest programmes" instead of
"national forest and land-use plans".
32. At the local level (village or community level, district level),
sustainable development entails many aims and objectives, such as
eliminating poverty and raising living standards, increasing food
production, improving the quality of human settlements, halting the spread
of desertification, preventing deforestation, preserving biodiversity and
managing existing forests. Each gives rise to different and often
competing programmes, with different objectives, institutional
responsibilities and budgets and vested interests at the national and
international levels. Therefore at the local level, a national forest
programme must be considered a component of an integrated development
programme; at the national level, a national forest programme must be
considered an integral component of the national sustainable development
strategy/plan.
III. FUTURE CHALLENGES
33. The success of a national forest programme depends on the given
country's capacity to overcome a series of obstacles, which can be grouped
into the four categories discussed below.
A. Policy and institutional reforms
34. Countries should be able to identify and correct policies that have
negative effects on the sustainability of forests. Such policies are often
external to the forest sector and are mostly related to:
(a) Inappropriate taxes, subsidies and pricing practices for
alternative land-use activities which result in harmful externalities such
as deforestation and/or loss of biodiversity;
(b) The land tenure system, physical infrastructure and/or other
factors that can affect investments in the forest sector;
(c) Undervaluation of forests, cost internalization and the
possibility of reinvestment of revenues in forest management.
35. Existing policies should allow for transparency and full participation
of all interested parties in both developed and developing countries. This
will enable countries better to identify their priorities by properly
addressing the question, Trees and forests for whom and for what? through
appropriate strategies which enable them to seek the views of all concerned
groups and individuals that would otherwise be underrepresented.
36. In many countries, the difficulty encountered lies more in
inconsistency or lack of implementation than in the non-existence of good
policies. Therefore, the enforcement of legislation and application of
policy guidelines through appropriate means are of paramount importance for
sustainable forest development.
37. In some circumstances the reorganization of governmental structures is
necessary. The reforms should cover a redefinition of roles, functions and
human resource needs, among others.
B. Investment programming and funding
1. Decentralized planning and programming
38. Decentralized planning and programming is now generally recognized to
be the main approach for promoting sustainable forest management and
development at the national level. For its effectiveness, the approach
includes:
(a) Use of clearly defined administrative units (e.g., districts,
provinces or regions of a country) as the basis for the programme design;
(b) Use of participatory rural appraisal and/or other bottom-up
planning tools to define local problems, priorities and opportunities, as
experienced by the local people, and drawing upon local knowledge and
technologies to identify the most appropriate solutions;
(c) Use of intersectoral need-based interventions. This implies that
intersectoral cooperation and coordination are promoted at the local level
in all matters related to natural resource management (soil conservation,
forestry, agriculture, animal husbandry, etc.);
(d) Designing programmes as demand-driven processes which recognize
that local priorities and constraints change. Emphasis is placed on
participatory monitoring of the results of actions taken and on making use
of, or setting up, local representative structures to discuss and agree on
objectives, strategies and actions;
(e) Finding simple and innovative ways to deliver financial
incentives or in-kind contributions to individual producers (e.g., through
community-based organizations, producers' associations, non-governmental
organizations, foundations, local banks), and designing self-financing
structures at the national and local levels (e.g., revolving funds).
2. Investment and funding
39. Governments very often implement part of the investment programme
through State enterprises and administrations (e.g., forestry education and
training, research). Special focus on improving conditions for investments
by private enterprises, local communities and individuals is essential.
This can be accomplished by removing constraints and disincentives through
policy reforms and by introducing appropriate incentives through a
decentralized investment programme. The incentive system should reflect
the different time perspectives of the individual and the society and the
value which is given by the society to the various benefits of forests, and
not only the commercial benefits.
40. Incentives can be delivered through either national or local
arrangements or a combination of the two, depending on what is feasible in
a particular country. To be efficient and effective, the systems must be
administratively simple, facilitate coordination of the financial and
technical contributions from various sources and ensure that the structures
do not absorb a disproportionate share of funds.
41. National funding and external funding should be secured through
budgeting and partnership agreements. When many donors are involved,
agreements should be collective rather than individual, and legal aspects
should be analysed and envisaged. Where conditions permit, donors and
financing institutions should participate in the financing of forestry
development funds which combine financing from various national and
international sources, either at the central or local level. The main
implications of this approach for financing agencies would be:
(a) The use of local administrative units as a basis for designing
supported programmes;
(b) Flexible programme design where individual programme components
(training, funds for local development, contracting, institutional
strengthening etc.) can be added and/or removed, based on actual demand;
(c) Increasing reliance on local resources, both material and human,
including indigenous people, in programme implementation;
(d) The use of participatory structures for programme management and
the definition of transparent mechanisms for the control of funds at local
level.
42. The emphasis on decentralized funding structures would contribute to
successful implementation.
C. Capacity-building
43. Capacity-building should be based on a clear definition of the roles
and mandates of public-sector institutions, the private sector and people's
associations. Priority areas of action should be identified for capacity-
building and the overall framework for providing assistance established.
44. In addition to traditional capacity-building (e.g. training,
education, research, development of management systems), measures should be
taken on three key issues:
(a) Establishing the conditions which enable public-sector
institutions to achieve and maintain high ethical standards and attract
competent individuals (e.g., financial autonomy of forestry institutions,
retention of a percentage of stumpage fees, and royalties for salary
supplements and other staff incentives);
(b) Developing adequate skills and administrative procedures for
managing and supervising the implementation of forest programmes by the
private sector and local communities. These skills would include managing
funds, conducting competitive bidding, assessing economic and natural
resources and monitoring the results of implementation;
(c) Developing information systems (e.g., land-use, forest resource
and biodiversity inventories, monitoring trade in forest products,
monitoring timber harvesting and revenue collection) to form the basis for
assessing the effectiveness and efficiency of the existing policies and
policy instruments.
45. For the private sector, non-governmental organizations and
community-based organizations, whose role is increasing in the
implementation of development activities, capacity-building would result in
improved technical capacity and mechanisms for their participation and
empowerment.
D. International cooperation
46. International cooperation should be considered at the national,
regional and international levels. At the country level, the approach
should be based on strong national leadership, making use of local
organizations, administrative arrangements and human resources in
implementing programmes and activities and thus strengthening them.
47. At the regional level, the focus should be on cooperation on common
problems or on issues that are transboundary in nature. South/South
cooperation, focusing mostly on exchange of information and transfer of
technology, could also be very effectively addressed.
48. The international level should be used to harmonize international
agreements, frameworks and initiatives that affect the forest sector and
better to define the roles of international institutions.
IV. PROPOSALS FOR ACTION
49. Taking into account the understanding that emerged from discussions
held on issues relating to programme element I.1 during the second session
of the Panel and at national, regional and international meetings after the
United Nations Conference on Environment and Development, including the
expert meetings on financial mechanisms and on the Implementation of the
Forest Principles (see para. 5), the Panel may wish to consider endorsing
the elements of national forest programmes discussed below as applicable to
all types of forests.
A. Concept and basic principles of national forest programmes
50. The Panel may wish to consider the adoption of the concept and
principles outlined below, as a basis for the subsequent proposals.
1. Concept
51. The definition and the objective of a national forest programme are:
(a) Definition
52. The term "national forest programme" is a generic expression for a
wide range of approaches to processes of planning, programming and
implementing forest activities at the national and subnational levels.
(b) Objective
53. The goal of a national forest programme is to ensure the conservation,
management and sustainable development of forests to meet local, national,
regional and global needs and requirements, by fostering national and
international partnerships for the benefit of present and future
generations.
2. Basic principles
54. The principles of a national forest programme are as follows:
(a) National sovereignty and country leadership
55. National forest programmes are nationally led initiatives, for which
the country should assume full leadership and responsibility.
(b) Partnership
56. National forest programmes strive to bring together all interested
parties in a process for which they will feel concerned and committed. The
strength of the partnership will depend on its ability to draw upon the
specific capacities of individual partners.
(c) Participation
57. In a national forest programme, issues, options and the resulting
policies, strategies and programmes are agreed upon through participatory
decision-making and consensus-building among all interested partners.
Transparency and sharing of information are essential for consensus-
building.
(d) Holistic and intersectoral approach
58. In national forest programmes, forests should be treated as diverse
ecosystems comprising many interdependent elements in dynamic equilibrium,
producing a variety of goods and services. Forest dwellers are also a part
of the ecosystem. Forestry, including tree-growing in rural areas, is
practised within the context of sustainable land management, environmental
stability and social and economic development.
(e) Long-term iterative process
59. A national forest programme is a cyclic process comprising planning,
implementation, periodic assessment and evaluation. It is also an ongoing
process which continuously reflects changes in the planning environment and
the acquisition of new knowledge during the course of implementation.
Concrete targets and timetables and periodic independent review and
reporting are required.
(f) Capacity-building
60. Capacity-building is a fundamental element of a national forest
programme. Throughout the process, actions are taken to develop the
planning and implementation capacity of the national institutions and other
key actors, with a view to decreasing dependence on external assistance.
(g) Policy and institutional reforms
61. A national forest programme ensures that the policy and institutional
framework is conducive to sustainable forest development. Programmes must
address policy and institutional issues in a comprehensive manner which
recognizes the interdependencies and interlinkages among sectors.
(h) Consistency with the national policy framework and global initiatives
62. A national forest programme must be integrated with national
sustainable development plans and with regional and local strategies. They
should all be integrated in land-use planning at the national and local
levels and in programmes that are broader in scope, such as environmental
action plans and actions to implement Agenda 21 and related conventions and
associated initiatives.
(i) Raising awareness
63. A national forest programme must raise the visibility of the forest
sector and its priority in national agendas. The full value of forests,
wooded lands and trees and their contribution to social, economic and
environmental well-being at the local, national, regional and global levels
must be recognized.
(j) National commitment
64. A national forest programme must be backed by a long-term commitment
on the part of all national actors (governmental and non-governmental,
including community-based institutions and/or organizations within the
forest sector and other relevant sectors), particularly at the high
political and decision-making levels.
(k) International commitment
65. A national forest programme will prove to be counter-productive if
expectations raised during the planning process are not addressed.
Long-term commitments from the international community and its
institutions, from the planning to the implementation phase, respecting the
policies, strategies and programmes approved by countries should be
ensured.
B. Planning and implementation
66. Based on an analysis of existing constraints and opportunities and
retaining the options that emerged from different forums, the following
four themes capture the essential elements for successful implementation of
national forest programmes.
1. Sectoral planning, policies and institutions
67. Sectoral planning, policy revision and institutional reform should be
considered periodic processes encompassing various stages. They should be
country-driven, based on the sovereign right of each country to use its
forest resources in accordance with its own policies and development needs.
Comprehensive national forest strategies that are consistent with and
integrated into macroeconomic planning and policy and take into account the
strategic value of forests as a capital base for national sustainable
development need to be developed in order to facilitate mobilizing funds
for sustainable forest development from various sources.
(a) Establishment and improvement of strategic forest planning processes
68. Individual countries should establish or improve their strategic
planning processes and use them as instruments to guide and orient the
process of sectoral development, under strong national leadership. The
process should build on national capacity and be based on the following
characteristics, considering the situation of each country: well defined
linkages to macro-level policies and policy processes; closely linked
cross-sectoral policies and issues, particularly land-use policies;
high-level political commitment and broad-based support; participatory and
decentralized planning approaches, including the use of local knowledge;
and identification and management of conflicts between relevant actors.
(b) National development and land-use policy and legislation
69. Countries should take all necessary measures, within the framework of
their respective national laws, to ensure that forests are regarded as a
national asset by all sectors and that the conservation and wise use of
forests is treated as an integral part of development policy planning at
all stages and at all levels.
70. Countries should review energy policies, in particular where there is
considerable dependence on woodfuel, to ensure that supplies are restored,
maintained and/or complemented by policies that promote alternative energy
sources.
71. Countries should encourage the optimum use of land resources and take
special care to minimize irreversible and unsustainable land-use changes,
particularly in natural forest land. This could best be ensured through
the harmonization of policies and legislation at all levels, considering
issues such as forest ownership, land tenure etc.
72. Countries should review incentives for any activity that affects
forests - direct incentives such as tax concessions, credits or grants, or
indirect incentives such as provision of infrastructure - and should ensure
that future incentives are carefully designed to achieve sustained
production of a range of products and services and their equitable
distribution.
(c) Promotion of national forest policy formulation
73. National forest policy formulation should be encouraged and promoted
in the context of national policy development. Countries should create and
maintain appropriate coordinating mechanisms to review and formulate
national policies and ensure that representatives from the whole range of
sectors which use, convert or otherwise affect the state of forests take
into account the following: an evaluation of all the benefits which
forests can provide, the need to maintain biological diversity, and the
needs and requirements of forest dwellers and local communities living in
and around forests.
74. The regular updating of forest policy should be ensured, taking into
account possible changes at the macroeconomic level and in policies in
forest-related sectors, involving all interested partners.
(d) Revision of roles, mandates and institutional structures
75. Governments should consider initiating a review and, if needed,
redefinition of the roles and mandates of the major forest-related actors,
including administrations at the national, provincial and local levels, and
the non-governmental sector (non-governmental organizations, community-
based organizations and the private sector). The review should aim at
focusing governmental functions on policy formulation, including
legislation; the provision of administrative services; a definition of the
roles and mandates of the different institutions at all levels; and
supervision and control.
76. Other functions, including productive activities, monitoring and
evaluation, technical services, research, and coordination of local-level
activities, could be shared with or delegated to the non-governmental
sector.
77. The non-governmental sector should also focus on the promotion of
institutional structures through capacity-building, including workers and
infrastructure, in order to enable them to be active partners in the
implementation of sustainable forest development.
(e) Establishment and/or consolidation of national coordination
78. Governments should consider establishing a national body responsible
for intersectoral coordination relating to forest-sector activities. Such
a body should involve the relevant national actors in the formulation,
implementation and evaluation of the programme, avoid duplication of
programmes, ensure the consistency of national, provincial and local
actions, and ensure the effective coordination of the international
involvement in the sector.
79. In addition, the coordination mechanism could function as an
instrument to reflect the commitments between the national and
international levels by promoting transparent dialogue between the actors.
2. Investment programming
80. Investment for the management, conservation and sustainable
development of forests needs both public and private funds and requires
long-term commitment.
(a) Strategic planning and investments
81. The development of strategies for the management, conservation and
sustainable development of forests includes the identification of a wide
range of funding sources, both public and private, domestic and foreign.
The strategies can draw upon the principles outlined in the statement of
the Expert Meeting on Financial Mechanisms (see para. 5) and the Panel's
discussions under the relevant item. Countries could be invited to share
their experiences on the schemes of forest-related economic indicators to
promote investment and improved resource valuation and revenue collection.
This procedure would lead to the identification of the most appropriate
funding sources.
(b) Domestic public funding
82. Considering the importance of domestic funding, public budget
allocation should reflect the national priority given to the conservation,
management and sustainable development of forests. This can be achieved by
securing appropriate valuation of forest resources, including payments for
the ecological services of forests and the incorporation of externalities.
An efficient revenue system is fundamental and should ensure that a
sufficient part of forest revenues are reinvested into the forest sector.
Public funding should create an environment that promotes investments in
every step of the value chain (from forest development to primary and
secondary processing and distribution) in order to retain added value from
forest resources in the countries.
(c) Private funding
83. Macroeconomic stability, proper policy and regulatory frameworks and
an established land-tenure system can attract responsible private
investment. Forest strategies should identify and provide information on
opportunities for private-sector investment. Appropriate incentives might
include covering transaction costs, offsetting market development risks,
compensation for the incorporation of externalities, guarantee schemes etc.
Through market-based instruments, sustainable practices benefiting the poor
and providing alternatives for them should be rewarded, and unsustainable
practices discouraged.
(d) New and additional financial resources
84. The potential of mechanisms generating new and additional financial
resources should be fully explored, so as to integrate the resources into
comprehensive national programmes.
(e) Official development assistance
85. Official development assistance should be used in a complementary way
to supplement national public funding, providing substantial support, in
particular for capacity-building, technology transfer and catalysing other
sources of financing.
3. National capacity-building
86. Before embarking on a capacity-building programme, countries should
assess their existing capabilities at all levels to prepare, implement and
monitor the conservation, management and sustainable development of their
forests. Priorities for strengthening existing institutions or building
new institutions or infrastructure should be based on the assessment. It
should be iterative (periodically repeated and updated) and participatory
(involving key local, national and international actors). In addition,
gender issues should be considered in all capacity-building programmes.
(a) Human resource development
87. The development of human resources should focus specifically on the
following issues: reorienting and/or strengthening of existing training
institutions taking a multidisciplinary approach; establishing new
research, development and training institutions only where deficiencies
exist; establishing systems for the assessment of the labour force and
training needs; reviewing the curricula of training institutions according
to the results of the needs assessment; reallocating the labour force
according to optimal deployment.
88. In addition, national Governments should put in place an appropriate
remuneration, welfare and incentive system in order to retain manpower and
improve efficiency.
(b) Strengthening local institutions and organizations
89. More capacity-building should be directed to local levels, focusing on
assessing existing (local) knowledge to improve its utilization, the
developing mechanisms for the optimal use of existing institutions and
organizations at local levels, facilitating the formal and informal
capacity-building activities of local institutions, non-governmental
organizations and community groups through a decentralized approach, and
developing and intensifying retraining systems for civil servants and
others working at the local level, to promote interaction with the local
actors.
(c) Institutional development
90. The focus of institutional development should be on the establishment
of administrative and accountability systems, including financial
management systems, that emphasize participatory management.
91. Institutions related to research, extension and forest administration
often need to be strengthened, taking a cross-sectoral approach and
promoting networking through North/South as well as South/South cooperation
and information exchange. Training in policy research, conflict resolution
and mediation techniques should be enhanced and incorporated in the
curricula.
(d) Development of improved approaches to external assistance
92. Harmonization and coordination in donor programmes is often lacking,
and the lack usually leads to the creation of parallel organizations and
the irrational use of funds and labour.
93. The development of improved approaches should focus specifically on
establishing long-term donor commitments to assist in capacity-building,
based on a national interinstitutional mechanism for monitoring changes in
the forestry sector, and respect for the national priorities and use of
national/local expertise, when possible,
4. International cooperation
(a) Regional level
94. Countries enjoy significant advantages when they take coordinated
regional positions in international forums and use regional mechanisms to
support national processes. In both cases regional action must derive from
each country's assessment of its needs and the ability of the region to act
effectively in its support. This means that regional approaches should not
be developed in a political vacuum or imposed by external institutions.
The point of departure should always be national requirements.
95. It is suggested that regional approaches would be most effective in
the following initiatives: development of scientific and technical
institutions to take advantage of economies of scale, the exchange of
experiences and technology on the policies, strategies and actions related
to the implementation of national forest programmes, the establishment of
transboundary programmes involving the pooling of national efforts to
tackle common concerns, as a forum for resolving other practical problems
of the region, and participation in international forums and processes,
where national positions shared by countries can be presented in a
coordinated way.
(b) Global level
96. Considering the increased complexity of forest issues and the
interactions between countries (trade, climate change, biodiversity
conservation, evolution of human settlements), a permanent international
dialogue should be maintained. In addition national forest programmes,
which are considered to be appropriate tools for achieving the
conservation, management and sustainable development of all kinds of
forests, should be internationally promoted and supported.
(c) Promotion and improvement of the concept of national forest programmes
97. A reference document on national forest programmes should be finalized
through a participatory process involving all interested parties
(international organizations, national institutions and agencies, research
institutes, non-governmental organizations, local people, representatives
and the private sector). The document should be based on the existing
basic principles and operational guidelines for national forest programmes
(prepared by FAO in March 1996) the results of Government-sponsored meeting
(see paras. 5 and 6) and the results of discussions in the Panel.
98. The concept of national forest programmes should be considered as
iterative and in permanent evolution in order to be fully efficient and
adapted to changing economic, social and political situations. Regular
consultations in appropriate forums should be organized for developing
approaches to putting national forest programmes into operation;
identifying the implication of changes in macroeconomic policies
(structural adjustment programmes, liberalization and privatization of the
economy, land allotment to the private sector etc.); addressing the
interaction between forestry and agriculture development in the context of
land-use systems and land evaluation; developing strategies for the
involvement of local groups of users of the forest in its conservation,
management and sustainable development and incorporating them into national
forest programmes; transferring technology and streamlining financial
mechanisms, using their respective advantages; and developing additional
mechanisms for implementing national forest programmes, such as partnership
agreements.
C. International consultations on forests
1. Establishment of a consultative body
99. A consultative body for international support for national forest
programmes was approved, after considerable international negotiation, by
the FAO Council in June 1993 but has not yet been convened. The body would
cover specifically the promotion of an international dialogue in support
for processes leading to national forest programmes. According full
respect to national sovereignty, sustainable development objectives and the
provisions of the Forest Principles, the consultative body could address
problems by serving as a forum through which countries could raise their
concerns and where interested parties could identify difficulties and
suggest solutions in implementing national forest programmes and as a
clearing-house for identification of critical problems being encountered;
review progress and, based on available information and periodic reviews,
assess the impact of national forest programmes on the implementation of
the Forest Principles and the chapters of Agenda 21 relating to forests;
encourage transparency and the dissemination of publicly available
information on the results of national forest programmes, experiences and
"best practice"; assess the adequacy of funding needs and sources, call the
attention to funding needs and resources and, if those resources are judged
inadequate, recommend feasible financial mechanisms to stimulate and
augment the flow of international resources; promote international
cooperation by: identifying overall priorities for international
cooperation to promote, improve and implement national forest programmes;
promoting awareness of experiences and lessons learned from different
approaches, and promoting responses to requests from countries in need of
attention/support on specific issues.
2. Other institutional options
The institutional option proposed by the experts at the Consultation
on Implementing the Forest Principles (see para. 5), relates to programme
element V.1. However, in view of its importance for the efficiency of
national forest programmes, the Panel may also wish to consider it under
programme element I.1. The experts proposed that a new forum for
international consultation on forests should be established, based on the
experience of the Panel. The forum, with an expanded mandate, might also
be used for dealing with action on issues raised in other programme
elements. It would promote international support for the national forest
programme process. It should be a consultative body, whose work is
supported by technical and scientific advice. It should establish
collaborative leadership but not seek to coordinate national processes. It
should ensure that all actors, including non-governmental organizations and
the private sector, are integrated into the process.
Notes
1/ Report of the United Nations Conference on Environment and
Development, Rio de Janeiro, 3-14 June 1992, vol. I, Resolutions Adopted by
the Conference (United Nations publication, Sales No. E.93.I.8 and
corrigenda), resolution 1, annex II.
2/ Ibid., annex III.
3/ Official Records of the Economic and Social Council, 1995,
Supplement No. 12 (E/1995/32).
4/ Ibid., chap. II, sect. D (5), annex I, chap. III (I), para. 1.
5/ E/CN.17/IPF/1995/3, para. 18 (I.1).
6/ Report of the United Nations Conference on Environment and
Development, Rio de Janeiro, 3-14 June 1992, vol. I, Resolutions Adopted by
the Conference (United Nations publication, Sales No. E.93.I.8 and
corrigenda), resolution 1, annex II, chap. 11, para. 11.12 (a).
7/ Ibid., para. 11.3 (c).
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Date last posted: 7 December 1999 12:45:30
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