246ISSN 0041-6436

An international journal of and industries Vol. 67 2016/1

FORESTS IN THE CLIMATE CHANGE AGENDA Joining forces to achieve SDG15: Delivering on the global agenda for , climate and development UN system side event

UNFCCC COP22 Interactive town hall discussion on Marrakech, Morocco REDD+ (reducing and forest Blue Zone, Arabian Room degradation) and other land-use-related initiatives as powerful catalysts for delivering 16 November 2016 on SDG15 and achieving countries’ Nationally 18.30–20.00 Determined Contributions Moderated by Matt Frei (Channel 4 News) Speakers will include José Graziano da Silva (FAO Director-General) and Erik Solheim (UNEP Executive Director), with an international panel of ministers and high-level representatives from Chad, Costa Rica, Fiji, Ghana, Indonesia, the United Kingdom and other agencies (UNDP and World Bank). 246ISSN 0041-6436

An international journal of forestry and forest industries Vol. 67 2016/1

Editor: S. Lapstun Editorial Advisory Board: S. Braatz, I. Buttoud, P. Csoka, L. Flejzor, T. Hofer, Contents F. Kafeero, W. Kollert, S. Lapstun, D. Mollicone, D. Reeb, S. Rose, J. Tissari, Editorial 2 P. van Lierop Emeritus Advisers: J. Ball, I.J. Bourke, P. Iversen C. Palmberg-Lerche, L. Russo Forests’ role in the climate change agenda 3 Regional Advisers: F. Bojang, P. Durst, A.A. Hamid, J. Meza A. Cattaneo and L. Lipper Incorporating forest landscapes into climate-smart Unasylva is published in English, French agricultural strategies 12 and Spanish. Subscriptions can be obtained by sending an e-mail to [email protected]. M.J. Sanz and J. Penman Subscription requests from institutions An overview of REDD+ 21 (e.g. libraries, companies, organizations, universities) rather than individuals are M.J. Sanz preferred to make the journal accessible to UN-REDD, the United Nations programme to reduce emissions more readers. from deforestation and forest degradation (2008–2015) 31 All issues of Unasylva are available online free of charge at www.fao.org/forestry/ G. Muir, J. Murray, E. Sartoretto, D. Hewitt, R. Simpson and J. Fox unasylva. Comments and queries are welcome: Coordinating climate action: experiences from REDD+ [email protected]. and FLEGT 37 FAO encourages the use, reproduction and dissemination of material in this information C.S. Silori, K. Wiset, B.H. Poudyal and T. Vu product. Except where otherwise indicated, Grassroots facilitators as agents of change for promoting material may be copied, downloaded and sustainable : lessons learned from REDD+ printed for private study, research and teaching capacity development in Asia 45 purposes, or for use in non-commercial products or services, provided that appropriate J. Bervoets, F. Boerstler, M. Dumas-Johansen, A. Thulstrup acknowledgement of FAO as the source and and Z. Xia copyright holder is given and that FAO’s Forests and access to energy in the context of climate change: endorsement of users’ views, products or the role of the woodfuel sector in selected INDCs in services is not implied in any way. The designations employed and the sub-Saharan Africa 53 presentation of material in this information W. A. Kurz, C. Smyth and T. Lemprière product do not imply the expression of any opinion whatsoever on the part of the Food and Climate change mitigation through forest sector activities: Agriculture Organization of the United Nations principles, potential and priorities 61 (FAO) concerning the legal or development status of any country, territory, city or area or J. Loo of its authorities, or concerning the delimitation Forest genetic resources and adaptation to climate change 68 of its frontiers or boundaries. The mention of C. O’Donnell, J. Recharte and A. Taber specific companies or products of manufacturers, whether or not these have been patented, does Climate change, mountain people and water resources – not imply that these have been endorsed or the experiences of the Mountain Institute, Peru 75 recommended by FAO in preference to others of a similar that are not mentioned. FAO Forestry 81 The FAO publications reviewed in Unasylva World of Forestry 83 are available on the FAO website (www.fao. org/publications) and can be purchased through Books 85 [email protected].

Cover: cling to the slopes of the Grand Canyon of the Yellowstone, United States of America © Roy Luck EDITORIAL

lmost one year has passed since the parties to the United capacities and the involvement of grassroots stakeholders, thereby Nations Framework Convention on Climate Change improving implementation. (UNFCCC) met in Paris and agreed to make a collec- In turn, Bervoets, Boerstler, Dumas-Johansen, Thulstrup and Ative endeavour to limit temperature increases to below 2 °C. Xia shed light on an important concern for many African coun- But between the intention and its realization lies a great deal of tries, namely woodfuel. They stress the importance of factoring uncharted territory, and it is useful to map out what has already woodfuel into the climate change equation, including both the been accomplished. This issue of Unasylva comes just a few extent to which it is contributing to emissions and the role that days after the Paris Agreement entered into force on 4 November it can play as a substitute for fossil fuels. 2016 and coincides with the 22nd Conference of the Parties of The article by Kurz, Smyth and Lemprière provides a different UNFCCC (COP 22), which will be decisive for the effective perspective on , looking specifically at the role of harvested implementation of the agreement. wood products to maximize the displacement of emissions from The articles cover a range of aspects relating to the role of other sectors, and the accounting principles involved. forests in the climate change agenda. Together they provide a Strategies to deal with climate change must take a range of areas comprehensive overview, both for those already versed in the into account in order to be successful. Loo’s article highlights complexities of the issues and those who would like to gain a the adaptation potential of forest genetic resources, as well as better grasp of them. Readers will be able to gain better insight their importance in the -planting efforts needed for climate into the background and status of ongoing climate negotiations, change mitigation. the functioning of mechanisms and initiatives such as Reducing The final article describes some effective adaptation measures emissions from deforestation and forest degradation (REDD+), for coping with the tangible effects of climate change, presenting and where these stand in the international architecture. They the case of mountain areas in Peru that are already witnessing will also discover several interesting and innovative success significant glacial retreat and glacial lake outburst floods. stories that point the way to some avenues for further exploration. These and other types of climate-change-related phenomena The introductory article, by Iversen, provides a snapshot of will spread and increase as temperatures rise, and the many the main international agreements relating to climate change, effects of climate change are only just beginning to be felt glob- the place of forests within these agreements, and the obstacles ally. This issue of Unasylva cautions that we will have to work that remain to be overcome. Although the UNFCCC has long faster, more collaboratively and in a more integrated way if we recognized forests’ key role in climate regulation, accurate are to successfully tackle the enormous challenge that is facing and comparable monitoring and reporting are still a challenge. us today. u The second article, by Cattaneo and Lipper, identifies further challenges. Arguing that the drivers of deforestation and for- est degradation are often situated outside the forest sector, it highlights the need to look at land use through a broad lens and build the synergies between forestry and agriculture. Sanz and Penman give a detailed account of REDD+, argu- ably the most important mitigation initiative involving forests, and explain its role in providing a framework and guidance for countries to develop concrete action plans. Sanz then looks specifically at UN-REDD, a multilateral programme that supports over 60 partner countries in meeting their REDD+ commitments. Muir, Murray, Sartoretto, Hewitt, Simpson and Fox explore REDD+ from another angle, making a convincing case for strengthening its interlinkages with the European Union’s Forest Law Enforcement, Governance and Trade (FLEGT) initiative. Whereas REDD+ provides incentives to keep forests stand- ing, FLEGT improves the functioning of the market for forest products by eliminating illegal timber. Viet Nam, Honduras and Côte d’Ivoire are examples of countries that are successfully developing synergies between the two. Silori, Wisyet, Poudyal and Wu also share noteworthy examples of the application of REDD+ on the ground, looking at several Asian countries where efforts are being made to strengthen the 3 © FAO/GIULIO NAPOLITANO Forests’ role in the climate change agenda

P. Iversen

Where and how forests fit into the orest ecosystems are affected by stabilizing greenhouse gas concentration main international agreements climate change, e.g. changes in levels in the atmosphere at a level that on climate change. temperature, changes in precipita- would prevent dangerous anthropogenic Ftion patterns and an increasing frequency interference with the climate system, to of extreme weather events. At the same be achieved within a timeframe sufficient time, forest ecosystems remove signifi- to allow ecosystems to adapt naturally to cant amounts of greenhouse gases, mostly climate change. Exactly what this means in

CO2, from the atmosphere through forest practice is not explained, but the 197 coun- growth, and , tries that have ratified and become Parties and add to them through deforestation and to the Convention have nevertheless agreed forest degradation. to work towards this objective, with dif- The United Nations Framework Conven- fering responsibilities for developed and tion on Climate Change (UNFCCC)1 was developing countries. Peter Iversen is an independent consultant established in 1992 with the objective of who has represented Denmark in the UNFCCC negotiations on land-use topics, and co-chaired Above: Desertification negotiations on land use, land-use change and 1 http://unfccc.int/essential_background/convention/ and land degradation are forestry (LULUCF) under the Kyoto Protocol. items/6036.php serious challenges, Niger

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In 1997 Parties established the Kyoto TABLE 1. Overview of different emission reduction commitments/actions Protocol2 under the Convention in order to before and after 2020 strengthen efforts to meet the Convention’s Before 2020 Developing countries Developed countries objective. Unlike the Convention, the Convention Nationally Appropriate Mitigation National reduction targets to be achieved Kyoto Protocol assigned internationally Actions (NAMAs) by 2020 binding emission reduction commitments Deviation in emissions compared Economy-wide targets for developed countries. To achieve these to business as usual in 2020 commitments, Parties to the Protocol Kyoto A subset of the developed countries have agreed on accounting rules and a number Protocol binding reduction commitments for the period 2013–2020 of flexible mechanisms were established, such as the Clean Development Mechanism After 2020 Countries that submit a Nationally Determined Contribution (NDC) with a Convention mitigation contribution (CDM). In accordance with the CDM, a developed and a developing country can jointly reduce emissions or enhance remov- included with the exception of emissions scenario as the reference point for their als, such as through an afforestation project from international shipping and aviation. emission reduction efforts. In addition, in the developing country, thereby helping By the same decision, it was agreed that some countries aim to achieve their targets to fulfil the commitment of the developed developing countries should voluntar- by 2025 and others by 2030. Assumptions country. Such achievements, which are ily undertake Nationally Appropriate regarding accounting rules for the inclu-

counted in tonnes CO2eq, are sometimes Mitigation Actions (NAMAs). These are sion of emissions and removals from called carbon credits. intended mitigation actions that, in the forests and other land uses are also dif- The Kyoto Protocol assigns an annual context of appropriate support, aim to ferent. While a majority of countries have emission allowance for each developed achieve a deviation in emissions relative included economy-wide contributions, country with a commitment under the to “business-as-usual” emissions in 2020. some include specific sectors only. This Protocol. Developing countries do not Whereas the Kyoto Protocol has drawn makes the comparison of efforts difficult have a reduction commitment under the up accounting rules, e.g. for the inclusion and estimating the cumulative effect of all Protocol. The first commitment period, of emissions and removals from forests, the INDCs is challenging. agreed in 1997, included the five years this is not the case under the Convention. Following the Paris Agreement, Parties from 2008 to 2012, whereas the second Under the Convention, countries can define opened negotiations on how to ensure period, agreed with the Doha amendment their own approach although they must sufficient transparency about achieving to the Kyoto Protocol in 2012, covers the be transparent about the assumptions and the NDCs, including negotiations on eight years from 2013 to 2020. conditions that they have used. accounting rules and different approaches Not all developed countries have com- In December 2015, Parties to the Con- to collaboration between countries, mitments under the Protocol. The United vention met in Paris and reached the including market- and non-market-based States of America decided not to be part of landmark Paris Agreement.3 In advance approaches. the Kyoto Protocol and was later followed of the conference, they had submitted The Paris Agreement entered into force by Canada. For the second commitment Intended Nationally Determined Contribu- on 4 November 2016. The meetings of the period, Japan, New Zealand and the Russian tions (INDCs), indicating their mitigation Parties to the Paris Agreement will be Federation decided not to make any reduc- contribution and, for a large number of known as the Conference of the Parties tion commitments under the Protocol. countries, providing information also on serving as the meeting of the Parties to the Following a decision taken at UNFCCC’s adaptation to climate change. Almost Paris Agreement (CMA). The first meeting 16th Conference of the Parties (COP 16) in 190 countries submitted INDCs, which, will be held in Marrakech, Morocco, this 2010, all developed countries have national after the Paris Agreement and potentially year, in conjunction with the meeting of reduction targets under the Convention. with some modifications, become Nation- the Parties to the UNFCCC (COP 22) and These are not annual or binding commit- ally Determined Contributions (NDCs). the meeting of the Parties to the Kyoto ments but are quantified commitments Countries explained their assumptions Protocol (CMP12). All three bodies meet that should be met by 2020. Similar to and conditions in their INDCs. There annually (Figure 1) usually over two weeks those under the Kyoto Protocol, these is broad variation and INDCs may use in November or December. commitments are economy-wide, which 1990, 2005, 2010 or a business-as-usual means that all emissions and removals are FORESTS' ROLE 3 http://unfccc.int/paris_agreement/items/9485. Forests are important for the Convention, 2 http://unfccc.int/kyoto_protocol/items/2830.php php the Kyoto Protocol and the Paris

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1 UNFCCC bodies Conference of the Parties (COP)/Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol (CMP)/Conference of the Parties serving as the meeting of the Parties to the Paris Agreement

Agreement. In the context of climate change, forests and other land uses are TA team asks for clarifications often referred to as reservoirs of green- house gases. They are referred to as a sink if greenhouse gases are being removed Permanent subsidiary bodies from the atmosphere through photosynthe- sis, and as a source if greenhouse gases are Subsidiary Body for Scientific and Subsidiary Body for Implementation being released into the atmosphere by the Technological Advice (SBSTA) (SBI) oxidation of carbon caused by, for example, decay of wood or forest fire (see Figure 2 for an overview of the carbon cycle). Convention bodies Kyoto Protocol bodies The importance of these concepts was highlighted by the Global Carbon Project Ad Hoc Working Group on the 2015, which pointed out that 30 percent Paris Agreement (APA) of global CO2 emissions in the period 2005–2014 were absorbed by the terres- Adaptation Committee Compliance Committee trial biosphere, 26 percent were absorbed (AC) by oceans and 44 percent ended up in the 4 atmosphere. The Global Carbon Project Standing Committee on Finance Executive Board of the Clean also concluded that land-use change, which (SCF) Development Mechanism (CDM-EB) in this case is mostly comprised of defor- Executive Committee of the Warsaw estation, contributed on average 9 percent of Joint Implementation Supervisory International Mechanism for Loss and Committee (JISC) all global anthropogenic emissions during Damage the period 2005–2014. Land-use activities can thus play both a positive and a negative role in terms of stabilizing greenhouse gas Paris Committee on Capacity-Building Adaptation Fund Board (AFB) concentration in the atmosphere. As set out in the Convention, Parties have committed to: 1) developing and Technology Executive Global Environment Committee (TEC) Facility (GEF) periodically updating national inventories Technology Financial of anthropogenic emissions by sources, Mechanism Mechanism Advisory Board of the Green Climate Fund and removals by sinks, using comparable Climate Technology Centre (GCF) methodologies; 2) implementing measures & Network (CTCN) to mitigate climate change by addressing anthropogenic emissions by sources, and Consultative Group of Experts on National Special Cimate Change removals by sinks, of greenhouse gases; Communications from Fund (SCCF) and 3) implementing measures to facilitate Parties not included in Other adequate adaptation to climate change. Annex I to the Convention financial Least Developed Countries (CGE) arrange- Fund (LDCF) To make reporting easier, the Parties Expert ments use guidelines developed by the Inter- Groups Least Developed Countries Adaptation Fund (AF) governmental Panel on Climate Change Expert Group (LEG) (IPCC).5 IPCC was established in 1988 to provide a clear scientific review of the United Nations Framework Convention on Climate Change (UNFCCC) current state of knowledge on climate secretariat

4 http://www.globalcarbonproject.org/carbon- Source: Based on UNFCCC, no date. budget/15/hl-compact.htmphp

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Source: FAO, no date.

2 Simplified carbon cycle with in a volume entitled Agriculture, genic” is a concept that is difficult to diagram Forestry and Other Land Use (AFOLU). define when dealing with ecosystems The land-use sector faces some inherent that can be affected by a combination challenges in estimating emissions and of natural processes and management change and its potential environmental removals as compared to point sources decisions. Following recommendations and socioeconomic impacts. IPCC counts in the energy sector. Whereas a point from the IPCC, Parties have decided to 195 member countries and thousands of source is a single localized source, usually distinguish “anthropogenic” from “non- scientists contribute to its work. The panel industrial, e.g. a fossil fuel power plant or anthropogenic” by using managed land prepares assessment reports, as well as cement factory, emissions and removals as a proxy for the anthropogenic and reports on specific topics, in many cases from land use occur all over the land. non-managed land as a proxy for the non- upon invitation from the UNFCCC COP. Another important characteristic of the anthropogenic. Managed land is defined These include guidelines for reporting land-use sector is the relatively slow sink as land where human interventions and emissions and removals. process of photosynthesis as compared to practices have been applied to perform

The latest comprehensive guidelines the swift loss of carbon in the form of CO2 production, ecological or social functions. for reporting are the 2006 Guidelines for through, for example, forest fires. It is up to countries to define what this National Greenhouse Gas Inventories, Since the objective of the Convention implies within their national context and to where land use, including forests, is dealt is to avoid dangerous anthropogenic include all emissions and removals taking interference with the climate system, the place on this land, regardless of whether focus on anthropogenic emissions and the emissions and removals are caused by 5 http://www.ipcc.ch/index.htm removals is important. However, “anthropo- deliberate actions.

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REPORTING TABLE 2. Overview of different reporting requirements to the UNFCCC Parties to the Convention and to the Kyoto Developing countries Developed countries Protocol must submit national reports on National Every four years Every four years greenhouse gas emissions and removals, Communications as well as on other aspects. Biennial Reports Every two years This enables the COP to assess progress and take decisions in order to meet the objective of the Convention. Biennial Update Every two years starting Developed and developing countries have Reports from December 2015, with different obligations and guidelines for additional flexibility for least developed countries reporting. Types of reports and frequency and small island states of reporting are shown in Table 2. Annual Every year. This includes a National Inventory In order to ensure comparable informa- Greenhouse Report and a set of reporting tables for all tion, the COP and CMP have developed Gas Inventory years from 1990 to the latest year common tabular formats and guidelines Parties with reduction commitments under for both submission and review of the the Kyoto Protocol also submit additional information requested under the Protocol information. Parties are also encour- aged to use comparable methodologies for the estimation of emissions and In accordance with these guidelines, guidelines, but may use an earlier version removals, namely by adhering to the emissions and removals of greenhouse of the guidelines that structures the report- IPCC guidelines. Developed countries gases are reported for six sectors: energy, ing somewhat differently. must use the IPCC 2006 Guidelines for industrial processes, solvents, agriculture, To facilitate reporting, IPCC guidelines National Greenhouse Gas Inventories.6 land use, land-use change and forestry divide land into six categories: forest land, (LULUCF) and waste. Developing coun- cropland, grassland, wetland, settlements, 6 http://www.ipcc-nggip.iges.or.jp/public/2006gl tries are encouraged to follow the same and other lands. This allows all land to be © FAO/PUAH SZE NING © FAO/PUAH SZE

Swidden farming, also known as , Malaysia

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included in the reporting. Each category Wood products contain carbon and con- ACCOUNTING is then subdivided into six subcategories, stitute another reservoir, in addition to the Reporting and accounting are two differ- e.g. forest land remaining forest land, forest five carbon pools mentioned above. In the ent concepts.7 The purpose of reporting land converted to cropland, forest land context of climate change, this is referred greenhouse gas emissions and removals is converted to grassland, etc., thereby giving to as harvested wood products (HWPs). to enable the international community to a total of 36 subcategories. HWPs will always be in a process of decay, take the most appropriate action to mitigate IPCC has further established three levels with long-lived wood products such as climate change. The purpose of account- of detail, called tiers, for estimating emis- sawn wood for construction having longer ing is to enable assessment of progress sions and removals. These are ranked from time in use than short-lived products such towards achieving an agreed target, such 1 to 3 according to quality of informa- as paper. If the annual addition of new as an emission reduction target under the tion, complexity and accuracy. The IPCC HWPs is larger than the annual decay, Kyoto Protocol. As mentioned earlier, guidelines provide the general information then this is reported as removals since there is no common accounting framework needed for any country to implement tier 1, the reservoir is increasing. If the annual for emission reduction targets under the but encourage countries to use higher tiers decay is larger, then we can report this Convention. for key categories in the inventory. A key as an emission. The IPCC provides dif- The national data used for reporting are category is one that is prioritized within the ferent methodologies for making these to some extent also used for accounting, national inventory system because its esti- calculations depending on the assumptions although the Kyoto Protocol is organized mation has a significant influence on the made regarding the inclusion or exclusion somewhat differently when it comes to country’s total greenhouse gas inventory. of imported and exported HWPs. land use. Under the Kyoto Protocol,

Emissions and removals of CO2 from An important consequence of the sector- Parties divide land according to the land can be estimated through a stock by-sector reporting is that emissions from activities taking place, such as afforesta- change approach, in which total carbon the loss of are reported in the tion, reforestation, deforestation, forest stocks in year 1 are subtracted from total LULUCF sector while the benefit of the management, cropland management and carbon stocks in year 2. According to this substitution effect is not visible in this sec- grazing land management. This is also approach, the difference represents either tor. The substitution effect occurs when known as an activity-based system. Since an increase or a decrease in carbon, which HWP or other biomass is used to replace some activities are mandatory and others

can be converted into CO2. The other another product with a higher carbon are voluntary under the Kyoto Protocol, main approach is a gain–loss approach, footprint, such as steel, plastic, etc. The this means that only a subset of the in which gains are estimated as the annual substitution effect becomes visible in the land-based emissions and removals is increment and losses are estimated as the sector that would otherwise have to report included. Also, the definitions of these annual harvest plus natural decay. The on the emission if the product with the activities are not necessarily equivalent difference between the gain and the loss is higher carbon footprint was produced. The to the land-use categories employed under then translated into emissions or removals, effect can be significant depending on the the Convention. This makes it different depending on which value is larger. The products that are being substituted. The from the reporting system used under value can show significant inter-annual same is true for biomass used for energy. the Convention. Land-use activities are variation, such as when harvest levels or Emissions from the loss of biomass are listed in Articles 3.3 and 3.4 of the Kyoto the amount of forest biomass burned in reported as part of the LULUCF sector, Protocol (see Table 3). forest fires increase or decrease compared not in the energy sector where the biomass to an average year. is used. The substitution has important ACCOUNTING RULES FOR LAND- For reporting purposes, carbon stocks implications for biomass demand, since USE EMISSIONS AND REMOVALS can be divided into five different carbon switching from fossil fuel to biomass can UNDER THE KYOTO PROTOCOL pools: above-ground and below-ground reduce emissions in the energy sector, and The emission reduction targets under the living biomass, dead wood, litter, and soil thereby help countries meet the emission Kyoto Protocol are quantified emission carbon. For some forest ecosystems, the reduction targets they have agreed to. If reductions as compared to total emissions majority of carbon stocks are found in the biomass is produced domestically, in a base year, in most cases 1990. The the living biomass, but for some growing then all emissions will correspond to the emissions in the base year include emis- on organic soils, including peat soils, the same country. However, if the biomass sions from all sectors except the LULUCF majority of the carbon may be soil carbon. is imported, then emissions will not be sector. LULUCF is instead included as an In addition to the emissions and removals attributed to the importing country where that take place on the land, Parties also the biomass is used but instead to the 7 A thorough review of land use in the UNFCCC report on emissions from wood products. exporting country. is provided by Iversen, Lee and Rocha (2014).

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TABLE 3. LULUCF activities included under Articles 3.3 and 3.4 of the Kyoto Protocol Article Activity Accounting approach Additional information 3.3 Afforestation, reforestation and Emissions and removals in each year of the Mandatory activities. This includes forests deforestation commitment period for all areas subject to one of the established on or after 1 January 1990 three activities since 1990 3.4 Forest management Emissions and removals in each year of the Mandatory activity commitment period minus a forest management Guidance for establishing the FMRL was reference level (FMRL) agreed, as well as a review process, before The FMRL could be set as average annual emissions the COP approved them and removals for the period 2013–2020 with business Forest management includes only areas as usual, as emissions and removals in 1990 from the with forest that were also with forest before same area, or as zero 1 January 1990 Cropland management, Emissions and removals in each year of the Voluntary activities grazing land management, commitment period minus emissions and removals in Wetland rewetting and drainage was revegetation, wetland rewetting 1990 for the same activity introduced as a new activity for the second and drainage commitment period additional means for Parties to achieve by reducing harvesting. In fact, storing afforestation. The aim of this provision is the target and the accounting results are carbon in long-lived wood products can to enable more flexible land use for forest expressed as debits or credits, measured be an important complement to storing . in tonnes CO2eq, which can complement carbon in forest ecosystems. This should, To accommodate the new accounting efforts in other sectors. however, not be confused with the sub- rules agreed under the Kyoto Protocol, Emissions are given as a positive number stitution effect of using wood instead of the IPCC has developed the 2013 Revised because CO2 is added to the atmosphere, more carbon-intensive products such as Supplementary Methods and Good Practice and removals as a negative number because steel and plastic. Guidance Arising from the Kyoto Protocol 8 CO2 is removed from the atmosphere. If Another new rule is that Parties can (KP Supplement) to provide guidance the result of the calculation is a positive exclude from the accounting emissions consistent with decisions on LULUCF number, it represents debits and if it is natural disturbances, which are defined accounting for the second commitment a negative number it represents credits. as events or circumstances that cause period of the Kyoto Protocol. A number of additional rules were significant emissions in forests and are Besides accounting for emissions and agreed for the second commitment period. beyond the control of, and not materi- removals from domestic land use, the HWPs were included in the accounting for ally influenced by, the country. These CDM under the Kyoto Protocol enables afforestation, reforestation and forest man- may include , insect and disease accounting for afforestation and reforesta- agement activities. Countries use three infestations, extreme weather events and/ tion projects in developing countries. These wood product categories: sawn wood, or geological disturbances. In this context, projects must follow approved methodolo- panels and paper, with the default half- “significant” means well above the normal gies, and allow a country with an emission lives considered to be 35 years, 25 years level for the country. This is determined reduction target under the Protocol to meet and 2 years respectively. Based on new and through a statistical approach. part of the target by including net removals historical production data, annual decay Another new concept, carbon equivalent from an afforestation project in a develop- (outflow) and annual production (inflow) forest conversion (CEFC), was introduced ing country. Under the CDM, land-use of the three products can be calculated. for the second commitment period. This activities can result in temporary credits, If the inflow is larger than the outflow, covers the conversion of a forest planta- which means that they have to be replaced then the pool is increasing. Only HWP tion to non-forest land while establishing at some point in time. This is because there from domestic forests can be included in a “carbon equivalent forest” on non-forest is a risk that sequestered CO2 may be lost the accounting. This is so that countries land elsewhere. This rule allows countries again, e.g. due to a forest fire, and this will not benefit from HWP from countries to keep forest plantations that are subject makes them less attractive than permanent where the corresponding removal of bio- to deforestation under forest management credits from CDM projects in the energy, mass is not included in the accounting. if a number of requirements are met. This agriculture or waste sectors, which do not Including HWP in the accounting provides includes the establishment of a new forest need to be replaced. a more comprehensive assessment of the that has a similar carbon stock potential, climate effect of forestry, and counteracts which will then be included under the 8 http://www.ipcc-nggip.iges.or.jp/public/kpsg/ the incentive to increase net removals forest management activity instead of index.html

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Aerial view of cultivated Negotiations are still ongoing regard- implementation of REDD+ by develop- fields, Betroka Region, southern Madagascar ing alternative approaches to the risk of ing countries. This includes a decision non-permanence, and whether to include on how to measure, report and verify additional LULUCF activities under the (MRV) results, which, similar to forest CDM for the second commitment period. management under the Kyoto Protocol, system that can provide data on forest are calculated as the difference between carbon stocks, forest area change, and REDD+ a forest reference emission level (FREL) emissions and removals of greenhouse

REDD+ (Reducing emissions from measured in tonnes CO2eq/year and actual gases. The Warsaw Framework for REDD+ deforestation and forest degradation in emissions during the year concerned. lists the requirements for obtaining results- developing countries, and the role of Countries participate in REDD+ on a based payments for REDD+, and the Green conservation, sustainable management voluntary basis. Sixteen countries had by Climate Fund has been asked to provide of forests and enhancement of forest car- mid-2016 submitted a proposed FREL to such funding. bon stocks) has been discussed under the the UNFCCC for a technical assessment The Green Climate Fund (GCF) is a Convention since 2005 (see also the article and many more are progressing towards financial mechanism for the Convention on REDD+ in this issue of Unasylva). A submission.9 A prerequisite for participat- established at UNFCCC COP 16 in 2010. comprehensive set of decisions, agreed ing is to have a national forest monitoring The mandate of the Fund is to promote at COP 19 in Warsaw and known as a paradigm shift towards low-emission the Warsaw Framework for REDD+, 9 http://redd.unfccc.int/fact-sheets/forest-reference- and climate-resilient development path- provides the basic framework for the emission-levels.html ways by providing support to developing

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countries so that they can limit or reduce the land-use sector up to 2030 could be Iversen, P., Lee, D. & Rocha, M. 2014. their greenhouse gas emissions and adapt between 20 and 25 percent of the total Understanding land use in the UNFCCC to the impacts of climate change. mitigation of all sectors.11 The relevant (available at http://www.fcmcglobal.org/ activities and potential contribution will Land_Use_Guide2.html). ADAPTATION vary among countries, from the reduction UNFCCC. No date. UNFCCC negotiations: Both adaptation to climate change and the of deforestation and forest degradation to bodies (available at http://unfccc.int/files/inc/ mitigation of climate change are important. the sustainable management of forests, graphics/image/png/unfccc_bodies_large. And for the land-use sector there are many establishment of new forests and produc- png). u linkages. Many adaptation activities that tion of forest products to substitute more will improve resilience to climate change carbon-intensive products – including will also mean more resilient carbon fossil fuels. It will be up to countries to reservoirs, which can be considered a define how they realize this potential. u mitigation activity. Through the National Communications listed in Table 2 above, Parties also report on measures to facilitate adequate adaptation to climate change. Adaptation actions tend to be context- specific, and a changing climate makes this an ongoing process. Adaptation to climate change for forests is both about making the forest ecosystem more resilient to climate References change and thereby reducing vulnerability, and about the continued ability of forests FAO. No date. Soil properties: biological to provide goods and services, notably to properties. FAO soils portal (available at forest-dependent communities. In years http://www.fao.org/soils-portal/soil-survey/ with poor agricultural harvests, forests soil-properties/biological-properties/en/). have traditionally functioned as a buffer Grassi, G. & Dentener, F. 2015. Quantifying for food products and income, a role that the contribution of the land use sector to could become even more important in the the Paris Climate Agreement. JRC Science future. for Policy Report. EC Joint Research Centre In conclusion, there is no doubt that (available at http://publications.jrc.ec.europa. forests and other land uses will con- eu/repository/bitstream/JRC98451/jrc%20 tinue to play a significant role for both lulucf-indc%20report.pdf). adaptation to and mitigation of climate IPCC. 2006. 2006 IPCC Guidelines for change. The Paris Agreement article 4.1 National Greenhouse Gas Inventories. mentions that “Parties aim … to achieve Agriculture, forestry and other land use a balance between anthropogenic emis- (Vol. 4). Prepared by the Task Force on sions by sources and removals by sinks National Greenhouse Gas Inventories of greenhouse gases in the second half Programme, H.S. Eggleston, L. Buendia, of this century”.10 This underlines the K. Miwa, T. Ngara & K. Tanabe, eds. importance of the sink effect delivered Hayama, Japan, IGES. through photosynthesis from forests and IPCC. 2014. 2013 Revised supplementary other land uses as a part of global efforts methods and good practice guidance to stabilize greenhouse gas concentra- arising from the Kyoto Protocol. Prepared by tion in the atmosphere. An analysis made T. Hiraishi, T. Krug, K. Tanabe, N. Srivastava, in late 2015 before COP 21 in Paris, J. Baasansuren, M. Fukuda & T.G. Troxler, based on 74 INDCs, showed that the eds. Geneva, IPCC. expected mitigation contribution from

11 http://publications.jrc.ec.europa.eu/repository/ 10 https://unfccc.int/resource/docs/2015/cop21/eng/ bitstream/JRC98451/jrc%20lulucf-indc%20 l09r01.pdf report.pdf

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Incorporating forest landscapes into climate-smart agricultural strategies

A. Cattaneo and L. Lipper

Forest landscapes need to be an limate-smart agriculture (CSA) is Drawing upon recent analytical work integral part of any climate-smart an approach that strives to increase carried out by FAO, this article argues agriculture development strategy food security while incorporating that CSA strategies need to take into con- if it is to be coherent and effective. Cmeasures for adaptation to climate change sideration the order of magnitude of the and the mitigation of greenhouse gas effects of across- and within-landscape (GHG) emissions. Forests are an important interventions, their costs, and barriers part of such measures. However, the driv- to their adoption. In this respect, a CSA ers of deforestation and forest degradation strategy that ignores forests would exclude are often situated outside the forestry sec- an important segment of the vulnerable tor. It is therefore important that national population and disregard forests’ special CSA strategies look at the agricultural role in mitigating both GHG emissions and system – including forestry – as a whole. the detrimental effects of climate change Andrea Cattaneo is Senior Economist This means weighing up the role of differ- on agriculture. with FAO’s Agricultural Development ent landscapes in providing food security Economics Division. and GHG mitigation, interactions across Leslie Lipper is Executive Director of the CGIAR’s Independent Science and landscapes, and improvements that can be Partnership Council. made within a landscape. Farmers control soil erosion, Southern Lempira, Honduras © FAO/GIUSEPPE BIZZARRI © FAO/GIUSEPPE

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EVOLUTION OF THE CONCEPT of the forestry sector in food security is Deforestation and forest degradation AND DEFINITION OF CLIMATE- often overlooked or poorly understood, are taking place at an alarming speed in SMART AGRICULTURE AND and the potential trade-offs between food many developing countries where forests IMPLICATIONS FOR THE security, adaptation and mitigation are not are accessible to and to farmers FOREST SECTOR well articulated. CSA therefore takes on (both large- and small-scale). This is a FAO designed climate-smart agriculture a different connotation in the forestry reflection of the income-generation poten- as an approach to help countries integrate context, introducing the food security and tial of forest “mining” and agricultural the effects of climate change into their adaptation elements within the existing activities after land conversion, despite the agricultural planning and investment forest-related mitigation efforts, while potential negative impacts on food security decision-making.1 The CSA approach recognizing the important GHG mitiga- in the long term. incorporates both the need for adaptation tion potential. In this article, we consider Any national agricultural strategy must and the possibility of mitigation actions in forestry to include lands that meet criteria take into account both the positive and agricultural strategies, while considering for formal classification as forests,2 and negative impacts on poverty and on the possible trade-offs between food security consider as land-use systems environment of clearing new areas for and GHG mitigation. It is based on the where woody perennials are deliberately production of crops or livestock, and development of an evidence base together used on the same land-management units weigh these against alternative develop- with policy and stakeholder dialogues. The as agricultural crops and/or animals. ment options that maintain forests. In fact, broad objective of the approach is to sup- there is not a simple alternative between port countries in securing the necessary Forestry and food security unmanaged natural forest and clearing policy, technical and financial conditions Forests play an important role across all for agricultural purposes, but rather a to enable them to: four dimensions of food security. For broad spectrum of potential intermedi- • sustainably increase agricultural pro- example, it is estimated that approximately ate landscapes (Figure 1). The innovation ductivity and incomes; 60 million indigenous people are almost of a climate-smart approach here is the • build resilience and capacity of agri- wholly dependent on forests, 350 million need to consider the role of forestry in cultural and food systems to adapt to people depend on forests to a high degree food security and adaptation, as well as climate change; and for subsistence and income, and about mitigation, across a range of landscapes. • reduce and remove GHGs compat- 1.2 billion people rely on agroforestry ibly with national food security and farming systems (World Bank, 2004). FAO Forestry and adaptation development goals. estimates that 2.4 billion people use wood- The fifth assessment report of the Inter- Innovative financing mechanisms that fuel to cook their food, and that 1.3 billion governmental Panel on Climate Change link and blend climate and agricultural rely on forest products to provide shelter (IPCC) noted a medium level of confi- finance from the public and private sector (FAO, 2014). dence that several regions will suffer from are a key means for implementing CSA, Historically, the main impact of forests increased tree mortality and as are the integration and coordination of on poverty alleviation in developing coun- in the 21st century under medium to high relevant policy instruments. The adop- tries has been in their role as safety nets emissions scenarios (IPCC, 2014). However, tion of CSA practices at scale will require for food security or as sources of rent to specific forestry practices can strengthen appropriate institutional and governance be reinvested elsewhere (Wunder, 2001). resilience of natural and planted forests to mechanisms to facilitate the dissemina- Recent evidence from Asia and the Pacific climate change. Examples include reduced tion of information and ensure broad region indicates that forests also contribute impact logging to maintain ecosystem integ- participation. to more proactive forms of poverty reduc- rity, fire prevention and management, and Forestry is something of a special case tion and food security, through activities silvicultural options aimed at facilitating in CSA, since the sector plays a major such as , small and genetic adaptation (Guariguata et al., 2008). role in global climate-change-mitigation medium-sized forest enterprise devel- Approaches outlining how forest manage- strategies. An entire body of work and opment or payments for environmental ment can adapt to climate change have been political processes specific to forestry services, but that this contribution is proposed (for example, Spittlehouse and and climate change has thus been estab- limited (FAO, 2012). Stewart, 2004; Millar et al., 2007), and the lished, in contrast to the crops, livestock importance of such adaptation should not be and fisheries sectors. In addition, the role underestimated (Dale et al., 2001; Kirilenko 2 FAO defines a forest as at least 1 ha in size with and Sedjo, 2007; Allen et al., 2010). at least 10 percent crown cover and mature trees 1 Here agriculture refers to crops, livestock, fisher- of at least 2 metres in height (see http://www. Forests also play an important role in ies and forestry sectors. fao.org/docrep/014/i2011e/i2011e00.pdf). facilitating adaptation by mitigating the

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impacts of climate change. Tropical for- of deforestation (Cattaneo, 2005; Barona already contain elements that support the ests have high rates of transpiration that et al., 2010; Lapola et al., 2010; Cohn et al., development and implementation of CSA. contribute to cloud formation, consider- 2014). The need to take account of the However, efforts are needed to: (i) ensure ably reducing both surface temperature indirect effects of developments outside the a coordinated vision that articulates pri- and the amount of sunlight reaching the formal forestry sector in order to manage orities; (ii) identify activities, institutions Earth’s surface (Anderson et al., 2011). deforestation and degradation within it and policies to support such a vision; and Land-use change alters albedo and evapo- implies a need for landscape-level coordi- (iii) define the overall investment strategy. transpiration, which influence climate nation of management strategies. directly (Bonan, 2008). At local scales, Whereas reducing deforestation requires Balancing food security, adaptation direct climate effects from land-use change addressing issues across landscapes, there and mitigation benefits across may have a much greater impact than the are a number of sustainable forest man- landscapes marginal indirect effects of the emitted agement (SFM) practices that have clear CSA activities, and the role of forestry greenhouse gases (Georgescu et al., 2011; benefits in reducing forest degradation within them, can range over a broad Loarie et al., 2011). Forests and agroforestry within forest landscapes (see Boscolo et al., spectrum, depending on the relative can potentially play an important role in 2009). These within-landscape manage- importance of CSA’s three pillars – food adaptation in crop and livestock systems ment approaches have important implica- security, adaptation to climate change, (Verchot et al., 2007) and in disaster risk tions for mitigation. However, large-scale and GHG mitigation – in a given coun- reduction (Wahlström, 2015). adoption of many of these practices can try. Understanding the role of forestry in face multiple financial, institutional, or a national CSA strategy requires a broad Forestry and mitigation policy-related barriers. assessment of available forest-related The forestry sector can make a major con- options and their potential impacts on the tribution to global mitigation, but realizing ILLUSTRATING THE CSA APPROACH three pillars. These can include reduc- this potential requires coordinated actions ACROSS AND WITHIN LANDSCAPES: ing the expansion of agriculture onto across crop, livestock and forestry produc- THE ROLE OF FORESTS forest lands, reducing forest degradation, tion systems. Forests are a special case Given the objective of CSA to explicitly improving the efficiency of use, within agriculture, recognized in recent integrate the challenges and opportuni- agroforestry, and the increased use of trees international efforts to support and coordi- ties of climate change into agricultural in agricultural landscapes. nate countries’ efforts to reduce emissions development planning, it is essential to In Figure 1 we provide, for a hypothetical from deforestation and forest degradation build national CSA strategies into exist- case, a schematic overview of the relative (REDD+). This effort is a reflection of the ing agricultural development strategies, large GHG mitigation potential related to forest policies, and climate change poli- 1 forestry, and agroforestry, relative to other cies. Usually, both national agricultural A spectrum of landscapes: agriculture-related mitigation options. development and climate change policies a hypothetical food security and Forest degradation and deforestation mitigation potential profile are the outcomes of two types of land-use Spectrum of landscapes with increasing above-ground biomass decisions that have different drivers, with the former often being a result of excessive harvesting of forest products, such as timber Monoculture Mixed Tree-based Forest or firewood, whereas the latter is typically annuals systems systems – livelihoods linked to agricultural returns and the com- –crops, agroforestry, in managed parative advantage of clearing forests for agrofor., planted natural livestock forests, forest crop and livestock uses (Cattaneo, 2008). timber, etc. There is an extensive literature highlighting indirect, or underlying, drivers of deforesta- tion (Geist and Lambin, 2002; Hosonuma et al., 2012; Pacheco et al., 2011). These studies highlight the fact that developments in agriculture outside forested areas – whether related to pasture, soybeans, or Comparative role of a landscape in contributing to overall food security in a country biofuels from agricultural crops – can GHG mitigation potential of a landscape have a large impact on proximate drivers

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contribution to food security versus miti- gation potential of a range of potential landscapes. The figure demonstrates the need for an overview of the types of food security, adaptation and mitigation benefits that can be generated across the types of landscape found within a country. The comparative role of a landscape in contrib- uting to food security is context-dependent and depends on the size of a landscape, its population, and the relevance of spe- cific aspects of food security (availability, access, utilization, and stability). The hypothetical profile shown in Figure 1 represents a country where the food security benefits of monoculture annuals vary broadly depending on the crops, the farmers planting them, and the

practices used. In this hypothetical case, © FAO/A. WOLSTAD mixed systems and tree-based systems may provide a higher contribution to food security relative to managed natural forests. The mitigation potential in this example increases steadily as more trees Farmers plant young pine trees to help are included in the landscape, up to a stimuli, household socioeconomic condi- control erosion in areas of rice cultivation in the Himalayan foothills, Nepal point where naturally managed forests tions, and institutional settings, as well as are remote enough to be at a lower risk of other factors (Arslan et al., 2013; Asfaw deforestation, hence with a lower likeli- et al., 2014; Maddison, 2007; Nhemachena production systems to climate change, hood of emitting the carbon stored in them and Hassan, 2007). while also reducing emissions from for- than forests in more accessible areas. Scaling up the adoption of agroforestry est degradation. However, the literature The profiles illustrated in Figure 1 indi- practices is a key part of national agricul- indicates that in managed forest landscapes cate the types of trade-offs a CSA strategy tural development and adaptation strategies adoption of SFM has been lagging. Barriers should consider when identifying the inter- for many countries. Adoption rates have to adoption include limited profitability and ventions needed within each landscape generally been lower than expected, due the opportunity costs of maintaining forest (for example, Pacheco et al., 2011). This to barriers such as delayed returns on land, inadequate legal and institutional top-down approach should then be recon- investment, weak and missing input sup- environments and limited enforcement, ciled with bottom-up approaches based on ply systems, limited property rights, and and limited know-how for producing mar- stakeholder consultation (van Noordwijk farmers’ lack of information about the sys- ketable tree products (Pearce et al., 2003; et al., 2015). tem and how to apply it (McCarthy et al., Boscolo et al., 2009; van Noordwijk et al., 2011; Mercer, 2004; Valdivia et al., 2012). 2008; Nasi et al., 2011). Nasi et al. in the Within-landscape interventions: Mercer (2004) provides a review of the context of REDD+, and van Noordwijk building coherent policies and role of preferences, resource endowments, et al. in the context of agroforestry, outline institutions and overcoming barriers market incentives, biophysical factors, and possible approaches for overcoming barri- to CSA adoption risk and uncertainty as determinants for the ers to the adoption of SFM practices and An important part of developing a CSA adoption of agroforestry, highlighting the . Their guidance centres on strategy is understanding the barriers to fact that risk and uncertainty appear to be legal and institutional frameworks, regula- adoption of CSA management practices in particularly important factors in decisions. tory enforcement, economic incentives, a given landscape. Studies of farm-level As mentioned earlier, the adoption of and extension and information diffusion. adaptation in crop production that draw sustainable forestry management practices The appropriate combination of these upon household datasets confirm that farm- can contribute to the resilience of forests, ingredients will depend on the specific ers make decisions in response to climate as well as of local crop and livestock context of a forest landscape.

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Box 1 Across- and within-landscape interventions: the case of agriculture–charcoal interactions as determinants of deforestation and forest degradation in Zambia

FAO, in partnership with the Zambian Forest Department, has begun simulating the relative contribution to deforestation and forest degrada- tion of the two largest proximate drivers of deforestation in Zambia, namely charcoal production and agriculture, under different scenarios for the period 2015–2022 (FAO, 2015a). Different options to reduce land-use change are examined, using a computable general equilibrium model that captures economic processes across Zambia’s different agroecological zones. The model includes assumptions that forests used for unsustainable charcoal production are degraded, and may be converted in part to land for agricultural use. However, land can also be deforested directly for agricultural use without going through a phase of charcoal production and associated degradation. Results highlight the important interplay between charcoal, crop, and livestock production in determining deforestation rates and forest degradation in Zambia. For example, measures that exclusively address charcoal drivers, such as decreasing charcoal demand through improved stove efficiency or improving the sustainability of production, do reduce forest degradation but are ineffective in reducing deforestation rates as land continues to be cleared due to demand for agricultural land. Conversely, measures addressing agricultural drivers, such as reducing fertilizer subsidies in a targeted manner, or reducing land degradation through the increased adoption of sustainable land management mea- sures, contribute to reducing deforestation rates, but have little impact on forest degradation (see Figure 2).

2 Predicted 5.0 Deforestation cumulative impact directly for 4.5 agriculture on forests in Zambia under different scenarios 4.0 Deforestation – for the period charcoal- 2015–2022: area 3.5 “induced” deforested directly for agriculture, 3.0 Forest attributable to degradation – charcoal, and charcoal- 2.5 forest degradation “induced”

Million ha Million (million ha) 2.0

1.5

1.0

0.5

0.0 Business- Stove Charcoal Reduce Reduce Potential as-usual efficiency sustainability fertilizer land REDD+ (+ 30%) subsidies degradation package

Simulations indicate that approximately 1 million ha of deforestation could be avoided in the period 2015–2022, and forest degradation reduced across an area of 1.06 million ha, with a potential REDD+ package proposing: a) a reduction of fertilizer subsidies in selected agroecological zones (across-landscape because it is not targeted towards improving welfare in agricultural areas, but rather to decrease pressure on forests), b) reducing land degradation through sustainable land management practices (within-landscape, with spillover effects on demand for agricul- tural land), combined with c) making charcoal production more sustainable and improving stove efficiency (both within the forest landscape). We also report on effects of the proposed REDD+ package on incomes of farm households in different agroecological areas, which has a bearing on food security. Impacts differ by region, indicating that the financial resources available under REDD+ may need to be allocated so as to counteract income losses. A concerted effort that provides coherent policies and investments both across and within landscapes can therefore achieve better welfare while reducing GHG emissions, assuming that alternative livelihood options can be found for the communi- ties most affected by the GHG mitigation strategy.

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Integrating diverse financing streams: source to consider for an integrated CSA Bringing it all together: developing a a key tenet of CSA strategy across forest, crop and livestock CSA strategy that is inclusive of forests The necessity of adapting to and mitigating productive landscapes. In 2014 there were The framework presented in Figure 3 illus- climate change in agriculture (including 70 NFFs operating globally (FAO, 2015b). trates that when it comes to forestry it is forestry), and building the enabling con- These funds are dedicated to supporting important to distinguish between inter- ditions to overcome barriers to adopting the conservation and sustainable use of for- ventions aimed at affecting the balance systems that will effectively deliver these ests and can finance a range of ecosystem between different types of landscapes objectives, requires a reconsideration of goods and services from forests – including and interventions targeted within exist- the strategies and investment priorities for adaptation and mitigation. Such funds are ing landscapes. The former will be of a achieving sustainable agricultural growth notably being used to support activities for more systemic nature, affecting the com- and food security. This will involve addi- reducing deforestation and forest degra- parative advantage of different landscapes tional investment costs, although actual dation, and improving community forest in producing goods and services, whereas estimates vary and are context-dependent management and disaster risk reduction the latter will typically be more targeted (FAO, 2013). A key tenet of the CSA (FAO, 2015b). to the adoption of specific practices within approach is to respond to the additional Better coordination of financing from a landscape. investment requirements implied by national forest funds with national agri- The first step in the process in Figure 2 integrating emerging sources of climate cultural investment financing and new is to assess the relative contribution (or finance for adaptation and mitigation forms of climate finance are needed to potential) of different landscapes to food into traditional sources of agricultural overcome the financing gap for achieving finance. In this context, national forest the transition to CSA, and to improve the 3 funds (NFFs) are an important financing effectiveness of these financing sources. A framework for developing a CSA strategy across and within landscapes

What interventions are Identify drivers of land-use change & their necessary across landscapes? impacts on food security Based on national priorities, what & is the desired allocation of land Examine investment & policy levers for across landscapes? desired landscape composition

Investments and interventions on policies and institutions to obtain the desired landscape composition (flows across the boxes)

Annual Managed Assess the situation for monocropping natural forest an overall CSA strategy How to find a balance between food security and mitigation that is compatible with a country’s development? Mixed systems Tree-based

Investments and interventions on policies and institutions to increase adoption of desired CSA practices within a landscape (inside the boxes)

What are relevant CSA Identify synergies and trade-offs practices in a landscape? of relevant practices Vulnerable areas & GHG & mitigation potential Understand barriers to adoption; compare benefits and costs

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Men carry fruit and vegetables to market, security, climate change adaptation, and CONCLUSIONS Kiroka, United Republic of Tanzania GHG mitigation goals. This should then Forests have an important role to play in lead to concerted action through invest- adapting to climate change, supporting food Both across-landscape and within- ments and policy interventions in terms security and reducing emissions from the landscape actions are needed. Agricultural of addressing perceived imbalances across agriculture and land-use sectors – within productivity improvements in areas far landscapes, and working within existing and across agroecosystem landscapes. from the forest provide an example of landscapes by improving management Until now, the mitigation role of forests an across-landscape consideration. Such practices so as to increase food security has been most prominent in the climate improvements would reduce pressure on and generate GHG mitigation co-benefits. change policy arena – as the REDD+ the forest while increasing food avail- To implement this approach and find debate has already made clear. However, ability. A diverse set of within-landscape the right entry point, it is crucial to better forest communities should leverage their management practices are known, which understand the drivers of land-use change potential role in GHG emission reductions can improve food security or mitigate and their impacts on food security. It is to make sure that their food security and GHG emissions or both. However, the also important to understand the synergies adaptation needs are not compromised. We adoption of such practices is often limited and trade-offs, i.e. benefits and costs, of argue that a CSA strategy that ignores the by information, financial, and institutional relevant practices within each landscape, so role of forests will undermine policies to constraints, which need to be addressed in as to overcome barriers to their adoption. reduce deforestation. CSA policies and investment strategies.

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Maddison, D. 2007. The perception of and Pacheco P., Aguilar-Støen, M., Börner, J., D. Catacutan, eds. Climate-smart land- adaptation to climate change in Africa. Etter, A., Putzel, L. & Vera Diaz, M.C. scapes: multifunctionality in practice, World Bank Policy Research Working Paper, 2011. Landscape transformation in tropical pp. 37–49. Nairobi, ICRAF. 4308. Washington, DC, World Bank. Latin America: assessing trends and policy van Noordwijk, M., Roshetko, J.M., McCarthy, N., Lipper, L. & Branca, G. 2011. implications for REDD+. Forests, 2: 1–29. Angeles, M.D., Fay, C. & Tomich, T.P. Climate-smart agriculture: smallholder Pearce, D., Putz, F.E. & Vanclay, J.K. 2003. 2008. Farmer tree planting barriers to sus- adoption and implications for climate Sustainable forestry in the tropics: panacea tainable forest management. In D.J. Snelder change adaptation and mitigation. MICCA or folly? Forest Ecology and Management, and R.D. Lasco, eds. Smallholder tree Working Paper 4. Rome, FAO. 172(2): 229–247. growing for rural development and envi- Mercer, D.E. 2004. Adoption of agroforestry Spittlehouse, D.L. & Stewart, R.B. 2004. ronmental services, pp. 429–451. Dordrecht, innovations in the tropics: a review. Agro- Adaptation to climate change in forest Netherlands, Springer. forestry Systems, 61(1–3): 311–328. management. Journal of Ecosystems and Verchot, L.V., van Noordwijk, M., Millar, C.I., Stephenson, N.L. & Management, 4(1). Kandji, S. et al. 2007. Climate change: Stephens, S.L. 2007. Climate change and Valdivia, C., Barbieri, C., & Gold, M.A. 2012. linking adaptation and mitigation through forests of the future: managing in the face Between forestry and farming: policy and agroforestry. Mitigation and Adaptation of uncertainty. Ecological Applications, environmental implications of the barriers to Strategies for Global Change, 12: 901–918. 17: 2145–2151. agroforestry adoption. Canadian Journal of Wahlström, M. 2015. The critical role of Nasi, R., Putz, F.E., Pacheco, P., Wunder, S. Agricultural Economics/Revue canadienne trees and forests in disaster risk reduction. & Anta, S. 2011. Sustainable forest manage- d’agroéconomie, 60(2): 155–175. Unasylva, 243/244: 3–5. ment and carbon in tropical Latin America: van Noordwijk, M., Minang, P.A., World Bank. 2004. Sustaining forests: a the case for REDD+. Forests, 2(1): 200–217. Freeman, O.E., Mbow, C. & de Leeuw, J. development strategy. Washington, DC, Nhemachena, C. & Hassan, R. 2007. Micro- 2015. The future of landscape approaches: World Bank. level analysis of farmers’ adaptation to interacting theories of place and change. Wunder, S. 2001. Poverty alleviation and climate change in southern Africa. IFPRI In P.A. Minang, M. van Noordwijk, tropical forests – what scope for synergies? Discussion Paper 00714. Washington, DC. O.E. Freeman, C. Mbow, J. de Leeuw & World Development, 29: 1817–1834. u

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An overview of REDD+

M.J. Sanz and J. Penman © FAO/RICARDO VILCHEZ

Reserve in Puntarenas A look at the history and role EDD+ is a process for reducing province, Costa Rica of efforts to reduce emissions emissions from deforestation from deforestation and forest and forest degradation, sustain- degradation. Rably managing forests, and conserving at the role of deforestation in developing and enhancing carbon stocks. It aims to countries. REDD1 was made a formal part contribute to mitigating climate change of the climate change agenda in 2005, at in developing countries by reducing UNFCCC COP 11, held in Montreal. the release of carbon stored in forests. REDD+, born of the discussions at Payments for results can translate into COP 13, held in Bali in 2007, took this one incentives for mitigation that can in turn step further, with the “plus” including the contribute to better land-use planning, role of conservation, sustainable manage- better stewardship of forest resources, ment of forests and enhancement of forest María José Sanz is Scientific Director and investment in low-carbon paths to carbon stocks. REDD+ has since become of the Basque Centre for Climate Change (BC3). She was the UN-REDD Programme sustainable development. an important part of the climate negotia- Coordinator at FAO until December 2015. As far back as 2000, the United Nations tions. It made substantial progress as part Jim Penman is Honorary Professor, Framework Convention on Climate Change Environment Domain, University College London, and Chair of the GFOI MGD (UNFCCC) had, at its 6th Conference of 1 Reducing emissions from deforestation and Advisory Group. the Parties (COP 6), already begun to look forest degradation.

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of the framework agreed at the UNFCCC’s (IPCC) for estimating greenhouse gas requirements for REDD+. Amongst other Warsaw Conference of the Parties in 2013, (GHG) emissions and removals; things, the decision requested Parties to: and is part of the agreement concluded at • national coverage with the possi- • identify drivers of deforestation and the Paris Conference of the Parties at the bility of subnational approaches as forest degradation, and actions that lead end of 2015. an interim step; to stabilization of forest carbon stocks; REDD+ processes in countries are • safeguard provisions; and • use IPCC guidance; benefiting from extensive bilateral and • encouragement of independent review. • establish national forest monitoring multilateral programmes which, although One of the main outcomes of COP 13 was systems; presenting a complex landscape, are the Bali Action Plan, which recognized • make joint use of remotely sensed and becoming better coordinated. The experi- REDD+ as an important area for future ground-based data; ence gained under REDD+ is likely to be implementation of the UNFCCC, requiring • be transparent, consistent, and as far useful in land-use monitoring and manage- greater national and international action. as possible accurate; ment in general, and provides a basis for REDD+ was at that point the only aspect of • engage indigenous communities and recognizing other environmental values. the future treaty where an agreed rule-set local communities; had been at least sketched out, and it has • build and enhance capacity (for Parties AGREED INDICATIVE GUIDANCE since remained one of the most advanced in a position to do so and international COP 13 set out and encouraged the use areas. organizations); and of agreed indicative guidance – that is, a The Bali Action Plan anticipated work on • for Parties establishing reference suggested rule-set – for REDD demonstra- a future climate agreement (post-Kyoto) to levels, to do so transparently with the tion activities. The Bali REDD+ decision be completed by COP 15 in Copenhagen possibility of adjustment for national contains many of the elements developed in 2009. Although COP 15 results at circumstances. subsequently in more detail, including: Copenhagen fell short on achieving the COP 16 in Cancun subsequently set out • voluntary participation; comprehensive agreement that had been the definitive list of activities eligible to • consistent, results-based estimation of hoped for, REDD+ was one of the areas be qualified as REDD+ (also shown in emissions reductions; that saw significant progress. A COP deci- Box 1), namely: (a) reducing emissions • use of the Guidelines of the Intergov- sion on methodological guidance notably from deforestation, (b) reducing emissions ernmental Panel on Climate Change provided more substantial indications on from forest degradation, (c) conservation

Field trip to Reserva Natural El Hatico, Colombia, to take carbon measurements as part of a workshop on REDD+ hosted by the International Center for Tropical

© CIAT/NEIL PALMER Agriculture (CIAT)

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participation of stakeholders, including non-market based approaches,5 consistent Box 1 indigenous peoples and local communities. with environmental integrity, including the Definitive list of activities The Cancun Agreements anticipate safeguards identified. eligible to be qualified a three-phase approach, starting with COP 18 (Doha, 2012) established a work as REDD+, as set out at capacity building and policy imple- programme on results-based finance to COP 16 in Cancun mentation and leading to full-scale explore means to transfer payments for implementation of results-based actions results-based actions, incentivization of (a) Reducing emissions from deforestation with measurement, reporting and verifica- non-carbon benefits, and ways to improve (b) Reducing emissions from forest degra- tion (MRV). The Agreements also request the coordination of results-based finance. dation exploration of the financing options for The most prominent outcome was the (c) Conservation of forest carbon stocks rewarding results, known in this context inclusion of REDD+ as one of the topics to (d) Sustainable management of forests as results-based actions. be supported by the Green Climate Fund. (e) Enhancement of forest carbon stocks COP 17 (Durban, 2011) established that At Warsaw in 2013, COP 19 agreed the information provided by Parties on on seven decisions concerning REDD+, safeguards should be transparent, con- collectively referred to as the Warsaw of forest carbon stocks, (d) sustainable sistent and regularly updated, allow for Framework for REDD+, which brings management of forests, and (e) enhance- improvements over time, and be accessible together the results of all the negotiations ment of forest carbon stocks. to all relevant stakeholders. It should be regarding REDD+ since Montreal in The Cancun decision makes clear that country-driven and build on appropriate 2005. As discussed below, it is a frame- these are voluntary activities to be under- existing systems. Provision of informa- work that leaves a degree of flexibility in taken by developing countries in the context tion should respect national sovereignty interpretation. An increasingly common of the provision of adequate and predictable and legislation, international obligations understanding may be expected as experi- support, including financial resources and and agreements, and gender considera- ence accumulates. technical and technological support in tions. Information would be provided via accordance with national circumstances. National Communications (NCs), and any THE REDD+ RULE BOOK The Cancun Agreements consolidate other channels agreed by the COP. Four of the seven decisions in the Warsaw progress by requesting developing country The same COP 17 decision established Framework represent rules and modali- Parties aiming to undertake these REDD+ that FREL/FRLs, expressed as tonnes of ties to guide REDD+ implementation as activities to develop: CO2 equivalent, would be used as bench- laid out in the Cancun Agreements. The • a national strategy or action plan marks for assessing performance across all remaining three decisions relate to coordi- (NS/AP); of the REDD+ activities. They should be nation of support, results-based financing, • a national forest reference emission established on the basis of historical data, and addressing the drivers of deforestation level (FREL), or national forest refer- be consistent with national GHG invento- and forest degradation. ence level (FRL),2 with subnational ries, with the possibility of adjustments for The rules and modalities included in the FREL/FRLs possible as an interim step; national circumstances and updating to take decisions refer to the four main elements • a robust and transparent national forest into account new knowledge and method- (outlined in the Cancun Agreements) that monitoring system; and ologies. It also established that FREL/FRLs developing countries will need to have in • a system for providing information should include all significant carbon pools place to access REDD+ RBPs. These are on safeguards,3 which are listed in an and activities, although “significant” is not summarized in Figure 2. annex. defined. Parties are invited to submit FREL/ In the case of National Strategy/ Parties are also asked to address drivers of FRLs on a voluntary basis and a process Action Plan (NS/AP) and National For- deforestation and forest degradation, land for their technical assessment (TA) is estab- est Monitoring System (NFMS), general tenure issues, forest governance and gender lished. In a separate decision, the Durban guidance is provided that allows for flex- issues, and to ensure full and effective COP recalled the agreement in Cancun on ibility to tailor them to national needs and the need for results-based payments (RBPs) circumstances. 2 FREL and FRL together cover the full range to take place in the context of full measure- of activities, FRELs being for (a) and (b), and ment, reporting and verification, and agreed 5 Approaches where payments are not related to FRLs for (c), (d) and (e). on the possibility of both market-based4 and carbon market transactions. These approaches 3 Decision 1/CP.16 Annex I paragraph 2 indicates are being supported by countries such as the that when undertaking REDD+ activities the Plurinational State of Bolivia, whose Joint list of safeguards in the paragraph should be 4 Approaches where payments are provided Mitigation and Adaptation Mechanism is an promoted and supported. through a carbon market transaction. alternative to REDD+.

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Decision 15/CP.19 Addressing the drivers of deforestation and forest degradation  Non-methodological provisions Decision 14/CP.19 Modalities for measuring, reporting and verifying Decision 13/CP.19 Guidelines and procedures for the technical assessment of submissions from Parties on proposed forest reference emission levels (FRELs) and/or forest reference levels (FRLs) Methodological provisions – Decision 12/CP.19 The timing and frequency of presentations of the summary of  rules and modalities information on how all the safeguards referred to in Decision 1/CP.16, appendix 1, are being addressed and respected Decision 11/CP.19 Modalities for national forest monitoring systems

Decision 10/CP.19 Coordination of support for the implementation of activities in relation to mitigation actions in the forest sector by developing countries, including institutional arrangements Decision 9/CP.19 Work programme on results-based finance to progress the full imple-  Non-methodological provisions mentation of the activities referred to in Decision 1/CP.16, paragraph 70 Decision 1/CP.18 Paragraphs 25–40: agreed outcome pursuant to the Bali Action Plan, laying the basis for the decisions reached in COP 19

Decision 12/CP.17 Guidance on systems for providing information on how all the Methodological provisions – safeguards are being addressed and respected and modalities relating  rules and modalities to FRELs and/or FRLs

Decision 2/CP.17 Paragraphs 63–73: outcome of the work under the Ad Hoc Working Group on Long-term Cooperative Action under the Convention Non-methodological provisions (AWG-LCA) on financing options for the full implementation of the  results-based actions referred to in Decision 1/CP.16, paragraph 73

Decision 1/CP.16 The Cancun Agreements: outcome of the Ad Hoc Working Group on The framework decision Long-Term Cooperative Action under the UNFCCC 

Decision 4/CP.15 Decision 4/CP.15 provides guidance to developing country Parties Initial methodological when implementing activities relating to Decision 2/CP.13  provisions Indicative methodological Decision 2/CP.13 Reducing emissions from deforestation in developing countries: provisions & Non-methodological approaches to stimulate action provisions

1 The REDD+ decisions up to COP 19, Warsaw. Decisions highlighted in green refer to technical methodological provisions; decisions highlighted in red refer to non-methodological provisions (such as drivers of deforestation, coordination of support, work REDD+ National Strategy National Forest programmes on issues of results-based or Action Plan (NS/AP) Monitoring System finance/payments etc.); the decision highlighted in blue refers to the Cancun Agreements that represent the framework for REDD+. The REDD+ decisions taken Elements of at COP 19 are known as the Warsaw the Cancun Framework for REDD+ Agreements

2 Forest Reference Warsaw Framework and related decisions Safeguards Information Emission Level/ on the four methodological elements of the System (SIS) Forest Reference Level Cancun Agreements: National Strategies or (FREL/FRL) Action Plans; Forest Reference Emission Levels and/or Forest Reference Levels (FREL/FRLs); National Forest Monitoring Systems (NFMS); and Systems to provide information on how safeguards are being respected and addressed (SIS)

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NFMS (Decision 11/CP.19) should As already identified, FREL/FRLs, Box 2 summarizes the scope of the TA be informed by the most recent IPCC expressed in tonnes of CO2 equivalent, and Figure 3 shows the steps and time- guidance and guidelines, as adopted or are benchmarks for assessing each coun- line as agreed in Decision 13/CP.19. The encouraged by the COP, and should provide try’s performance in implementing the assessment sessions are scheduled once data and information that are transpar- REDD+ activities. Warsaw Framework a year, and any submissions received by ent, consistent over time and suitable for Decision 13/CP.19 represents a major step the UNFCCC Secretariat no later than ten MRV, and build upon existing systems by providing detailed guidance for the TA weeks ahead of a session will be assessed while being flexible and allowing for of FREL/FRLs submitted by countries, at that session. improvement. and setting out the generic timetable for Each AT conducts a thorough and com- In the case of the NS/AP, the Cancun the assessment process. prehensive assessment of the submitted Agreements already indicated that drivers The TA process is coordinated by the FREL/FRLs, and as the main output of of deforestation and forest degradation, UNFCCC Secretariat. The assessment the process, the AT prepares a report that land tenure, forest governance, gender team (AT) is to be composed of land use, is made publicly available, under its col- issues and safeguards should be addressed, land-use change and forestry (LULUCF) lective responsibility. and Warsaw Framework Decision 15/CP.19 experts selected from the UNFCCC Roster The UNFCCC TA process is intended recalls the importance of addressing of Experts.6 to support countries in improving their drivers. FREL/FRLs, which may initially be sim- ple, but can be improved over time. TAs 6 Information on the UNFCCC Roster of Experts High-level Segment of can be found at http://unfccc.int/parties_and_ may identify areas for technical improve- the UN Climate Change observers/roster_of_experts/items/534.php. ment, but are not to make judgements on Conference in Warsaw, 2013 © UN/EVAN SCHNEIDER

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Box 2 Scope of the Technical Assessment of FREL/FRLs (summarizes the list of matters to be assessed as set out in Decision 13/CP.19)

(a) Consistency between the FREL/FRL and anthropogenic forest-related GHG emissions by sources and removals by sinks in the national GHG inventory (GHGI). (b) How historical data have been taken into account in the establishment of the FREL/FRL. (c) Transparency, completeness,* consistency and accuracy of the information provided, including on methodologies, information, data sets, approaches, methods, models, if applicable, and assumptions used. Whether the FREL/FRLs are national or subnational. (d) Whether an appropriate description of relevant policies and plans has been provided. (e) If applicable, whether descriptions of changes to previously submitted FREL/FRLs have been provided, taking into account the stepwise approach. (f) Pools and gases, activities included in the FREL/FRL, and justification of why omitted pools and/or activities were deemed not significant. (g) Whether the definition of “forest” used in the construction of the FREL/FRL level has been provided and, if it differs from the one used in the national GHGI or from the one reported to other international organizations, why and how the definition used was chosen. (h) Whether assumptions about future changes to domestic policies have been included in the construction of the FREL/FRL. (i) The extent to which the FREL/FRL value is consistent with the information and descriptions provided by the Party.

* “Complete” in this context means the provision of information that allows for the reconstruction of the FREL/FRL.

domestic policies taken into account in the construction of FREL/FRLs. Forest reference levels/forest reference emission levels Once their FREL/FRLs are assessed, countries can report the results of REDD+ REDD+ country steps Technical Assessment team steps implementation through a specific REDD+ annex in their Biennial Update Reports FREL/FRL submission (10 weeks before Secretariat forwards submissions the assessment week) to the TA team (8 weeks before the (BURs). Guidance for reporting the emis- assessment week) sion reductions and removals resulting Provision of clarification or additional TA team asks for clarifications from the REDD+ activities that will be information to the TA team compared with the FREL/FRLs are pro-

vided in Decision 14/CP.19 and can be Centralized, TA teams convene in Bonn, centralized assessment / UFCCC summarized as follows: Country experts can attend in person or remotely Bonn • The estimation of anthropogenic forest-related GHG emissions and week Technical Continuous exchange between the TA team and the country experts removals, carbon stocks and forest Assessment area changes should be consistent with

UNFCCC methodological guidance, TA team requests additional clarifications and data and information should be Country has 8 weeks to provide if necessary transparent and consistent over time, additional clarification and modify the FREL/FRL TA team provides the draft of the and consistent with FREL/FRLs. TA report no later than 12 weeks • Results should be provided via BURs Country has 12 weeks to respond from the TA week on a voluntary basis. When developing to the draft TA team finalizes the report after country countries want to obtain payments for feedback within 4 weeks

UNFCCC Secretariat publishes the report UNFCCC REDD+ Web Platform/Information Hub 3 Steps for the FREL/FRL Technical Assessment (TA). Ten weeks for logistical Source: UNFCCC Secretariat. preparation and 43 weeks for the TA

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Box 3 Summary of information requirements under the Warsaw Framework to be able to access results-based payments

Information on the Cancun safeguards is to be reported through the country National Communication (NC). Results of REDD+ activities in

tonnes of CO2 equivalent will be reported through a technical annex of the BUR. Submission of a national forest reference emissions level/national forest reference level (FREL/FRL) is done through its own communication channel to the UNFCCC, rather than via a NC or Biennial Update Report (BUR).

What countries How to Process Information Hub need to have or communicate associated under Timing on the UNFCCC Decision provide to UNFCCC UNFCCC REDD+ Platform

In place when REDD+ National As appropriate, 1/CP.16 para 71(a), seeking results- Strategy or No need None link to the 9/CP.19 paras 3 based payments Action Plan documents & 11 (RPB)

As appropriate, 1/CP.16 para 71(c), National Forest In place when No need None link to the 4 /CP.15, 11/CP.19 Monitoring System seeking RPBs documents & Annex

FREL/FRL Technical When ready 1/CP.16 para 71(b), National FREL/FRL submission Assessment in the (especially when 12/CP.17 (II), FREL/FRL submission and Technical context of RBPs seeking RBPs) A n n ex 13 /CP.19 Assessment Report

After the FREL/ Technical Results in tonnes Technical 9/CP.19 paras 3 & Technical REDD+ FRL is assessed, Assessment of CO equivalent Assessment of 11(a), (e) 2 Annex to the BUR same regularity of Report of the per year the Annex 14/CP.19 & Annex the BUR (2 yrs) Annex

National Summary of Safeguards 1/CP.16 para 71(d), Communication safeguards When available Information None 12/CP.17 (l), UNFCCC Web available when or updated System (SGI) 12 /CP.19, 17/CP. 21 Platform seeking RBPs

Source: Adapted from P. Iversen, 2015.

results-based actions, an additional REDD+ rules require a summary of The UNFCCC Secretariat will, via its technical annex should be provided information on how the Cancun safeguards REDD+ Web Platform, provide informa- through the BURs. are addressed and respected. Timing and tion on the results of the five REDD+ • Results should be expressed in tonnes frequency of submission for the summary activities and corresponding RBPs. It

of CO2 equivalent per year. are to be provided through the National thereby aims to increase transparency The reported results included in the BUR Communication (NC) after the start of of information concerning results-based REDD+ annex will be subject to the inter- the REDD+ implementation. The decision actions and corresponding payments, as national consultation and analysis7 that, recognizes that it could also be provided well as on the REDD+ elements of the for the purpose of the REDD+ annex, will on a voluntary basis via the REDD Web four Cancun Agreements (see Box 3 above include two experts on the LULUCF sector Platform. Once the first summary is and Decision 1/CP.16, paragraph 71), with- from the Roster of Experts. provided, the frequency will be consist- out creating additional requirements for ent with subsequent NC submissions. developing countries. The Information Hub COP 21 (Paris, 2015) provided further will contain the following (including infor- 7 International consultation and analysis is described at: http://unfccc.int/national_reports/ guidance on the contents of the summary mation on the four Cancun Agreements’ non-annex_i_natcom/cge/items/8621.php. in Decision 17/CP.21. REDD+ elements, Figure 2):

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• a link to the NS/AP as referred to in readiness phases has been ongoing since Fund and the African Development Bank- Decision 1/CP.16, paragraph 71(a); COP 13 in Bali and was substantially administered Congo Basin Forest Fund • the assessed FREL/FRLs and a link to scaled up after COP 16 in Cancun. There (CBFF), which focus on financing REDD+ the final report of the AT (Decision 13/ are multiple initiatives being carried out by in their respective regions, have also con- CP.19, paragraph 18); numerous actors, multilateral and bilateral, tributed to REDD+ support. • information on the NFMS; and at different scales, from regional to The UN-REDD Programme is an ex- • a summary of information on how local. Overall types of needs and funding ample of multilateral efforts being made the REDD+ safeguards are being sources are summarized in Figure 4. So to accompany countries in the readiness addressed and respected; far, these are being bridged by different process following progress under the • the results for each reporting period types of financial arrangements in the three UNFCCC, and is described in more detail and a link to the MRV report; and different phases. in the article on UN-REDD. • information on the quantity of results Donor countries and institutions are Other multilateral initiatives, such as for which payments were received, supporting readiness in various ways, the FCPF, are also supporting readi-

expressed in tonnes of CO2 equiva- from early capacity building to demon- ness processes (through their Readiness lent per year, and the entity paying for stration activities, with RBPs to be made Fund) while providing follow-up support results. once emission reductions or removals are of results-based demonstration activities In addition to the rules and modalities demonstrated (Table 1). The voluntary through their Carbon Fund. Forty-seven for implementation, Decision 9/CP.19 of REDD+ Database9 provides an overview developing countries located in subtropi- the Warsaw Framework launched a work of the funding status and is updated by cal or tropical areas are participating in programme on results-based finance. It donors and recipients on a voluntary basis. the Readiness Fund (18 in Africa, 18 in recognized that the means of rewarding REDD+ finance is provided by several Latin America, and 11 in the Asia-Pacific countries for reducing their emissions different institutions. The World Bank’s region). Countries that have made signifi- according to the REDD+ criteria may come Forest Carbon Partnership Facility (FCPF) cant progress in their REDD+ readiness from a wide variety of sources, public and Readiness and Carbon Funds, the Forest endeavours (18 countries so far) are send- private, bilateral and multilateral. It also Investment Program (FIP) of the Climate ing proposals through the pipeline of the encouraged financing entities, including the Investment Funds, and the UN-REDD Pro- Carbon Fund, through which the FCPF Green Climate Fund, to channel adequate gramme are the funds for REDD+ that will pilot incentive payments. and predictable results-based finance in a have provided most of the multilateral There are other types of support, not fair and balanced manner. Decision 9/CP.19 funding across all regions, supporting a always directly in the form of finance, such establishes the Information Hub on the large number of countries. The Amazon as methodological guidance and access to REDD Web Platform, and publication of the information on the results and cor- 9 4 responding RBPs when available. There http://www.fao.org/forestry/vrd. Needs and types of are two issues that require further work: support for REDD+ incentivizing non-carbon benefits, and clarifying how carbon markets can sup- port REDD+ implementation. Decision Financial agreements • Readiness 10/CP.19 establishes a process to improve • Investments coordination of support, including matters • Results-based payments regarding reception of RBPs, by inviting countries to designate a national entity or focal point to serve as liaison with the Secretariat and bodies under the Conven- tion. The focal points will meet once a year, Needs Sources and the outcomes of these annual meetings • Strategies/plans • Bilateral arrangements will be reviewed by the Subsidiary Body on • Capacity building • Multilateral funds and programmes Implementation by the end of 2017. • Technical elements/arrangements • Indirect • Resources for implementation of • Domestic budgets policies and actions SUPPORTING PROCESSES • Voluntary markets • Performance assessments Support to countries in their REDD+ • NGO support and other funds implementation through the initial

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TABLE 1. Assessment of the state of REDD+ support FUTURE PROSPECTS Type of Scope of data Data-tracking instutution/ Total financial Even before the signature of the landmark funding/ source pledge/ donor investment Paris Agreement in 2015 where it was reported in included in the Agreement’s Article 5, million US$ significant progress had been made in Bilateral 21 donor countriesa Detailed assessment and compilation 4 035 REDD+ in many countries, especially in using: ODI FSF data 2010–2012, the capacity-building phases identified in Voluntary REDD+ Database (VRD) of the REDD+ Partnership (2006–2013) the Cancun decision. In the case of Brazil, Multilateral 6 multilateral ODI HBI CFU tracking (2008–March 3 142 large reductions in deforestation emis- REDD+/forest- 2014) sions have already been achieved in the focused fundsb Amazon biome, thanks to both effective Multiple 21 donors and Detailed assessment and compilation 23 use of national resources and the sup- channels 6 multilateral using: ODI FSF data 2010–2012, port of donors (such as the Norwegian REDD+/forest- Voluntary REDD+ Database (VRD) of focused funds the REDD+ Partnership (2006–2013) International Climate and Forest Initiative) via the Amazon Fund. This did not mean Unknown 21 donors and Detailed assessment and compilation 465 6 multilateral using: ODI FSF data 2010–2012, that REDD+ was somehow a stand-alone REDD+/forest- Voluntary REDD+ Database (VRD) of process, or that it is not seen as an impor- focused funds the REDD+ Partnership (2006–2013) tant part of the Paris Agreement. On the Private 10 REDD+ Forest Trends’ REDD+ (March 2014) 101 contrary, they are intrinsically linked, as c foundations countries evidenced in a number of ways: Private sector 162 projects Ecosystem Marketplace (2013) 900 1. REDD+ was conceived as part of the Total 8 666 UNFCCC negotiating process. a Australia, Austria, Belgium, Canada, Denmark, the European Union, Finland, France, Germany, Ireland, Italy, 2. The internationally agreed concep- Japan, Luxembourg, Netherlands, Norway, Slovakia, Spain, Sweden, Switzerland, United Kingdom and United tual and methodological underpinning States of America. b Multilateral funds include: the Forest Investment Program (FIP), Forest Carbon Partnership Facility (FCPF) for REDD+ contained in the Warsaw Readiness Fund, FCPF Carbon Fund, the BioCarbon Initiative for Sustainable Forest Landscapes, the Amazon Framework is a product of the Fund and the Congo Basin Forest Fund. UNFCCC which provides the basis c Including Brazil, Colombia, Democratic Republic of the Congo, Ecuador, Ghana, Indonesia, Liberia, Mexico, Peru and Tanzania.. for its future development. Source: Norman and Nakhooda, 2014. 3. The use of FREL/FRLs as a bench- mark for assessing performance in data. The Global Forest Observations Initi- in preparation and MGD version 2 is implementing REDD+ activities, and ative (GFOI), for example, was established expected in 2016. On capacity building, the credibility of subsequent meas- under the Group on Earth Observations GFOI coordinates with UN-REDD, the uring, reporting and verification, are (GEO). GFOI is led by FAO, Committee US SilvaCarbon programme and the Nor- linked respectively to the TA process on Earth Observation Satellites (CEOS), wegian International Climate and Forest and Technical Analysis processes set Australia, Norway and the United States Initiative. The MGD is also used in some up under the UNFCCC. These provide of America, and has an Advisory Com- cases directly by countries for developing the basis for RBPs. mittee that includes IPCC and UNFCCC their national forest monitoring systems. 4. Possible access for REDD+ to inter- representation. GFOI (2014) published GFOI also coordinates with the civil space national carbon markets may require version 1 of its Methods and Guidance agencies via CEOS to make freely avail- negotiation of additional modalities, as Document (MGD), which provides opera- able the core data sets identified in the recognized by the Warsaw Framework tional advice on how to estimate GHG MGD to support the estimation methods it – the UNFCCC provides a framework emissions and removals associated with describes. It produces an R&D Plan (GFOI, for this. REDD+ activities, using IPCC guidance 2015) to identify international priorities 5. International support for GHG mitiga- as required by the Warsaw Framework. for research. Currently these include tion, of which REDD+ is a part, has This is an important bridge, as the IPCC forest degradation, mapping of specific increased significantly with the new guidance does not explicitly identify the forest types (mangrove, peat forests, etc.), climate agreement and results-based five REDD+ activities (listed in Box 1). interoperability, comparison of uncertain- finance for REDD+ needs to be part GFOI publishes updates to the MGD on ties associated with forest biomass and of that so as to benefit from it. current issues such as the use of global allometric estimation methodologies, and It follows that the prospects for data sets. A web-based MGD portal is data model integration. REDD+ are best served as part of the

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World leaders at the implementation of the Paris Agreement. also likely to become increasingly relevant Climate Change Conference in Paris, 2015 Possible access to carbon markets is likely in valuing other crucial environmental to require differentiation between domestic services, notably those relating to biologi- and internationally assisted action, and this cal diversity and water supply. u may increasingly be the case with interna- tional finance in general. This may require a separation of FREL/FRLs into domestic and internationally assisted components. GFOI. 2015. GFOI R&D Plan for 2015+. An In terms of capacity development, action plan for advancing priority R&D REDD+ is proving an important basis topics related to the use of remote sensing in for building international capabilities in national forest monitoring (available at http:// combining data from remote-sensing with References www.gfoi.org/wp-content/uploads/2015/03/ ground-based data in land-use monitoring. RDPlan_2015_v1.1.pdf). It is clear today that a holistic approach GFOI. 2014. Integrating remote-sensing and Iversen, P. 2015. Warsaw Framework under to mitigation and adaptation is needed, ground-based observations for estimation the UNFCCC. Technical Brief Note. notably in order to ensure secure food sup- of emissions and removals of greenhouse Norman, M. & Nakhooda, S. 2014. The plies. Given these needs, coupled with the gases in forests: Methods and guidance from state of REDD+ finance. CGD Working current pace of technical development, it the Global Forest Observations Initiative. Paper 378. Washington, DC, Center for seems likely that REDD+ will evolve over Geneva, Switzerland, Group on Earth Obser- Global Development (available at http:// the coming years from its current focus on vations (available at http://www.gfoi.org/ www.cgdev.org/publication/state-redd- forests to a broader land-use approach. It is methods-guidance/). finance-working-paper-378). u

Unasylva 246, Vol. 67, 2016/1 31 © UN-REDD UN-REDD, the United Nations programme to reduce emissions from deforestation and forest degradation (2008–2015)

M.J. Sanz

What is UN-REDD and how he UN-REDD Programme, launched on REDD+) and promotes the informed does it work? in 2008, is the United Nations (UN) and meaningful involvement of all stake- collaborative initiative on Reducing holders, including indigenous peoples and Temissions from deforestation and for- other forest-dependent communities, in est degradation (REDD) in developing national implementation and international countries. It builds on the convening role REDD+ processes and knowledge sharing. and technical expertise of the Food and The first five-year strategy for the Agriculture Organization of the United programme (2011–2015) stressed the Nations (FAO), the United Nations Devel- importance of “supporting governments opment Programme (UNDP) and the María José Sanz is Scientific Director of the United Nations Environment Programme Basque Centre for Climate Change (BC3). Above: Forest in She was the UN-REDD Programme (UNEP). UN-REDD supports nation- Arusha National Park, Coordinator at FAO until December 2015. ally led REDD+ processes (see article United Republic of Tanzania

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to prepare national REDD+ strategies, In its first phase, UN-REDD supported over a three-year period, and work build monitoring systems, engage stake- national REDD+ readiness efforts across across a range of focal areas. holders and assess multiple benefits” Africa, Asia and the Pacific, and Latin • Country-specific assistance through (UN-REDD, 2010). A new strategic frame- America in three ways: (i) direct support to targeted support (through formal work for 2016–2020 was adopted in 2015 the design and implementation of national requests from countries) and techni- (UN-REDD, 2015a), taking into consid- strategies; (ii) ad hoc tailored support to cal backstopping. eration the progress made by the United national REDD+ action; and (iii) technical • Country/regional needs assessments: Nations Framework Convention on Cli- capacity-building support through shar- countries are supported to undertake mate Change (UNFCCC) negotiations and ing of expertise, common approaches, a participatory readiness assess- Sustainable Development Goals (SDGs) analyses, methodologies, tools, data, best ment, covering the principal areas debate, leading to a broader overall devel- practices and facilitated South–South defined under the UNFCCC Warsaw opment goal to reduce forest emissions and knowledge sharing. Framework. enhance carbon stocks in forests while The UN-REDD Programme has grown • Community-based REDD+ (CBR+) contributing to national sustainable devel- significantly from 9 partner countries in which provides small grants to indig- opment. This reflected the progressively 2009 to 64 partner countries by December enous peoples and communities for more complex national and international 2015 (Figure 1). Countries have received REDD+ readiness activities in the field. settings for providing REDD+ support to assistance tailored to their national circum- • Knowledge management and com- countries as well as the emerging gaps that stances and specific support requirements munications support. UN-REDD could help to address. for REDD+. UN-REDD has used the fol- This range of delivery mechanisms has lowing support mechanisms: provided flexibility to match countries’ 1 • National Programmes, where countries needs in advancing from readiness to UN-REDD Programme partner define a programme of work, typically implementation with the required support, countries by end 2015

Suriname  Burkina Faso Nigeria Pakistan Guyana Morocco Tunisia Nepal  Dominican Republic  Guinea Cameroon Bangladesh Colombia Guinea-Bissau Chad Bhutan  Jamaica Sudan Mongolia Panama South Sudan Lao People’s Democratic Republic Costa Rica Uganda Viet Nam Ethiopia Malaysia Philippines

Papua New Guinea Solomon Islands  Vanuatu  Samoa Fiji

Liberia Côte d’Ivoire Mexico Cambodia Ghana Guatemala Indonesia  Togo El Salvador Myanmar Benin Honduras Sri Lanka Equatorial Guinea Ecuador  India Gabon Peru Madagascar Congo Chile Kenya Central African Republic Bolivia (Plurinational State of) United Republic of Tanzania Democratic Republic of the Congo Argentina Malawi Paraguay Zambia Zimbabwe

In addition, support to Cook Islands, Gambia, Kiribati, Marshall Islands, Niger, Palau, Senegal, Sierra Leone, Tonga and Tuvalu.  New partner country in 2015

Source: UN-REDD, 2015b.

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and to complement the contributions of ACHIEVEMENTS 2008–2015 Congo [DRC], Nigeria, Panama, Paraguay other initiatives in ways that maximize In its seventh year of operation, the pro- and Sri Lanka) for CBR+, over 200 propos- efficiency and effectiveness. gramme serves 64 countries (Figure 2). als had been received by December 2015 In accordance with the outcomes speci- Partner countries stand at varying degrees from communities. Out of these, 56 CBR+ fied in the 2011–2015 strategy, UN-REDD of REDD+ readiness, with some now set projects were approved, representing over has achieved results in a series of thematic to start implementing REDD+. Over time, US$1.65 million in grant funding. work areas: the growing number of partner countries Thanks to the continuous support of • measurement, reporting and verifica- and the rapidly evolving regulatory envi- Denmark, the European Union, Japan, tion (MRV) and forest monitoring; ronment shaped by UNFCCC decisions Luxembourg, Norway and Spain, the total • inclusive, transparent and account- have required the programme to provide funding allocated to the programme was able national governance systems for swift and targeted support to countries US$269.7 million as at December 2015. REDD+, forests and finance; to complement domestic efforts or other Of this, a net amount of US$238.7 mil- • stakeholder participation in national bilateral and multilateral support. lion, or 89 per cent, was received by the and international REDD+ decision As indicated above, the programme implementing agencies (FAO, UNDP and making; provides support through different UNEP) and US$180.2 million (or 76 per • social and environmental safeguards modalities. As of 31 December 2015, the cent of the net funded amount) was spent. and multiple benefits for REDD+; UN-REDD Programme had supported • transformation towards the green a total of 23 countries through National LESSONS LEARNED economy; and Programmes (Figure 2). In addition, fund- The UN-REDD Programme and its • development, management and sharing ing requests for three additional National partners identified challenges affecting of REDD+ knowledge.1 Programmes (Chile, Myanmar and Peru) implementation of REDD+ activities Several assessments of the UN-REDD were approved on a provisional basis. In during the deployment of its first phase. Programme have been undertaken since 2015, 5 countries (Argentina, Bangladesh, Lessons learned from these challenges 2012, including an independent external Honduras, Mongolia and Uganda) marked are reflected below and were taken into evaluation in 2013–2014. According to the start of their National Programmes account while designing the second phase. one assessment: with the signature of their National Drawing from the programme’s experi- Programme Documents. Up to 45 countries ence since 2008, the ingredients required The UN-REDD programme has helped received targeted support across the dif- for success include the following: draw global and national attention to ferent thematic areas indicated above, and • Participating countries have to take the the importance of forests. It has given 46 received technical backstopping. While lead in the development of REDD+. previously marginalized populations a the number of National Programmes has This means that capacity development strong voice in relevant decision-making been relatively stable in recent years, the for a wide range of stakeholders, cov- arenas; it is leading countries to engage demand for targeted support has increased ering critical topics from MRV and in policy reforms, increase transpar- substantially and it is being seen by recipi- governance to safeguards and benefits, ency and reduce the risk of corruption; ent countries as a flexible and efficient way is of utmost importance. it has triggered the search for viable to complement ongoing efforts in a timely • Tailoring external assistance to the solutions to the problems associated and efficient manner. needs of each country is fundamental. with deforestation; it is supporting the All 64 partner countries benefited from Developing appropriate and effective valuation of forests and the services they the knowledge-management activities of policies and measures at national or provide; and it has allowed a broad range the programme. And some specific pro- subnational level is a slow and complex of stakeholders to gain experience with grammes were developed in the later years process. an innovative construct that now makes to target specific stakeholders’ needs, • Effective, transparent forest monitor- it possible to better articulate the condi- such as the Community-Based REDD+ ing systems are needed to provide tions for sustainability and how such an Programme, or the Country and Regional data on increases in carbon stocks agenda should be pursued (Frechette Needs Assessment grants. Thus, 7 coun- and reductions in greenhouse gas et al., 2014, p. 78). tries (Guatemala, Madagascar, Malawi, emissions, thereby demonstrating the Peru, South Sudan, Tunisia and Zimbabwe) “performance” for which REDD+ pay- 1 Results are reviewed in UN-REDD (2014a). A and 2 regions (Mesoamerica and West ments would ultimately flow. list of key references is given in Annex A of Africa) were granted support for needs • Capturing carbon value alone may this publication. Annex B includes a summary of the main achievements, based on an analysis assessments. Among the 6 pilot countries not always be sufficient to alter land of progress reporting since 2009. (Cambodia, Democratic Republic of the use, budgetary and natural resource

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Source: UN-REDD, 2015b.

2 management decisions and practices. change. Numerous interest groups are Yearly evolution of the UN-REDD Programme under its different Linking REDD+ processes to national implicated in and affected by policy implementation modalities sustainable development agendas reform. Addressing the drivers takes can contribute to supporting the time and progress to date has been slow. shift towards building a low-carbon • Early participation and inclusion of may arise and conflict- or grievance- society while also prioritizing con- all stakeholders (women and men, rich resolution mechanisms need to be servation and offering opportunities and poor, rural and urban) is essential in place. for improved livelihoods. in national and international decision • Clarity on tenure is needed to address • REDD+ requires extensive cross- making on REDD+ and can contribute equitable benefit-distribution systems, sectoral efforts – beyond forestry to reinforcing credible and legitimate recognizing and protecting custom- services and ministries of environment policy-making and implementation. ary rights of local communities and – to address the large drivers of defor- The private sector has a key role to play indigenous peoples, and contributing estation and degradation in the context in these processes, but has not been to a better understanding of multiple of economic development and climate sufficiently engaged so far. Conflicts and overlapping tenure rights.

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Field trip to Sarapiquí, Costa Rica © UN-REDD

• Strategies require thorough analysis of • Alignment between the various to align and streamline their delivery the generation and distribution of for- international initiatives on REDD+ operations and procedures, which has est ecosystem goods and services. The is important in order to map out the contributed to improving their “UN costs and benefits of different REDD+ support needed and determine how delivery as one”. actions also need to be assessed. The countries can fully implement REDD+ • Through the development of tools, role of forests in adaptation to climate policies and measures that will qualify guidelines and knowledge, an impor- change is also important. for results-based payments. tant REDD+ “community of practice” • Development of REDD+ safeguards • With three distinct UN agencies is emerging, which can play an instru- early in the REDD+ process is critical involved, the coordination and man- mental role in ensuring that appropriate in mitigating the potential negative agement required for the delivery of and effective policies and measures are impacts of REDD+, for instance in terms effective and efficient support to coun- devised and implemented to tackle all of access to forest ecosystem goods tries has been difficult. Joint country aspects of REDD+. and services for local communities support and single interface modalities • Supporting South–South cooperation and indigenous peoples, and foreseeing are vital to streamline operations. The efforts has resulted in efficient ways measures to ensure fair allocation of implementing agencies with a strong to increase capacity across countries the benefits associated with REDD+. presence in the field have made efforts and regions.

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LOOKING AHEAD UN-REDD Programme can accompany The UN-REDD Programme showed in its countries along the increasingly well- first phase that it can support countries in defined road to REDD+, as set out in, for meeting UNFCCC REDD+ requirements example, Article 5 of the Paris Agreement References as well as countries’ ambitious climate- and prior decisions on REDD+ in the change and sustainable development action UNFCCC. Its role is also underpinned by Frechette, A. et al. 2014. Final report of plans, in which REDD+ is often a major the continued consolidation of the Green the external evaluation of the UN-REDD element. The programme also showed that Climate Fund and the importance given to Programme. Geneva, UN-REDD. it can tailor its support while adjusting to actions on agriculture, forestry and other UN-REDD. 2010. UN-REDD five-year strat- the changing REDD+ landscape at the land uses identified in countries’ Nationally egy. Geneva, UN-REDD. country level. Determined Contributions (NDCs) submit- UN-REDD. 2014a. On the road to REDD+: the The UNFCCC requirements for REDD+ ted to the UNFCCC. UN-REDD Programme’s support to REDD+ were framed at the Conference of the It is increasingly clear that REDD+ readiness, 2008–2013. Geneva, UN-REDD. Parties in Warsaw in 2013 (COP 19), laying can make significant contributions to UN-REDD. 2014b. 2014 Annual Report of out the process that developing countries sustainable development in the context the UN-REDD Programme Fund. Geneva, must follow if the results of their REDD+ of climate change and poverty reduction. UN-REDD. activities are to be recognized under the The UN-REDD Programme is perform- UN-REDD. 2015a. UN-REDD Programme UNFCCC. In 2015, the adoption of the ing a valuable role in delivering REDD+ 2016–2020 Strategic Framework. Geneva, post-2015 development agenda for meet- readiness and implementation support UN-REDD. ing the SDGs and the global community’s to countries. u UN-REDD. 2015b. 2015 Annual Report of commitment shown at COP 21 in Paris the UN-REDD Programme Fund. Geneva, paved the way for the consolidation of “all” UN-REDD. countries’ progressively more ambitious UN-REDD. Nd. Web site. Geneva, UN-REDD. u commitments in mitigating and adapting to climate change. In this context, the

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Coordinating climate action: experiences from REDD+ and FLEGT

G. Muir, J. Murray, E. Sartoretto, D. Hewitt, R. Simpson and J. Fox

Together, REDD+ and FLEGT any policy-makers and experts Asia, Africa and Latin America, and rec- mechanisms provide stakeholders have pointed out the potential ommendations for coordinating the roles with the justification and tools to for greater linkages between of FLEGT and REDD+ in the climate and frame their resource use. MReducing emissions from deforestation development agenda. and forest degradation (REDD+) and the European Union’s Forest Law Enforce- INTRODUCTION ment, Governance and Trade (FLEGT) Various international initiatives have Giulia Muir works as consultant with initiative. However, limited evidence is emerged in the past few decades that con- FAO’s Forestry Department. Josil Murray works as consultant with available on how this has translated into tribute to the forest sector’s mitigation FAO FLEGT Asia. practice. This article provides practi- potential, addressing both deforestation Eugenio Sartoretto works as legal consultant cal examples of how different countries and forest degradation. Mechanisms such with FAO. Daphne Hewitt is Forestry Officer with the are coordinating climate action on the as REDD+ and FLEGT – and related FAO FLEGT Programme. ground through REDD+ and FLEGT. A Robert Simpson is Programme Manager for brief review of the literature is followed the FAO FLEGT Programme. Julian Fox is Forestry Officer with the by practical examples of synergies from Workers gluing wood pieces REDD+ Programme at FAO. FAO’s work on FLEGT and REDD+ in together at a factory in Long An Province, Viet Nam © RAFT/T. BARKER RAFT/T. ©

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Voluntary Partnership Agreements (VPAs)1 TABLE 1. Conceptual synergies between REDD+ and FLEGT – are among the most notable. REDD+ Key Related interactions Sources provides economic incentives via emission synergies reductions to keep forests standing, while Content FLEGT provides incentives in the form Thematic (1) REDD+ and FLEGT both work to tackle the key Broekhoven and of market access by levelling the playing focus drivers of forest degradation and deforestation. Marieke, 2014; field and eliminating illegal timber. Other While REDD+ has a more cross-sectoral Luttrell and Fripp, 2015; approach, FLEGT focuses specifically on illegal Marfo et al., 2013 related initiatives also exist. It has become forest activities, including and increasingly clear that no single initiative illegal forest conversion, two important causes can achieve the global impact needed to of forest degradation and greenhouse gas emissions. Both initiatives are working to address reduce forest loss and mitigate climate the structural causes of weak forest governance change, but what is less clear is the extent and promote SFM. to which the existing initiatives interact at Process the country level. Stakeholder (2) FLEGT can act as a model for REDD+. Broekhoven and The combination of REDD+ incen- engagement Participatory and consensus-based forest Marieke, 2014; tives (results-based payments) and governance is widely acknowledged as the Luttrell and Fripp, 2015; FLEGT trade incentives (improvement foundation of SFM, which is the common goal Marfo et al., 2013 of both FLEGT and REDD+. Multiple authors or maintenance of market access) could point to the multi-stakeholder processes that provide a unique opportunity to promote are a cornerstone of FLEGT as a model for sustainable forest management (SFM) in REDD+, particularly with regard to benefit-sharing mechanisms. It should be noted that a criticism of producer countries. A recent assessment both is that stakeholder engagement takes place of the Intended Nationally Determined primarily at the planning/readiness phases and is Contributions (INDCs) submitted to the not as active during the implementation phase. UN Framework Convention on Climate Legal reform (3) Sharing information among processes. Both Luttrell and Fripp, 2015 FLEGT and REDD+ processes require similar Change (UNFCCC) shows that all 15 VPA information at the planning and “readiness” partner countries have included forests phases regarding legislation (in forestry and in their climate mitigation plans. More related sectors) that could impact the sector, as well as on forest cover and condition (see specifically, the INDCs of Guyana and Monitoring). Information-gathering could be the Lao People's Democratic Republic, for performed in coordination to avoid redundancy. example, make reference to both FLEGT Traceability (4) The FLEGT multi-stakeholder model for Luttrell and Fripp, 2015 and the VPAs, while the INDC for Côte monitoring timber can assist in the design of d’Ivoire refers to FLEGT. More generally, REDD+ benefit-sharing mechanisms. FLEGT Timber Legality Assurance Systems,* which increased cooperation between REDD+ aim to track timber through multiple state and and FLEGT at the national level could non-state actors, are viewed by some as a model advance forest governance reforms, clarify that could provide insights into designing REDD+ benefit-sharing mechanisms based on the land tenure, strengthen stakeholder engage- “roles and constellations of state and non-state ment and balance competing interests, all structures and actors”. of which will increase benefits for forests, Transparency (5) Transparency and accountability are important Broekhoven and people and the environment. and conditions for successful VPA and REDD+ Marieke, 2014; accountability implementation. Reliable, accurate and verified EFI, 2014 information is at the core of FLEGT and REDD+ BRIEF LITERATURE REVIEW processes that ensure transparency and build The conceptual linkages between FLEGT trust, providing the foundations for investment and REDD+ have been amply covered by (EFI & Proforest, 2014). In the Democratic Republic of the Congo, for example, a searchable the literature in recent years (Broekhoven repository of documents related to FLEGT and & Marieke, 2014; Tegegne et al., 2016; REDD+ has already been developed under the Tegegne et al., 2014; Marfo et al., 2013; FLEGT VPA to make information relating to legal questions, forest management, data on annual and Ochieng, et al. 2013). Table 1 provides timber production and revenues and exports to the EU publicly available. 1 VPAs are binding bilateral trade agreements * Countries with a VPA are setting up systems that verify that their timber is legal by tracking it throughout the between the EU and timber-producing partner supply chain. These are known as Timber Legality Assurance Systems (TLAS). countries to ensure that timber and timber products imported into the EU are of legal origin. Table 1 continues on next page

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Table 1 continued phase. There have been mutually beneficial Key Related interactions Sources opportunities for FLEGT and REDD+ to synergies link both processes, including on issues Process related to illegal production and trading Monitoring (6) Sharing monitoring and reporting information. FERN, 2010; Brack of conversion timber – a leading cause REDD+ includes mechanisms for monitoring, and Léger, 2013; of deforestation in the Mekong Region measuring, reporting and verification (e.g. on EFI and PROFOR, (a source of transboundary leakage) – and forest cover and condition). The institutional and 2014; Saunders technical capacity to monitor deforestation and forest et al., 2008 through the promotion and strengthening degradation developed for REDD+ can be useful for of SFM via voluntary forest certification. FLEGT if it provides information on forest management, In Asia, and more specifically Viet Nam, forest cover and illegal activities, and may also contribute to stronger national capacity and introduce the FAO FLEGT Programme encourages a culture of effective monitoring and verification in the FLEGT progress within the REDD+ forest sector. framework via inclusion in the REDD+ (7) Use of civil society in monitoring modelled Strategy. on VPAs. Civil society monitors are mentioned in all VPAs. Some authors consider this important for Conversion timber and transboundary REDD+ benefit-sharing to create oversight and ensure leakage: A logging ban has been imposed credibility (see Traceability). on Viet Nam’s natural forests since 1993; Community (8) Mutual concern over land tenure. REDD+ focuses Reem, 2015 imported timber – largely sawn wood and and more explicitly on land and tree tenure, while FLEGT logs – is an important source of wood and smallholder deals more with aspects of timber legality, thus forestry and targeting governance reforms related to helping these have largely been sourced from the tenure community-based forest enterprises “go legal”. Both neighbouring Lao People's Democratic aspects (upstream and downstream) are needed for Republic and Cambodia (Lawson, 2014). sustainable impacts on timber production and forests. While forest governance issues have lain Safeguards (9) REDD+ can serve as a model for FLEGT Korwin in with regard to safeguards. It is widely acknowledged Broekhoven, and at the core of both REDD+ and FLEGT that both FLEGT and REDD+ processes could Marieke, 2014 processes in Viet Nam, recent concern have unintended negative social and environmental over leakage into neighbouring countries consequences. REDD+ explicitly mentions safeguards, in the form indicates strong potential synergies between of seven social and environmental safeguards. FLEGT and REDD+. VPAs were not FLEGT principles and guidance are generally vague designed to tackle the problem of illegal (Honduras is an exception), despite FLEGT work on legality definitions; forest conversion – they can, however, con- legal frameworks provide an obvious entry point for tribute to mitigating the risk of illegal forest addressing social and environmental safeguards conversion by clarifying legal frameworks, Financing (10) FLEGT can function as a risk-reducing measure Bucki, 2012; strengthening legality verification and for- for REDD+ investments by supporting the creation of Broekhoven and est governance, providing platforms for an enabling environment through stronger governance Marieke, 2014; and institutions. It has been argued that public and/or EFI and PROFOR, dialogue among governments, civil society private entities may not invest in REDD+ in high-risk 2014 and industry, and promoting transparency countries and independent monitoring in the forest if governance and legal frameworks are weak, so investing in countries where FLEGT processes are sector. Under Outcome 6 for the UN-REDD present is a potential advantage for REDD+. Viet Nam Phase II Programme Extension Proposal 2016–18, and as part of its regional a non-exhaustive list of the conceptual have shown successful approaches to syner- leakage component, REDD+ strategies have synergies identified. Most of the literature gies between the two initiatives. Important been developed to ensure reduced risks of also suggests that while the linkages are advances – showcased below – have been displacement through the import of illegal clear, putting these synergies into practice made regarding legal frameworks and defi- timber. The programme will also work is less so. nitions, joint programmatic strategies, joint on the design of a risk-assessment or due planning and stakeholder participation. diligence system to ensure the legality of CASE STUDIES FROM FAO’S JOINT timber imports, another important element WORK ON FLEGT AND REDD+ Viet Nam: FLEGT capitalizes on of the VPA TLAS. Of the countries actively involved in negoti- the national REDD+ architecture Forest certification, a tool for FLEGT ating or finalizing VPAs and those forming Viet Nam is in the final stages of its VPA and REDD+: FAO FLEGT, in partnership REDD+ readiness plans, three key countries negotiation and in its REDD+ piloting with the Research Institute for Sustainable

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Forest Management (SFMI), is prepar- is forested. The issue of “who owns the Common platform: Mesa Indígena y ing smallholder producers and SMEs for forest” and associated land rights chal- Afro hondureña de Cambio Climático the Viet Nam TLAS implementation by lenges is said to be the most critical issue (MIACC): The participation of indigenous testing voluntary group certification of facing indigenous peoples in the country, and African-Honduran representatives in integrated chain-of-custody (CoC) and and a core driver of weak governance and climate-related discussions is taking place due diligence systems. While waiting for forest loss in Honduras. Land ownership through the MIACC platform, created by the VPA negotiations to conclude, SFMI is also the most important challenge for indigenous peoples in 2012 to coordinate is preparing smallholder producers and identifying timber legality (Forest Trends, indigenous peoples’ activities on climate SMEs for the Viet Nam TLAS implemen- 2013). To some extent, the clarification of change, including REDD+, and now also tation by piloting the use of PEFC and FSC community tenure rights (or lack thereof) being used for VPA negotiations. The CoC certification standards combined with is expected to make or break both FLEGT- members of the Confederación de Pueblos other due diligence systems or risk-based VPA and REDD+ processes in the country Autóctonos de Honduras (CONPAH) – sourcing. The FAO FLEGT Programme because access to, use and benefits from which represents the Tawahka, Miskitu, will continue to promote voluntary certi- forests are so inherent to how forest Lenca, Garífuna, Negro de Habla Inglés, fication as a tool for FLEGT and SFM in resources are governed that efforts to Pech, Tolupan, Maya-Chortí and Nahoa

its five-year strategy; further, it will also address timber legality and CO2 emissions peoples – lead the work of MIACC. support the development of a National would be futile without addressing tenure. Common methodology: Free, Prior and Certification Scheme. This will be rolled In turn, tenure has taken centre stage in Informed Consent (FPIC): Stakeholders out via the funding of three projects that both the VPA and REDD+ processes. view FPIC as crucial for effective and sus- are working closely with national wood Unlike REDD+, however, which in con- tainable VPA and REDD+ processes in the industry associations (e.g. Handicraft tent places emphasis on social safeguards country, and to address climate action more & Association of HCM and land and tree tenure by requiring that broadly, because historically, mechanisms City – HAWA). In Viet Nam, the REDD+ partners develop a benefit-sharing mecha- for effective participation of indigenous Programme (Phase 2) (UNREDD, 2013b) nism from the outset, FLEGT legality peoples and forest-dependent communities supports the use of voluntary certification definition discussions have until recently in Honduras regarding land-use decisions of smallholders and state forest enterprises focused primarily on the timber industry. have been scant. Today, FLEGT, through in Viet Nam as part of the Provincial Although the action plan does state that the FAO FLEGT Programme, and REDD+, REDD+ Action Plan (PRAP) pilots funded FLEGT and related VPAs should operate through UN-REDD and FCPF support by the Forest Carbon Partnership Facility under a “do no harm” approach, tenure mechanisms, are aligning efforts to support (FCPF). The REDD Programme is also is largely beyond the scope of a VPA, as the development of a national mechanism supporting the design of certain elements that is not its original intent. The process of FPIC encompassing all nine indigenous of the Viet Nam VPA TLAS such as the adopted in FLEGT VPA negotiations groups with an agreed methodology. In Forest Crime or Violation Database, which with regards to stakeholder engagement, addition, indigenous peoples are preparing will inform the company risk classification however, has been widely acknowledged new draft legislation to formalize FPIC system that in turn defines the verification as extremely effective in terms of participa- in the legal framework, which is antici- intensity prior to FLEGT licensing. The tion, so much so that it is widely perceived pated to be presented to the Assembly in UN-REDD Programme will ensure that a as a model for REDD+. 2016. CONPAH and local NGO Alianza National Certification System is appropri- Moreover, in Honduras, where timber Verde are the main partners working to ately incorporated into the revised National trade with the EU is limited, and increas- generate consensus on the national FPIC REDD+ Action Programme (NRAP), ingly in many other countries, although mechanism and the draft legislation, which would reinforce the case for future the VPAs began as trade agreements, the together with FAO FLEGT and REDD+ investments in developing the system under discussion has broadened to include land funds. These entities not only represent REDD+-related initiatives. tenure, corruption and extra-sectoral defor- indigenous peoples’ rights, but are helping estation drivers. In many ways, Honduras to develop mechanisms for implementing Honduras: FLEGT and REDD+ is an example of content (REDD+) and FPIC, thereby facilitating active participa- jointly address the drivers of weak process (FLEGT) meeting and evolving tion in the VPA and REDD+ processes. forest governance, forest degradation into a strong coordinated movement to Joint planning: A common approach and deforestation address tenure, sustainable forest manage- to forest governance and climate change Approximately 2.5 million ha of land in ment and, ultimately, climate change. mitigation by addressing tenure challenges Honduras is considered “indigenous ter- These “synergies” are unfolding in prac- and the participation of indigenous peo- ritory”; of this land, at least 50 percent tice in several ways: ples is being applied in Honduras thanks

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Wood processing enterprise to commonalities identified during the role in the process, where the discussion in Côte d’Ivoire early stages of both processes. These has broadened beyond legality to include are explicitly mentioned in the coun- other key drivers of forest degradation and Côte d’Ivoire: FLEGT/REDD+ try’s REDD+ Readiness Preparation deforestation, and where efforts are now legal working group jointly reviews Proposal (R-PP) through a table on link- underway to identify potential livelihood forestry legislation ages (Del Gatto and Pokorny, 2014) that impacts of the VPA from the outset to Despite the different foundations and makes reference to safeguards and rights enable social and environmental moni- different lead ministries running FLEGT for indigenous and local communities. toring. The joint action between FLEGT and REDD+ in Côte d’Ivoire, which have This collaboration, which materialized and REDD+ moreover demonstrates that in the past resulted in the two processes roughly one year after the Government of when thematic commonalities between the running independently from each other, Honduras began negotiating VPAs with the two processes are addressed at an early both are currently jointly addressing the EU (2013), is now also forming the basis stage, joint action is not only useful, but legal, regulatory and institutional measures of the VPA. REDD+/FLEGT alignment also optimizes the chances of success necessary to achieve their objectives. The paved the way for a VPA legality defini- and stakeholder buy-in for both initia- development of the FLEGT VPA legal- tion which includes a specific principle tives. Finally, it shows not only how both ity definition is a clear opportunity for on respect for community and indigenous FLEGT and REDD+ can contribute to potential synergies regarding process. A peoples’ tenure and use rights, which is secure community and tenure rights, but multi-stakeholder approach is being used unusual for a VPA. how such international forest regimes can to develop the legality definition and, dur- The case of Honduras is fairly unique to adapt to local contexts to contribute to both ing this process, gaps, inconsistencies and FLEGT in that it is the first VPA country climate change mitigation and development overlaps in legislation are often identified where indigenous peoples are playing a key objectives. that warrant legislative reform.

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From the perspective of process, effi- consultation to gauge local communities’ sector, large-scale initiatives need to be ciencies could be gained by addressing concerns regarding logging and REDD+- taken on board together as policy tools, the requirements of both REDD+ and related activities; and iv) consolidating and jointly implemented by governments FLEGT in multi-stakeholder processes. the concerns into a draft on implementing and stakeholders to multiply their effect. From a substantive legal perspective, coor- forest code regulations aimed at helping At the end of the day, climate change dination of work under the two initiatives to fill some of the existing legal gaps on mitigation, and responsible, legal forest would add value to the development of key aspects for both VPAs and REDD+. management is implemented by people on new laws, ensuring consideration of multi- the ground. Our audience – forest users – dimensional and cross-sectoral aspects. CONCLUDING REMARKS and the governments who shape the legal Laws and regulations reviewed and devel- The level of synergy between FLEGT and policy framework for guiding action oped under FLEGT address many issues of and REDD+ will depend on the phase on the ground and mobilizing resources, relevance to REDD+ and vice versa. New that each process has reached. Honduras are the ones who can translate objectives legislation and regulations could, therefore, is a good example of the effectiveness into common, practical actions. be developed with the objectives of both of coordination at an early stage. Other With this in mind, countries can take initiatives in mind. promising linkages between FLEGT and immediate action to integrate the two Recognizing these common information REDD+ can be expected during the imple- initiatives, both in the preparation of needs, and at the request of the Ministry mentation phase where VPAs (or other National Strategies for REDD+ and in of Water and Forestry of Côte d’Ivoire, FLEGT instruments) could become a tool the negotiation of VPAs where applicable. FAO’s Legal department (LEGN), together or measure for REDD+, which in turn is In countries where a VPA is not being with the FAO FLEGT Programme and supported by results-based payments. To pursued, integration of REDD+ objectives UN-REDD team, supported the creation effectively reach this stage, FLEGT has in national strategies to combat illegal log- of a multi-stakeholder national Legal to be reflected or included in the REDD+ ging and national forest planning processes Working Group (LWG). This includes civil national strategies and piloted whenever are equally important. Immediate actions society representatives from the FLEGT/ the different stages of the two initiatives can include: REDD+ Civil Society Platform – initially offer this opportunity, as demonstrated by • Clearly linking the two initiatives in developed for the FLEGT process and now Viet Nam in its national planning. policy documents such as country also used by UN-REDD to avoid parallel Moreover, all of the case studies suggest programming frameworks (CPFs), structures – and legal experts from the that FLEGT and REDD+ have the poten- national forest strategies, legal reform lead ministries for the two initiatives. This tial to deliver impacts beyond the timber processes and resource mobilization LWG will serve as a think tank, support- industry when a multi- and extra-sectoral documents to help countries commu- ing the ongoing drafting of implementing lens is applied to planning processes. nicate how the initiatives will work decrees for the Côte d’Ivoire Forest Code The forest sector is considered “one of on the ground for greater stakeholder being undertaken by a private law firm, the most advanced arenas for finding buy-in. and addressing key challenges arising examples of new types of governance • Greater emphasis on the weight of under both FLEGT and REDD+, such as with several non-State market-driven policy and legal frameworks and pro- tenure and user rights, benefit sharing, and governance systems already in place and cesses as this is where the country is procedural rights. consolidated (e.g. certification or PES able to conceptualize the integration/ The collaboration entails various levels schemes)” (Pettenella, 2011). Adopting a implementation of the two initiatives of coordination and support from LEGN, legality and governance lens for areas such and “make it stick”. including: collecting and consolidating as agricultural commodities(e.g. “FLEGT • More concerted efforts to coordinate existing legislation related to the forestry for agriculture”), particularly with regard action during the planning phases, and sector for the LWG – to date this includes to an identification system for sustainable subsequently during implementation, some 250 pieces of legislation. Next steps and legal products, could bring gains to through common platforms, method- include: i) cross-analysing the coherence other land uses and sectors. The UK’s ologies and task forces as evidenced of existing sector-specific legislation (e.g. procurement policy for sustainable palm in the above case studies. , environmental law, etc.), oil in food and catering, for example, is • More research on how to coordinate with corresponding recommendations for one measure very much based on experi- actions to better link both initia- reform; ii) identifying a list of priority ences of the timber sector (Broekhaven tives to the Paris Agreement and the forest code regulations that could impact and Marieke, 2014). Sustainable Development Goals, to on the definition of legality and related Our main message is that in order to enhance the forest sector’s mitigation REDD+ work; iii) conducting a field effect significant change in the forest potential.

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• Initiating “FLEGT and REDD+ for national legal frameworks, decision-making Brack, D. & Léger, C. 2013. Exploring agriculture” to extend governance structures and participation, provides the credibility gaps in Voluntary Partnership lessons from the timber industry to “how”. While the mechanisms may seem Agreements: A review of independent other commodities. complex and technical, at the level of monitoring initiatives and lessons to learn. REDD+ and FLEGT initiatives have national policy-making and practical action London, Global Witness Limited. created new languages and helped re-frame on the ground, the two are inseparable. u Broekhoven, G. & Marieke, W., eds. 2014. common challenges by focusing on specific Linking FLEGT and REDD+ to improve approaches to addressing deforestation and forest governance. Wageningen, the forest resource use. The old needs remain at Netherlands, Tropenbos International. the heart of the issue – how to generate true Bucki, M., Cuypers, D., Mayaux, P., value from standing forests and ensure that Achard, F., Estregui, C. & Grassi, G. the people who live in them gain tangible 2012. Assessing REDD+ performance of benefits from their use, thereby enabling countries with low monitoring capacities: the them to generate income, improve their matrix approach. Environmental Research wellbeing and maintain the forests they References Letters, 7: 1. depend on. As we have seen through climate Del Gatto, F. & Pokorny, B. 2014. FLEGT VPA change dialogue, we all depend on standing Abood, S.A., Lee, J.S.H., Burivalova, Z., and REDD+ and community tenure rights in forests for their carbon retention services. Garcia-Ulloa, J. & Koh, L.P. 2015. Relative Honduras. In G. Broekhoven & W. Marieke, REDD+ and FLEGT mechanisms provide contributions of the logging, fiber, oil palm, eds., Linking FLEGT and REDD+ to stakeholders with the justification and tools and mining industries to forest loss in improve forest governance. Wageningen, with which to frame their resource use and Indonesia. Conservation Letters, 8: 58–67. the Netherlands, Tropenbos International. guide future national development. REDD+, Angelsen, A. 2013. REDD+ as performance- with its scientific basis in carbon monitor- based aid: General lessons and bilateral Viet Nam is a major hub ing, provides the “why” for maintaining agreements of Norway. WIDER Working with over 300 villages where a majority of forest cover. FLEGT, with its foundation in Paper 2013/135. Helsinki, UNU-WIDER. households are involved in some aspect of the wood-product process © EFI/T. TOMASJUKKA

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EFI. 2014. Making information about FLEGT and III to the Fifth Assessment Report of the Saunders, J., Eberling, J. & Nussbaum, R. and REDD+ more accessible: Republic Intergovernmental Panel on Climate Change 2008. Reduced emissions from deforesta- of the Congo. European Forest Institute [core writing team: R.K. Pachauri and L.A. tion and forest degradation: lessons from a (available at www.euredd.efi.int/increasing- Meyer, eds.]. Geneva, Switzerland, IPCC forest governance perspective. Oxford, UK, information-roc). (available at www.ipcc.ch/report/ar5/syr/). Proforest (available at www.proforest.net/en/ EFI & PROFOR. 2016. Linking FLEGT and Lawson, S. 2014. Consumer goods and defor- files/redd-20and-20governance.pdf). REDD+. 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Grassroots facilitators as agents of change for promoting sustainable forest management: lessons learned from REDD+ capacity development in Asia 1

C.S. Silori, K. Wiset, B.H. Poudyal and T. Vu © RECOFTC/G. BISHWOKARMA RECOFTC/G. ©

Local resource person shares issues The opportunities and challenges INTRODUCTION and concerns related to REDD+, Nepal involved in strengthening his article aims to provide policy- communication between policy- makers and other key stakeholders makers and local stakeholders. with insights into the issues and from experiences in REDD+ capacity Tconcerns of grassroots stakeholders with development in South and South-East regards to REDD+2 policy and programme Asia, covering Indonesia, Lao People’s Chandra Shekhar Silori is Project development. The lessons shared spring Democratic Republic, Myanmar, Nepal Coordinator with the Center for People and and Viet Nam. Extensive participatory and 1 Forests (RECOFTC). This article is based on the paper of the same title contextualized discussions and a series of Kanchana Wiset is Project Officer with that was submitted to the XIV World Forestry RECOFTC. Congress, Durban, South Africa, September 2015. training events contributed to building a Bishnu Hari Poudyal is Country Program 2 Reducing emissions from deforestation and cadre of hundreds of REDD+ trainers and Coordinator, Nepal Country Program, forest degradation, including conservation facilitators at different levels and reached RECOFTC. and sustainable management of forests and Than Vu is Training Coordinator, Viet Nam enhancement of forest carbon stocks. See also out to thousands of grassroots communi- Country Program, RECOFTC. the article on REDD+ in this issue of Unasylva. ties in project countries.

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Subsequent to REDD+ capacity develop- practices, collectively known as AFOLU forest managers/owners for their efforts ment, grassroots communities have taken (Agriculture, Forestry and Other Land in reducing GHG emissions from forest a number of initiatives to reduce deforesta- Use), are the second-largest contributor to lands and in increasing the absorption of tion and forest degradation. Examples total global greenhouse gas (GHG) emis- atmospheric carbon by managing/conserv- include the revision of forest manage- sions after the energy sector and represent ing forests sustainably. ment plans, the introduction of alternative a share ranging from 20 to 24 percent Given that millions of rural communities energy devices, activities and of total GHG emissions (IPCC, 2013; depend on forests for their livelihoods and advocacy for women’s participation in Tubiello, 2014). In some countries, such have been sustainably managing forest decision-making. as Brazil and Indonesia, deforestation and resources for decades, their meaningful However, at the macro level, unclear land forest degradation are together by far the engagement and effective participation in tenure, poor governance and conflicting main source of national GHG emissions. REDD+ is essential to formulate national land policies continue to pose challenges for Eighty percent of the Earth’s above-ground policies and local institutional processes. the design and implementation of REDD+ terrestrial carbon and 40 percent of Furthermore, as the concept of REDD+ and the sharing of its potential benefits. To below-ground terrestrial carbon is stored has evolved over the years, it has become address these challenges, inform the future in forests. REDD+ has been proposed necessary to enhance the capacity of grass- global climate regime, and reduce poverty as a means for developed and develop- roots communities in order for them to among forest-dependent communities, ing countries to work together under the contribute effectively to REDD+ policy multi-pronged and multi-scale sustained United Nations Framework Convention on processes and play an active role in imple- interventions are needed, supported by Climate Change (UNFCCC) on mitigat- mentation mechanisms at the local level. partnership-building, collaboration and ing climate change impacts globally. It Although REDD+ capacity development synergies among stakeholders. attributes a financial value to the carbon is already underway through multilateral, Deforestation and forest degradation, stored in the forests of tropical devel- bilateral and civil society initiatives, most along with agriculture and other land-use oping countries, offering incentives to of these focus on technical aspects, are © LAM DONG AGRICULTURE EXTENSION CENTER EXTENSION AGRICULTURE DONG © LAM

Discussion among members of a women’s group, Bao Thuan commune, Viet Nam

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delivered in English and remain limited TABLE 1. Competency standards used for CDNA for REDD+ to key personnel in REDD+ planning REDD+ competency standard and implementation. Yet the most press- 1 Fundamental knowledge and understanding of climate change science and ing need is to raise local stakeholders’ mitigation strategies awareness to enable them to participate 2 Understanding of REDD+ in the context of climate change meaningfully. Suitable tools, including 3 Integration of the REDD+ mechanism into community forest management, i.e. focusing information, education, and communica- on environmental and social safeguards for monitoring, reporting and verification (MRV) tion (IEC) campaigns, are required to 4 Forest carbon market and trading (may be forest carbon financing) provide neutral, balanced information 5 Benefit sharing from forest carbon trade that does not raise unrealistic expecta- tions. Recognizing this need, the Center 6 (Opportunity) costs of REDD+ for People and Forests (RECOFTC) has been implementing a project (referred to to assess the status of current capacities local universities, and community-based in this article as the REDD+ Grassroots and capacity-development needs among organizations, developing their capacity Project) with support from the Norwegian target stakeholders. Since the grassroots was the first step. Using the ToT approach, Agency for Development Cooperation communities were the primary target trainees were then engaged for deliver- (Norad) since late 2009. At present, the stakeholders, the CDNA process assessed ing training programmes at the next level. project covers five countries – Indonesia, the capacity-development needs among Moreover, besides enhancing technical the Lao People’s Democratic Republic, forest-dependent communities, women, knowledge on climate change and REDD+, Myanmar, Nepal and Viet Nam – and its ethnic groups and indigenous people, the ToT also built the facilitation skills main goal is to develop the capacity of as well as frontline staff and extension of participants. In addition, it developed grassroots stakeholders, enabling them to workers of the forest department, non- stakeholders’ capacity to promote social effectively contribute to REDD+ processes governmental organizations (NGOs) and REDD+ safeguards through materials and in the project countries by meaningfully civil society organizations (CSOs) directly training programmes on topics such as participating in the debate, raising their working with local communities, federa- Free, Prior and Informed Consent (FPIC) concerns and aspirations and sharing tions of forestry user groups, youth groups, (RECOFTC and GIZ, 2011; Edwards et al., their experiences in managing and using women’s groups, teachers, students, and 2012), gender mainstreaming (RECOFTC, forest resources sustainably. This article local-level journalists (RECOFTC, 2011). 2013), social equity (RECOFTC, 2014a), summarizes the project implementation Besides identifying gaps, the CDNA and stakeholder participation in REDD+. experience and lessons learned. results were also used to identify vari- ous methods/approaches, and to develop Channelling grassroots stakeholders’ METHODOLOGY OF REDD+ a range of IEC materials and tools, to concerns and issues CAPACITY DEVELOPMENT deliver the capacity development among The results of the CDNA also revealed that The REDD+ Grassroots Project followed a grassroots stakeholders. while on the one hand the global discourse systematic approach and used a number of on REDD+ has been evolving rapidly, the simple tools to develop and deliver REDD+ Cascade approach for capacity of grassroots organizations to capacity development in five project coun- capacity-development delivery distil the concerns and aspirations of their tries, as described below. The project used a cascade approach communities and communicate them to for delivering the REDD+ capacity- policy-makers is still very limited. To Capacity Development Needs development activities. This included the address this gap, the project has used a Assessment design and delivery of training of trainers cascade-up approach to communicate A Capacity Development Needs Assess- (ToT) programmes at national and sub- grassroots concerns and issues to policy- ment (CDNA) for REDD+ was the national levels (province/state/district) makers. This has been done by identifying fundamental step taken by the project and a series of training and awareness- the communities’ key issues and concerns in order to develop a comprehensive raising events at the local level. Using this in each project country, followed by multi- and contextualized grassroots capacity- approach, the project engaged ToT alumni stakeholder discussions at the grassroots development programme for REDD+. to deliver training, thereby also enhancing level. These are then communicated to sub- The CDNA for REDD+ used a set of knowledge retention among trained alumni. national and national-level policy-makers six competency standards (Table 1), Since the project is implemented through and other key stakeholders to influence with corresponding knowledge, skills, a network of nearly 20 partner organiza- ongoing REDD+ policy and planning attitude and context for each standard, tions, including government, NGOs, CSOs, processes in each project country.

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Monitoring and evaluation TABLE 2. Information, education and communication materials for Participatory monitoring and evaluation REDD+ capacity development (PM&E) has remained an integral part of IEC material Objective Primary target audience the project implementation approach. The Facilitators’ manual on •• To enhance the •• National and sub-national level PM&E focused on key aspects of project REDD+ in English and understanding of stakeholders delivery – use and effectiveness of training national languages of the climate change and •• Trainers and facilitators working project countries REDD+ in the context materials, tools and approaches; effective- in the forestry sector at national of sustainable forest and sub-national level ness of delivery of training programmes; management •• Media persons and retention and use of knowledge by •• To build facilitation and •• Project partner organizations participants. To do so, the project notably participatory skills used Kirkpatrick’s model of training evalu- Facilitators’ manual and •• To respond to the •• National and sub-national level ation (Bates, 2004). guidebook on Free, Prior capacity development stakeholders and Informed Consent needs on REDD+ •• Trainers and facilitators working (FPIC) in REDD+ in English safeguards, particularly in forestry sector at national and RESULTS and national languages of on FPIC sub-national level Improving accessibility of information the project countries •• Project partner organizations on REDD+ Question and answer •• To provide simple and •• Grassroots-level facilitators, A general observation based on the CDNA booklets on various REDD+ concise information including women topics, including safeguards on climate change and revealed that while a preliminary under- •• Local community members REDD+ •• Project partner organizations standing of climate change and REDD+ •• To respond to capacity •• Students existed at national and sub-national level, development needs on albeit limited to a few individuals, at the various REDD+ topics, including safeguards grassroots level such an understanding was Posters on climate change •• To raise awareness on •• Grassroots communities, women, almost non-existent across all the coun- and REDD+ climate change and ethnic groups tries. Although such a finding may not REDD+ •• Grassroots-level facilitators be surprising, it was nevertheless helpful Series of radio programmes •• To raise awareness on •• Grassroots communities, women, in assessing current levels of knowledge on climate change and climate change and ethnic groups among grassroots stakeholders, who had REDD+ REDD+ •• Local media persons, citizen some familiarity with the concept of cli- journalists mate change but not with REDD+. Further, Puppet shows, street plays, •• To raise awareness on •• Grassroots communities, women, because the grassroots stakeholders are the drama, songs, competitions, climate change and ethnic groups, students, youth information fair REDD+ groups primary target of the project, the results of the CDNA were helpful in exploring innovative approaches to develop the most appropriate IEC materials and tailor them training materials and tools and able to key focuses. Of all the trained participants to different country contexts (Table 2). sustain the REDD+ knowledge-building at national and sub-national levels, an aver- Such IEC materials, besides being pro- process in their countries. By the end of age of nearly one-third are women, while duced in English, were also produced in 2013, the project had delivered more than at the grassroots level nearly 40 percent the national language of the target coun- 500 events, including ToT, refresher work- of participants in awareness-raising events tries via consortia of key organizations in shops, grassroots consultations and various in the project countries are women. To order to contextualize the material (Luintel awareness-raising events for REDD+ in keep project stakeholders updated about et al., 2013). the project countries (RECOFTC, 2014b). REDD+ developments at the global level Over 70 percent of such events concen- and promote continuous learning and REDD+ capacity development delivery trated on the grassroots level. Through exchange of knowledge, refreshers and Using the cascade approach for REDD+ the events, the project was able to create reflection workshops at the national and capacity development, the project was a cadre of nearly 700 national- and sub- regional levels have proven helpful. In able not only to reach a large number of national-level trainers and facilitators, particular, annual regional reflection work- stakeholders in a cost-effective manner, but while at the grassroots level it reached shops have been effectively used by project also to link the knowledge-sharing process nearly 40 000 stakeholders through aware- countries as a platform for learning from at different levels (Roy et al., 2014). This ness-raising events in all project countries. each other and adopting best practices, also helped to create a local-level network Gender mainstreaming in REDD+ capacity thereby building a strong learning network of trainers and facilitators equipped with development has been one of the project’s and community of practice.

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Retention and use of selecting training participants, as well as Concerns and aspirations of grassroots REDD+ knowledge the diversity of ethnic groups with differ- communities relating to REDD+ The retention and use of REDD+ knowl- ent languages and customs, were identified The REDD+ Grassroots Project has been edge varied across different project as key challenges for the retention of able to identify some key issues, concerns countries. In countries such as Indonesia climate change and REDD+ knowledge and aspirations of grassroots communities, and Viet Nam where REDD+ has made in these countries. Also, despite varying which need to be addressed in order to good progress thanks to various bilateral levels of knowledge retention, only a few ensure smooth and effective implemen- and multilateral projects, and in Nepal examples of use of the new knowledge tation on the ground. Some of the most which has a strong foundation of commu- were reported by project countries. These recurrent issues are briefly described below: nity forestry, the retention of knowledge included revising local-level forest man- Complexity of REDD+ language: on climate change and REDD+ ranged agement planning in order to incorporate With its complex language, the concept between 60 and 80 percent among grass- climate change and REDD+, initiating of REDD+ remains abstract for both roots stakeholders. On the other hand, in plantation activities, advocating for FPIC stakeholders and grassroots communities countries like Lao PDR and Myanmar safeguards in new forestry projects, alike. Most REDD+ concepts and terms knowledge retention ranged from 30 to advocating for the active participation of are highly technical and do not exist in 60 percent. Low rates of literacy coupled women in local-level forest management the native languages of indigenous people with a lack of well-defined criteria for decision-making and a number of suc- and other local communities, hindering cess stories of project alumni serving as their effective participation in national Using the story-telling method resource persons at local-level REDD+ REDD+ programmes (RECOFTC and to raise awareness among capacity-building events. UNEP, 2011). local communities, Myanmar © WILDLIFE SOCIETY, CONSERVATION MYANMAR

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Sharing knowledge with school students, Expectations from REDD+: Complex, lead to a backlash against community Lao People’s Democratic Republic confusing, and at times contradictory, forestry. Concerns abound that REDD+ REDD+ messages risk raising expectations will serve as a catalyst for the escalation of or exacerbating misunderstandings among conflicts, especially between communities has provided a number of useful experi- stakeholders. At the same time, the grow- and government – including that the state ences and lessons. The establishment of ing need for specialized knowledge and might reconsolidate forest management a knowledge base is central to REDD+ technical skills, especially related to the over previously devolved forests. This readiness as well as in progressing through participatory assessment of carbon storage apprehension is primarily based on the fact the stages of REDD+. As mentioned above, and monitoring, reporting and verification that in many situations the land-use rights as REDD+ discourse at the global level (MRV) of REDD+ implementation, risks of local communities are not protected continues to evolve, it has been challeng- disempowering local forest stakeholders, by safeguards and communities are not ing to keep updated information available, who have adeptly managed forests for actively engaged in REDD+ design and comprehensible and relevant for grassroots decades, in favour of the outside expertise preparedness processes. stakeholders (RECOFTC and UNEP, 2011). required by REDD+. Considering the large amount of infor- Unclear land tenure: There is wide- DISCUSSION mation available in the public domain, spread anxiety that a poorly designed and REDD+ capacity development at the grass- including in the media, some of which implemented REDD+ mechanism may roots level in the five project countries may not be verified or may be subject

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to different interpretations, expectations CONCLUSIONS ACKNOWLEDGEMENTS among grassroots communities could REDD+ capacity-development interven- We would like to thank the Norwegian escalate. It is therefore necessary to filter tions in the project countries were delivered Agency for Development Cooperation the information in order to clearly com- through an institutionalized process, by (Norad) for providing financial assistance municate the scope and goals of REDD+ to partnering with local organizations and for this project. Thanks are also due to a wide audience through awareness-raising using a collaborative learning process in-country project partner organizations and capacity-building. While REDD+ among a wide range of stakeholders. This for providing valuable support and coop- requires the development of new elements, boosted local institutions’ competency in eration for implementation activities. u such as MRV systems, a benefit-distribution forest management, REDD+ and climate system, and an effective safeguard sys- change by bringing their ideas, compe- tem, all captured by the National REDD+ tencies and resources together, and was Strategies developed to date in the project instrumental for the legitimacy, credibil- countries, most policies and measures ity, effectiveness, and efficiency (through required for REDD+ are not substantively synergy) of the intervention. However, different from those developed over many there is no “one size fits all” formula for years in the context of sustainable forest capacity-development interventions – they management. It is therefore important to should always be target-driven, address- build on existing experiences of participa- ing the specific needs and conditions of tory models of forest management and on stakeholders and reflecting their sustain- References local people’s knowledge for an effective able development strategies, priorities implementation of REDD+, thereby also and initiatives. For REDD+ grassroots Bates, R. 2004. A critical analysis of evalua- responding to the Cancun Safeguards stakeholders, a multi-pronged and multi- tion practice: the Kirkpatrick model and the (Kant et al., 2011). Further, recognizing scale capacity strengthening strategy that principles of beneficence. Evaluation and that knowledge related to REDD+ comes in draws on the strengths of various learning Program Planning, 27: 341–347. many forms, from forest data to economic methods and addresses the unique needs Edwards, K., Triraganon, R., Silori, C. & statistics, and covers topics from MRV to of targeted stakeholders is needed in order Stephenson, J. 2012. Putting free, prior and the valuation of ecosystem services to forest to be effective. Facilitators, advocates and informed consent into practice in REDD+ laws and policies, it needs to be captured, IEC materials are all necessary elements initiatives: A training manual. Bangkok, organized, clearly explained and shared in expanding and sustaining capacity RECOFTC, IGES and Norad. broadly in different contexts, ranging from building beyond the temporal and spa- IPCC. 2013. Summary for policymakers. local to national. tial limits of the project. However, it has In T.F. Stocker, D. Qin, G.K. Plattner, Addressing the issue of unclear land also been observed that due to the com- M. Tignor, S.K. Allen, J. Boschung, tenure is also fundamental to the effec- plex and changing nature of the subject, A. Nauels, Y. Xia, V. Bex & P.M. Midgley, tive implementation and distribution of the repeated capacity-development efforts are eds. Climate Change 2013: The physical benefits of REDD+. Unclear land tenure needed at the grassroots level in order to science basis. Contribution of Working will have negative implications for local ensure that local stakeholders clearly Group I to the Fifth Assessment Report of communities’ rights, livelihoods and prac- understand the concept and the roles of the Intergovernmental Panel on Climate tices, and the potential recentralization various actors in implementing REDD+ Change. Cambridge, UK, and New York, of forest management through REDD+, mechanisms. The more clearly climate NY, USA, Cambridge University Press as viewed by local stakeholders in the change and REDD+ are linked with sus- (available at http://www.ipcc.ch/pdf/ project countries, could undermine the tainable forest management, community assessmentreport/ ar5/wg1/WG1AR5_ viability of the “+” in REDD+ (sustain- development and the local livelihoods SPM_FINAL.pdf). able management of forests, conservation, of grassroots stakeholders, the stronger Kant, P., Chaliha, S. & Shuirong, W. 2011. and enhancement of forest carbon stocks) the support is likely to be for preparing The REDD safeguards of Cancun. IGREC by marginalizing these stakeholders who climate-friendly development packages. Working Paper IGREC-19. New Delhi, have a crucial role to play in its success. The crucial elements for this – capacity Institute of Green Economy. The persistent ambiguity around the real development, partnership and collabo- Luintel, H., Silori, C.S., Frick, S. & costs and benefits of REDD+ to local com- ration – can be fostered through both Poudyal, B.H. 2013. Grassroots capacity munities, national governments, and other promoting local initiatives and mobiliz- building for REDD+: Lessons from Nepal. stakeholders further increases the risk of ing externally-sponsored development Journal of Forests and Livelihoods, 11(2): conflict (Patel et al., 2013). resources. 1–13.

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Patel, T., Dhiaullhaq, A., Gritten, D., RECOFTC. 2014b. First year progress report: Roy, R., Silori, C.S., Poudyal, B.H. & Yasmi, Y., Bruyn, T.D., Paudel, N.S., Grassroots capacity building for REDD+ in Paudel, N.S. 2014. Grassroots capacity Luintel, H., Khatri, D.B., Silori, C. & Asia (January–December 2013). Bangkok, development for REDD+: Approaches Suzuki, R. 2013. Predicting future conflict RECOFTC (available at http://www. and key lessons from Nepal. Policy Brief under REDD+ implementation. Forests, 4: recoftc.org/project/grassroots-capacity- No. 31. Kathmandu, Forest Action Nepal 343–363. buildingredd). (available at http://www.recoftc.org/recoftc/ RECOFTC. 2011. Grassroots capacity build- RECOFTC & GIZ. 2011. Free, Prior and download/18931/1691). ing program for REDD+ in Asia-Pacific. Informed Consent in REDD+: Principles and Tubiello, F.N. 2014. Agriculture, Forestry, Annual Progress Report August 2010–July approaches for policy and project develop- and Other Land Use – AFOLU. Working 2011. Bangkok, RECOFTC. ment. Bangkok, RECOFTC and GIZ. Group III contribution to IPCC Fifth RECOFTC. 2013. Gender in REDD+: A hand- RECOFTC & UNEP. 2011. REDD+ in Asia Assessment Report (available at https://www. book for grassroots facilitators. Bangkok, Pacific: Are capacity building services meet- ipcc.ch/pdf/unfccc/sbsta40/ AR5WGIII_ RECOFTC. ing countries’ needs? Bangkok, RECOFTC Tubiello_140606.pdf). u RECOFTC. 2014a. Equity in climate change (available at http://www.uncclearn.org/sites/ and REDD+: A handbook for grassroots www.uncclearn.org/files/inventory/unep195. facilitators. Bangkok, RECOFTC. pdf).

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Forests and access to energy in the context of climate change: the role of the woodfuel sector in selected INDCs in sub-Saharan Africa

J. Bervoets, F. Boerstler, M. Dumas-Johansen, A. Thulstrup and Z. Xia © FAO/A. THULSTRUP

Woodfuel use is part of both INTRODUCTION the specific adaptation and mitigation the problem and the solution his article examines the impor- priorities and targets. The INDCs are in the climate change equation, tance of the wood energy sector in in the process of becoming Nationally and needs to be understood selected countries in sub-Saharan Determined Contributions (NDCs), with and addressed. TAfrica (SSA) and the degree to which the some already having done so. However, sustainability of the sector is prioritized in since the analysis was carried out during the formulation of climate change policies. the INDC phase, the term INDC will be Jonas Bervoets is FAO consultant on In these countries, as with many others used throughout this article. The article Safe Access to Fuel and Energy (SAFE). Fritjof Boerstler is Technical Officer with in SSA, per capita consumption of wood- opens the way for developing a roadmap the FAO Global Environment Facility (GEF) fuels is higher than the global average. to support SSA countries in addressing the Coordination Unit. The article analyses the extent to which climate change–energy nexus, and identi- Marc Dumas-Johansen is Technical Officer with the FAO GEF Coordination Unit. the wood energy sector is reflected in fies specific entry points. Andreas Thulstrup is Natural Resources selected countries’ Intended Nationally Officer (Energy) with the FAO Climate and Determined Contributions (INDCs) to the Environment Division. Above: Bags of charcoal Zuzhang Xia is Forestry Officer (Wood Energy) United Nations Framework Convention being sold on the road from with the FAO Forestry Department. on Climate Change (UNFCCC) under Lodwar to Turkana, Kenya

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THE ROLE OF WOODFUELS harvested woodfuel alone account for significant forest degradation (World Bank, IN SUB-SAHARAN AFRICA roughly 2 percent of global greenhouse gas 2011). Africa accounts for approximately Wood energy is often the only energy (GHG) emissions (GACC, 2014). Overall, 80 percent of deforestation caused by char- source available in poor rural areas and woodfuels are estimated to contribute coal production across tropical regions of is used as a cooking fuel by one third of 7 percent of GHG emissions worldwide the world (Chidumayo and Gumbo, 2013). all households worldwide (FAO, 2014). In and 34 percent in Africa (Whiteman, 2015). Of all the tropical regions, Africa also Africa, two thirds of all households rely The weight of household use of fuelwood accounts for almost two thirds of world on woodfuel for cooking and wood energy for cooking in overall emissions is esti- GHG emissions from charcoal production accounts for 27 percent of the total primary mated at about 75 percent per household. (Chidumayo and Gumbo, 2013). energy supply in the continent (FAO, 2014). Fuelwood users usually collect small According to the Global Alliance for Sub-Saharan Africa (SSA) has the highest amounts of wood on a regular basis (FAO, Clean Cookstoves (GACC), 3 billion per capita woodfuel consumption in the 2010a). Owing to the dispersed nature and people in the world rely on open fires and world and wood demand in the region is lower impact of this usage, the regeneration inefficient stoves for cooking, burning solid projected to increase by 2.8 and 1.4 times potential of an ecosystem can in many fuels such as wood, animal waste and coal for charcoal and fuelwood, respectively, cases offset the fuelwood extracted, thus (GACC, 2014). As a result of incomplete by 2050 (Iiyama et al., 2014). The major- avoiding a permanent decline in forest combustion and the sourcing of biomass ity of fuelwood and charcoal comes from stocks (World Bank, 2011). from non-renewable stocks, this type of use unauthorized and uncontrolled sources Conversely, charcoal production often contributes nearly 25 percent of all emis- (Dieng et al., 2009), with fuelwood mainly targets selected species and concentrates sions of black carbon (Practical Action, used locally in rural areas, and charcoal on heavy exploitation over short periods 2014; GACC, 2014), which influences transported to urban centres (World Bank, (FAO, 2010a). Charcoal is produced using climate by absorbing light and reducing 2011). It has been estimated that emissions wood primarily from natural forests, and the reflectivity of snow and ice, as well as from the combustion of unsustainably is often harvested illegally, leading to through interaction with clouds. © FAO/A. THULSTRUP FAO/A. ©

Cooking in a rural household near Hargeisa, Somalia, using a rudimentary metal tripod

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However, given that black carbon has a specific adaptation and mitigation actions A review of the INDCs of the 22 target short atmospheric lifetime, targeted strat- that address the issue of woodfuel. First, countries found that the main adaptation egies to reduce black carbon emissions the INDCs of the 22 countries in SSA goals and objectives relate to reducing vul- can provide climate benefits in the com- with the highest woodfuel consumption nerability to climate change and building ing decades (Environmental Protection – according to a recent study by Bailis resilience. The main mitigation goals focus Agency, 2016). Woodfuels can also play et al. (2015)1 – were reviewed. A subset on combating deforestation and forest deg- an important role as a substitute for fossil of these countries includes those with the radation, and promoting sustainable forest fuels, as they account for lower levels of highest rates of non-renewable biomass management and agroforestry. However, GHG emissions over their life cycle than utilization, i.e. in which the harvesting the need to promote the use of renewable fossil fuels and many other non-renewable of woodfuel is unsustainable, accord- energy (which includes sustainable wood energy sources (FAO, 2010a). Given the ing to Bailis et al. (2015). Second, the energy) is highlighted. environmental implications and impor- review assessed the degree to which Despite the well-documented reliance on tance of woodfuels, particularly charcoal, wood energy, as described by the coun- wood energy for the chosen 22 countries, for livelihoods in sub-Saharan Africa tries, was reflected in either adaptation the issue is not well reflected in the INDCs. (SSA), it is important that the means of or mitigation options presented in the Zambia, Kenya and Ghana were therefore improving the sustainability of wood- INDC documents. selected for an in-depth review of their fuel production and use are reflected in This was followed by an in-depth study respective INDC documents. international agreements and prioritized of the specific INDC priorities and status These countries were considered repre- by countries with sizeable woodfuel- of the national woodfuel sector for three sentative of their respective sub-regions: dependent populations. The countries’ selected countries with different climatic coastal West Africa, East Africa and INDCs provide such an entry point. zones, forest cover and ecosystems – Southern Africa. They also represent three At the 19th session of its Conference Zambia, Kenya and Ghana. The study was levels of forest cover – medium, low and of the Parties (COP 19), the parties to based on a literature review and the INDC high – and three distinctive forest types, the UNFCCC were invited to begin the priorities identified. representative of their sub-regions: coastal formulation of country-specific INDCs rainforest (Ghana); dryland forests (Kenya), (UNFCCC, 2016a), which were submitted OVERALL INDC PRIORITIES which are forests in arid zones that are to COP 21 in Paris in December 2015. The IN HIGH WOODFUEL-CONSUMING crucial for environmental goods, services INDCs outline countries’ specific intended COUNTRIES IN SSA and functions; and Miombo woodlands contributions to the goal of keeping the The sample of 22 countries identified (Zambia), a biome dominated by trees of increase in average global temperature in Bailis et al. (2015) range from coun- the genera Brachystegia, Julbernardia below 2 °C (Levin et al., 2015), in accor- tries with very high forest cover (the and Isoberlinia. Furthermore, charcoal dance with the historic Paris Agreement Congo, the Democratic Republic of the production is simultaneously a major busi- reached at COP 21. Congo, Guinea-Bissau and Zambia) – of ness venture, a livelihood activity and a The INDCs have been crucial tools for 66–72 percent – to countries with the low- significant environmental issue across the governments to identify and formulate the est forest cover in Africa (Chad, Kenya, three countries. Other sustainability factors best approaches to reduce national GHG Lesotho, Somalia, South Africa and Togo) were also considered in the selection of emissions sustainably, and to improve – of 1–11 percent. Woodfuel is the main these three case studies. While all three coordination with bilateral and multilateral source of energy across all of the selected countries have high rates of woodfuel con- agencies to support identified climate- countries. While the INDC priorities in sumption, Zambia is one of the countries related needs and goals. The agreement most of these countries do not mention in SSA with the highest burden of disease also requests countries to update their wood energy specifically, they do high- from indoor air pollution caused by the climate plans, or NDCs, on a five-year light the need for improved management burning of solid fuels, and Kenya has basis (UNFCCCb, 2016b). of natural resources, particularly forests. one of the highest rates of non-renewable biomass utilization in the region (Bailis METHODS et al., 2015). A comprehensive analysis of the wood 1 The 22 countries identified by Bailis et al. (2015) were: Chad, the Congo, Côte d’Ivoire, energy sector in all of SSA is beyond the the Democratic Republic of the Congo, Ethiopia, Zambia scope of this article. Instead, the focus is Ghana, Guinea, Guinea-Bissau, Kenya, Lesotho, Zambia is a landlocked country in southern to identify key woodfuel-dependent coun- Liberia, Madagascar, Mozambique, Sierra Leone, Africa, home to approximately 15 mil- Somalia, South Africa, Swaziland, Togo, Uganda, tries and to examine the extent to which the United Republic of Tanzania, Zambia and lion people, most of whom reside in rural the INDCs for those countries prioritize Zimbabwe. areas. Forests provide a buffer for rural

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communities with limited or no access to resources, climate-smart agriculture and grows, energy supplies will need to keep sources of subsistence income or employ- the promotion of renewable energy tech- pace. However, the supply of fuelwood and ment (Vinya et al., 2012). In particular, the nologies. Hence, the cross-cutting nature of charcoal cannot sustainably meet demand, Miombo woodlands, which cover 60 per- energy access and the links between forests and forest resources are rapidly shrinking cent of the country, provide millions of and energy are aspects well-recognized (GoK, 2014). Approximately 35–41 percent rural communities with timber, fuelwood, by the Zambian Government. Zambia of annual woodfuel consumption in Kenya and non-wood forest products (NWFPs) recently developed and adopted its new is unsustainable, corresponding to 9.5 to (NAPA, 2007). Forests Act No. 4 of 2015, the objectives 11.2 million tonnes of woody biomass Approximately 90 percent of rural of which include the participation of local (Drigo et al., 2015). Zambian households depend on forests communities and stakeholders in the sus- The commitment to address woodfuel to meet their daily energy requirements tainable management of forest ecosystems challenges in Kenya’s INDC is mainly (Bwalya, 2013). Annual biofuel consump- and biological diversity (Government of reflected in its mitigation priorities. These tion in Zambia is among the highest in SSA, Zambia, 2015). It does not mention the include a target to reach a forest cover of at constituting the 12th largest consumer out INDC, however, and nor does the INDC least 10 percent of land area by 2030 and of 55 countries in Africa (Bertschi et al., mention the 2015 Forests Act. This gap the promotion of clean energy technolo- 2003). indicates a need to align processes at the gies to reduce overreliance on woodfuels. Charcoal demand in Zambia mainly national level, as the Act offers unique Adaptation goals mainly concern enhanced concerns urban centres (Chidumayo and opportunities to address the wood energy resilience and focus on mainstreaming Gumbo, 2013), with 85 percent of urban issue and tackle it sustainably from a policy adaptation as part of Kenya’s Vision 2030. populations heavily dependent on charcoal and management point of view. The INDC recognizes the problem of for domestic use (Kalinda et al., 2008). unsustainable production and consumption Charcoal production and the continuous Kenya of woodfuels. Both the target of 10 percent degradation of natural resources in Zambia Kenya has a population of around 45 mil- forest cover and the promotion of clean is clearly unsustainable. Chidumayo lion people. Biomass fuels are its largest energy technologies will address key wood and Gumbo (2013) studied the charcoal source of primary energy, with woody bio- energy issues. However, additional mea- industry in Zambia and identified five mass (fuelwood and charcoal) comprising sures and specifications could be beneficial. priorities for establishing a sustainable 69 percent of all energy used in the country, For example, more attention could be paid sector, both environmentally and economi- both by households and institutions. In to ways of making the production and cally: (1) restoration of charcoal-degraded rural areas, 90 percent of the population use of forest resources more sustainable. areas; (2) sustainable charcoal production; is dependent on the use of woodfuels Another important issue is the efficiency of (3) support to female charcoal producers; (Government of Kenya [GoK], 2015; UNEP, fuelwood conversion to charcoal. Lastly, a (4) close collaboration with chiefs and 2009). Charcoal is used by 34 percent of point can be made for addressing the situa- district councils to ensure communities rural households and 82 percent of urban tion of protracted crises and conflict, which develop rules and guidelines for forest households (GoK, 2013). The greater reli- negatively influences the sustainability of management and sale of timber to charcoal ance on charcoal in urban areas is partly and access to woodfuels. producers for set fees; and (5) encour- due to its easier availability, as compared agement of collaboration between local to fuelwood, in marketplaces (FAO, 2015b). Ghana authorities and charcoal consumers to The production and use of woodfuels are Ghana is a West African country with a adopt energy-saving technologies. responsible for most of Kenya’s house- population of 26.3 million people and an A willingness to address woodfuel- hold energy-related GHG emissions, and area of 238 540 km2 (FAO, 2016a). It is esti- related challenges is clearly reflected therefore contribute significantly to climate mated that more than 20 million Ghanaians in both the adaptation and mitigation change (Iiyama et al., 2015). Furthermore, rely heavily on forests as a source of fuel- goals of Zambia’s INDC. With regards in Kenya, around 55 percent of biomass wood, as well as for wood for construction to mitigation actions, Zambia is priori- fuels are derived from farmlands in the and furniture (Appiah et al., 2009). Fifty tizing sustainable charcoal production, form of woody biomass, crop residues or percent of energy is consumed by the house- improved technologies for cooking, and animal waste. The remaining 45 percent hold and residential sector (Arthur et al., increased reliance on biogas and other is derived from forests (montane rain- 2011). With population growth, the demand forms of renewable energy. With regards to forests, savannah woodlands, dry forests for woodfuels will continue to rise, putting adaptation actions, Zambia is prioritizing and coastal forests), which cover approxi- increased pressure on forest resources. The integrated land-use planning compatible mately 6.99 percent of the country’s land commitment to addressing woodfuel issues with sustainable management of natural area (GoK, 2014). As Kenya’s population in Ghana’s INDCs is explicitly reflected in

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its adaptation goals. These include a focus climate change–energy nexus. Solutions the woodfuel issue, even though they are on governance reforms regarding the use of will need to be identified to respond to a amongst the countries most vulnerable to forest resources for sustainable energy use growing demand for charcoal and fuelwood future climate–energy crises. Only a few and biodiversity. Mitigation goals pertain while simultaneously reducing poverty in of the countries (e.g. Guinea, Liberia and mainly to ambitious reforestation targets ways that are not damaging to the environ- Somalia) clearly mention a high depen- such as doubling the 10 000 ha annual ment (Zulu and Richardson, 2013). dency on woodfuels. Somalia’s INDC, for reforestation/afforestation of degraded Most charcoal production is character- example, states that the lack of alternative lands, which would translate to the refor- ized by the unsustainable over-exploitation sources of energy, the inefficient produc- estation of 20 000 ha annually. The INDC of natural forests. Iiyama et al. (2014) tion of charcoal and a huge dependency for Ghana also mentions policy actions projected that SSA would need an area on exports of charcoal to the Gulf states, that address the woodfuel issue but fall of about 1.6 million ha, not taking spe- have resulted in massive deforestation outside the wood energy sector as such. cific tree species or forest categories into in the country (Federal Government of These include scaling up renewable energy account, to meet its charcoal demand for Somalia, 2015). Hence, the proposed penetration, which may include wood the year 2015. This is a need that will likely actions to address deforestation caused energy, by 10 percent by 2030, and expand- only increase with time given that urban by domestic and export-oriented woodfuel ing the adoption of market-based cleaner populations, who are the main users of demand include sustainable land manage- cooking solutions to reduce woodfuel use. charcoal, will grow significantly in coming ment, sustainable charcoal production and The co-benefits of these policy actions are decades (FAO, 2009b), and that the use promotion of alternative energy sources projected to include an avoided degradation of solid fuels for cooking is rising in SSA such as wind and solar energy (Federal of 39 500 hectares of woodland, a reduction (Roth, 2013). Government of Somalia, 2015). in indoor pollution from woodfuel usage, Another key factor is the role of unclear The reasons for the lack of focus a reduction in smoke-related respiratory and weak tenure systems. Unclear land on the wood energy sector are many. and eye diseases, a reduction in household tenure encourages local people to exploit One is the fact that information on the cooking fuel expenditure, and job creation woodlands for short-term benefits instead woodfuel sector at country level (e.g. through the manufacture and sale of more of investing in the planting of trees and data on status and trends of production, efficient stoves. more sustainable management schemes collection and use of woody biomass (World Bank, 2011). An important step is resources) is sometimes not adequately STRENGTHENING THE therefore to tackle tenure issues, which are reflected in national statistical systems. CLIMATE CHANGE–ENERGY NEXUS not well addressed in the INDCs. Consequently, climate-change-related One of the key challenges that countries in The INDCs from the 22 SSA countries strategies and policies often fail to take SSA currently face is how to strengthen the selected do not focus substantially on into consideration the important role of

Women carrying bags of charcoal in Samburu County,

© FAO/A. OSMAN © FAO/A. Kenya

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woodfuels. There is therefore a need for The current INDCs provide countries and One possible reason for the omission of further awareness raising and a greater global development actors with concrete a more explicit mention of woodfuel could understanding of the complexity of the actions and strategies for embarking on a be the lack of a more targeted, multi-level sector. Chidumayo and Gumbo (2013) sustainable development path. The NDCs process of data collection and analysis found from the analysis of the charcoal will go even further as they will be of a with greater focus on the source (harvest sector in Zambia that charcoal and timber more binding nature. Hence, there is a area, species, production) and the markets resources are often regarded as informal need to ensure not only that integrated (including the various links in the woodfuel activities, with charcoal production seen approaches are promoted, but that the cru- value chain). A gap also exists in making as an income-generating activity for the cial and multi-faceted issue of woodfuel is sure that existing data is collated, translated poor, and the sector receiving poor vis- firmly embedded in the strategies, policies and packaged for a multi-sectoral audience ibility at the national level. and actions that promote these approaches. in order to further the decision-making Another reason is that INDCs reflect the A platform is needed to support the process and the implementation of cor- national priorities of the countries. Wood implementation and execution of INDC responding interventions. To better support energy may often be regarded as un- priority actions and to make explicit refer- countries in addressing the woodfuel issue, important, and there may simply be other ence to key sectors such as wood energy. there is therefore a need to (a) ensure priorities that countries prefer to focus on. Such a platform can help to ensure that that data is presentable and accessible to However, the INDCs offer several entry countries move from drafting wish lists to decision-makers, including stakeholders points for integrating woodfuels in the actual policy implementation and tangible beyond the forestry sector, (b) ensure that longer term. A recent analysis of all actions on the ground. this data is reflected in national statistics submitted INDCs found that 14 percent A concrete step in this direction would and, in turn, captured in the NDCs, and of submissions indicated that fuelwood be to map the promises and targets listed (c) support INDC implementation by harvesting is a driver of deforestation in the INDCs against their contributions to ensuring that vital aspects of sustainable and forest degradation, and 30 countries the SDGs, and the degree to which they are woodfuel and charcoal value chains are highlighted the need to promote the use linked to national and regional policies and incorporated in policies and actions. u of fuel-efficient cookstoves in order to strategies. FAO is contributing to efforts to mitigate climate change (FAO, 2016b). develop such a support mechanism in order Furthermore, the study notes that one third to ensure improved alignment of planned of countries emphasize that biomass as activities and the financial programmes a source of renewable energy is of great to support them. importance for mitigation. Another recent study found that 56 parties indicated a CONCLUSION need to shift resources towards sustainable The INDC documents of the 22 countries bioenergy (Richards et al., 2015). WWF included in this study share a number of References analysed the 75 INDCs correspond- challenges and proposed solutions. They ing mainly to developing countries and therefore provide an opportunity to develop Appiah, M., Blay, D., Damnyag, L., Dwomoh, economies in transition with significant regional initiatives and actions, and open F.K., Pappinen, A. & Luukkanen, O. 2009. forest cover or an important forest sector, opportunities for multilateral organizations Dependence on forest resources and tropi- and found that most countries highlighted to work on developing more sustainable cal deforestation in Ghana. Environment, afforestation, reforestation and restora- regimes for woodfuel production and use Development and Sustainability, 11: 471–487. tion efforts as a main target (Petersen and in SSA. Arnold, J.E.M., Köhlin, G. & Persson, R. Verela, 2015). However, only a few of these INDCs 2006. Woodfuels, livelihoods and policy There is a need for an integrated land- explicitly mention woodfuels. Rather, they interventions: changing perspectives. World scape approach in order to address the focus on measures such as reforestation, Development, 34(3): 596–611. multitude of climate- and natural resource- and sustainable forest Arthur, R., Baidoo, M.F. & Antwi, E. 2011. related challenges countries are facing and management. The impact of such inter- Biogas as a potential renewable energy to better integrate sustainable wood-energy ventions will probably remain limited if source: A Ghanaian case study. Renewable production within the broader landscape. the woodfuel issue, in terms of increasing Energy, 36: 1510–1516. Including sustainable fuelwood and demand and unsustainable production and Bailis, R., Drigo, R., Ghilardi, A. & charcoal production in these integrated supply, is not addressed in a holistic and Masera, O. 2015. The carbon footprint approaches could be an important way integrated manner, e.g. through a value of traditional woodfuels. Nature Climate of meeting the targets mentioned above. chain approach. Change, 5: 266–272.

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Unasylva 246, Vol. 67, 2016/1 61 © WWW.NATURALLYWOOD.COM © Climate change mitigation through forest sector activities: principles, potential and priorities1

W. A. Kurz, C. Smyth and T. Lemprière

Applying three principles will lobally, forests remove from the Drawing on research carried out in help develop effective climate atmosphere a significant fraction Canada, Sweden and Switzerland, this change mitigation strategies, of the annual anthropogenic CO2 article looks into the importance of sus- including the role of harvested Gemissions. It is of considerable scientific tainable forest management, maintaining wood products and avoided and policy interest to understand if, and or enhancing carbon stocks, increasing emissions. how, it may be possible to enhance the carbon retention in long-lived HWPs, contribution of the forest sector to climate and the use of HWPs to maximize the change mitigation. Simplifying accounting displacement of emissions from other sec- assumptions or assumptions about car- tors. It identifies priorities for early action bon neutrality of biomass burning may if changes in forest sector activities are not result in the best choices to improve expected to contribute to emission reduc- Werner A. Kurz is Senior Research Scientist management of forests, harvested wood tion targets. with Natural Resources Canada, Canadian products (HWPs), and landfills to achieve Forest Service, Victoria, Canada. Carolyn Smyth is Research Scientist with climate change mitigation objectives. Natural Resources Canada, Canadian Forest Above: Modern engineering can help Service, Victoria, Canada. 1 This article is a slightly revised version of increase carbon retention in wood Tony Lemprière is Chief, Climate Change the paper with the same title submitted to the products and achieve significant avoided Policy, with Natural Resources Canada, XIV , held in Durban, emissions through the substitution of Canadian Forest Service, Ottawa, Canada. South Africa, in September 2015. emissions-intensive materials

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INTRODUCTION, SCOPE AND from substitution of emissions-intensive choices to improve management of forests, MAIN OBJECTIVES products such as steel, concrete, plastics HWPs and landfills to achieve climate Between 2004 and 2013, global forests and fossil fuels with wood-based prod- change mitigation objectives. -1 removed 10.6 ± 2.9 GtCO2 yr from ucts (Lemprière et al., 2013). Simplifying the atmosphere or about 29 percent of accounting assumptions, such as instant PRINCIPLE #1: BASELINES

the annual anthropogenic CO2 emissions oxidation of HWPs removed from the for- Mitigation objectives are achieved when, from fossil fuel burning, cement manufac- est or transferred into landfills, or carbon through changes in human behaviour or turing, and deforestation (Global Carbon neutrality of biomass burning, result in technology, GHG emissions are reduced Project, Le Quéré et al., 2014). Combined differences between reported and actual or GHG sinks are enhanced, relative to a

with the CO2 uptake by oceans, forests emissions, and may not result in the best baseline (Lemprière et al., 2013). The use have helped to reduce the airborne frac-

tion of the emitted CO2 to 44 percent by removing the remaining 56 percent of emissions from the atmosphere. It is therefore of considerable scientific and policy interest to understand if, and how, it may be possible to sustain or enhance the contribution of the forest sector to climate change mitigation. This interest in potential forest sector contributions to climate change mitigation is reflected in an increase in research and publications on the subject and in the atten- tion the land sector received in the 2015 climate agreement that was reached in Paris. Here we emphasize three principles that should be maintained when conduct- ing analyses of forest sector mitigation options and present results from national- scale analyses in Canada conducted to demonstrate these principles and to evalu- ate the climate change mitigation potential in Canada’s forest sector.

METHODOLOGY/APPROACH The three key principles of forest carbon accounting for mitigation are to: (1) quan- tify changes in the net greenhouse gas (GHG) balance that result from changes in human activities, relative to a base- line; (2) estimate emissions, when and where they occur and the type of GHG that is emitted; and (3) quantify changes

in carbon stocks and GHG emissions © WWW.NATURALLYWOOD.COM in forest ecosystems, from HWPs, and

Sustainable management of the forest includes assisted migration of indigenous tree species to better match trees with future climates

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of a “business-as-usual” baseline removes as resulting from climate change mitiga- introduced to facilitate GHG estima- the effects of age–class legacies in forests tion efforts. tion and life-cycle analyses can result in (Böttcher et al., 2008; Kurz, 2010), and policies that will not benefit atmospheric ensures that estimated mitigation benefits PRINCIPLE #2: ESTIMATE mitigation goals. For example, the revised are the result of changes in behaviour and EMISSIONS, WHEN AND WHERE 1996 Guidelines of the Intergovernmental not merely the result of ecosystem pro- THEY OCCUR AND BY TYPE OF GHG Panel on Climate Change (IPCC, 1997) cesses that would have occurred in any Mitigation actions have different time made a simplifying assumption that new case. Baselines are essential in analysis lines regarding GHG costs and benefits carbon additions to HWPs merely replace of mitigation to ensure that existing forest (Nabuurs et al., 2007). The simplifying a similar amount of carbon losses from carbon sinks are not incorrectly claimed accounting assumptions that have been existing HWP pools and that, therefore, all transfers of carbon from forest ecosystems can be considered as instantaneously oxidized to the atmosphere. This simpli- fication resulted in an incorrect perception of the impacts of forest management on GHG balances and, more importantly, removed incentives to prolong carbon retention in HWPs. Similarly, life-cycle analyses of bioenergy or forest products have sometimes employed a simplifying assumption that all carbon obtained from the forest is carbon neutral, i.e., has no impact on changes in forest ecosystem carbon stocks. This assumption can also lead to incorrect policy conclusions that may not result in the most effective mitiga- tion strategies, because it fails to recognize the impacts of wood harvests on ecosystem carbon stocks, and fails to make clear that the choice of biomass feedstock for bio- energy can have a significant influence on the magnitude and timing of mitiga- tion impacts. Under the internationally agreed rules of the “production approach” used for the reporting of emissions from HWPs, the emissions from biomass used for energy are reported by the country that harvests the biomass. If the biomass is exported and used for energy, then the biomass-importing country can claim that the imported biomass is carbon neutral. So while globally the total emissions are fully reported, this accounting could lead to policy decisions that do not result in the most effective climate change mitigation strategies.

Sustainable management of the forest includes taking advantage of tree improvement programmes to

© WWW.NATURALLYWOOD.COM © increase sequestration

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1 Conceptual model of alternative Maximize carbon stocks … approaches to managing forest Fossil emissions sector carbon stocks and flows. The evaluation of a mitigation strategy should be based on an assessment of net emissions to the atmosphere Biofuel Fossil fuel associated with changes in forest ecosystems, HWPs and substitution effects associated with the use Forest of wood products. Conservation- ecosystems focused approaches increase forest ecosystem carbon stocks but reduce Wood products Other products carbon storage in HWPs and reduce HWPs available to substitute other products (top panel). Wood-use Services used by society focused approaches can reduce forest ecosystem carbon stocks (relative to conservation-based approaches) … or maximize carbon uptake? but manage forests for higher carbon uptake rates, increased production of Fossil emissions HWPs, and larger substitution benefits. (Figure modified from Nabuurs et al., 2007.)

Biofuel Fossil fuel

Forest ecosystems

Wood products Other products

Services used by society

PRINCIPLE #3: ESTIMATE GHG measures aimed at reducing harvest rates mitigation benefits are achieved through EMISSIONS IN FORESTS, HWPs may result in increased forest ecosystem substitution effects, and that these are AND THE AVOIDED EMISSIONS carbon stocks, but at the expense of carbon higher than the impacts on stock changes (SUBSTITUTION) THROUGH THE in HWP or substitution benefits and associ- under sustainable forest management. USE OF HWPs ated higher emissions from fossil fuels and Here we summarize the use of Canada’s Analyses of mitigation options should be cement (Figure 1, top panel). Conversely, National Forest Carbon Monitoring, based on an integrated systems approach increasing harvest rates to generate more Accounting and Reporting System (Kurz that considers carbon and GHG effects forest products will decrease forest eco- and Apps, 2006) and associated models in three components: forest ecosystems; system carbon stocks but increase carbon (Kurz et al., 2009) to estimate the mitiga- HWPs; and other sectors, as a result of in HWPs and, depending on their use, can tion potential in Canada’s forest sector to the atmospheric effects of substitution of lead to increased substitution benefits 2050 (Smyth et al., 2014). Seven scenarios emissions-intensive products such as con- (Figure 1, bottom panel). of changes in forest management and two crete, steel, plastics (Sathre and O’Connor, scenarios of changes in wood use were 2010) or fossil fuels (Ter-Mikaelian et al., RESULTS implemented starting in 2015, compared 2015) (Figure 1). The assessment of substi- The potential forest sector contributions to a baseline of no mitigation activity. tution effects should include the emissions to climate change mitigation have been The results show that cumulative miti- associated with the manufacture and trans- assessed in recent national-scale studies. gation benefits increase over time, with port of both the HWPs and the products The three principles outlined above have relatively small benefits in the near term they substitute. Mitigation efforts aimed been implemented in studies for Canada, (to 2020) but increasingly larger benefits at increasing carbon in one of the three Sweden and Switzerland (Lundmark by 2030 and 2050 (Figure 2). Relative components usually result in decreases et al., 2014; Smyth et al., 2014; Werner to the baseline management of HWPs, a in carbon in one or both of the other two et al., 2010). All three studies demonstrate small shift from pulp and paper products components. For example, conservation that in the long term, the greatest global towards increased production of long-lived

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products yielded cumulative mitigation DISCUSSION is specific to the countries examined benefits by 2050 of 435 MtCO2e, while The results of studies in Canada, Sweden because their emissions from deforesta- shifting HWP use towards bioenergy and Switzerland all demonstrate that the tion (conversion of forest to non-forest increased overall emissions. Combining national forest sector can make meaningful land uses) are small. In countries with high a “harvest less” forest management sce- contributions to climate change mitigation deforestation rates, emission reductions nario with the increased long-lived HWP efforts, and that these are derived to a large in the short term (2020) can be achieved scenario yielded cumulative mitigation extent through the use of HWPs to achieve through strategies aimed at reducing emis- benefits of 600 MtCO2e. The “better emissions reductions in other sectors. sions from deforestation and degradation utilization” forest management scenario The studies also showed that conserva- (REDD+). combined with increased long-lived HWPs tion strategies aimed at increasing forest For countries such as Canada and yielded 944 MtCO2e cumulative mitiga- ecosystem carbon stocks did not achieve Sweden, which export much of their tion benefits. Creating a portfolio mix the largest possible mitigation benefits. HWPs, some of the climate change by combining regionally differentiated In the Canadian study, the assumptions mitigation benefits of the HWP use strat- mitigation strategies across Canada yielded about changes in forest management and egies are achieved outside the country, cumulative mitigation benefits by 2050 of changes in HWP use were conservative as exported HWPs are used to substitute

1 178 MtCO2e. Preliminary estimates of and informed by the views of provincial for more emissions-intensive products abatement costs indicate that these large resource management experts on the feasi- abroad. Under current carbon accounting mitigation benefits are also cost-effective bility of implementation of the mitigation rules, the mitigation benefit resulting from compared to mitigation options in other strategies. substitution abroad does not contribute sectors. The analyses also demonstrate The results also show that the mitiga- to the domestic GHG emission reduction that the sooner the mitigation activities tion benefits increase over time and that targets of the wood-exporting country, and are implemented, the larger the mitigation the forest sector’s potential to contribute in fact it may adversely affect domestic benefits will be in the mid term (2030) and to short-term GHG emission reduction emissions because reduction in forest long term (2050). goals (2020) is limited. This conclusion carbon stocks (where these occur), and

1 500

1 250

1 000

750 e) 2 500 Reduced emissions

(Mt CO 250 2 Cumulative mitigation benefits to

Total 2050 of five forest sector mitigation 0 strategies in Canada. Two strategies explore the mitigation benefits (relative to the baseline) of shifting -250 more wood towards longer-lived Increased harvested wood products (LL HWPs) emissions or towards bioenergy feedstock. -500 Two strategies compare changes in 2015 2020 2025 2030 2035 2040 2045 2050 forest management (better utilization, increased conservation by harvesting Year less), each combined with the LL HWP strategy. The mitigation benefits are Portfolio mix Better utilization + LL HWPs Harvest less + LL HWPs shown if each of these strategies is implemented across Canada. A final Bioenergy feedstock Longer-lived harvested wood products (LL HWPs) strategy (portfolio mix) is based on choosing the best strategy in each region (Smyth et al., 2014).

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emissions associated with HWP manufac- concentrations and thus serves climate reductions in the forest and the immediate turing, transport and export are counted change mitigation objectives. oxidation of the exported biomass carbon, in the country where they occur. However, The harvest of live trees for the produc- while the importing country that uses these the use of long-lived HWPs to substitute tion and export of pellets for bioenergy is pellets rarely, if ever, achieves a net reduc- for emissions-intensive products such as a special case with strong negative impacts tion in actual emissions because fossil fuels concrete, steel and plastics does contribute on the GHG balance of the exporting coun- are more energy-intensive than biomass.

to global reductions in atmospheric CO2 try, which has to account for carbon stock The reduction in reported national emis- sions associated with the use of imported biomass for energy production therefore is achieved because the biogenic emissions are reported by the exporting country. Lastly, mitigation benefits in the forest sector do not depend on forest manage- ment alone: mitigation benefits can be increased through coordination with the users of wood products to reduce wood waste, increase the use of long-lived HWPs, and maximize the displacement benefits through substitution of emissions-intensive building products. This suggests that build- ing codes (e.g. increasing the number of storeys permissible in wooden buildings), planners (e.g. “Wood First” building strat- egy), architects, builders, and home buyers can all contribute to achieving mitigation benefits in the forest sector.

CONCLUSIONS Analyses that apply sound forest carbon accounting principles to quantify the potential of the forest sector to contribute to climate change mitigation in Canada demonstrate the importance of sustain- able forest management, maintaining or enhancing carbon stocks, increasing car- bon retention in long-lived HWPs, and the use of HWPs to maximize the displace- ment of emissions from other sectors. The analyses also identify priorities for early actions if changes in forest sector activities are expected to contribute to near-term emission reduction targets.

Construction of the Wood Innovation Design Centre in Prince George, Canada, the tallest contemporary wood building in North America, standing at 29.5 metres high. Increased use of wood in non-traditional buildings holds great potential for avoiding emissions through less use of materials like steel and concrete that are more emissions-

© WWW.NATURALLYWOOD.COM © intensive on a life-cycle basis

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The results of this and other national- Intergovernmental Panel on Climate Lemprière, T.C., Kurz, W.A., Hogg, E.H., scale analyses that follow the three Change (IPCC). 1997. Revised 1996 Schmoll, C., Rampley, G.J., Yemshanov, D., principles outlined above support the IPCC Guidelines for National Greenhouse McKenney, D.W., Gilsenan, R., Beatch, A., conclusion of the IPCC Working Group III Inventories. Houghton, J.T., Meira Filho, Blain, D., Bhatti, J.S. & Krcmar, E. 2013. Forestry chapter on climate change miti- L.G., Lim, B., Treanton, K., Mamaty, I., Canadian boreal forests and climate change gation options that: “In the long term, a Bonduki, Y., Griggs, D.J. & Callander, B.A., mitigation. Environmental Reviews, 21: sustainable forest management strategy eds. Paris, IPCC/OECD/IEA. 293–321. aimed at maintaining or increasing forest Kurz, W.A. 2010. Large inter-annual varia- Lundmark, T., Bergh, J., Hofer, P., carbon stocks, while producing an annual tions in carbon emissions and removals. In Lundström, A., Nordin, A., Poudel, B., sustained yield of timber, fibre or energy H.S. Eggleston, N. Srivastava, K. Tanabe Sathre, R., Taverna, R. & Werner, F. from the forest, will generate the largest & J. Baasansuren, eds. Revisiting the use 2014. Potential roles of Swedish forestry in sustained mitigation benefit” (Nabuurs of managed land as a proxy for estimat- the context of climate change mitigation. et al., 2007). ing national anthropogenic emissions and Forests, 5: 557–578. removals, pp. 41–48. IPCC meeting, São José Nabuurs, G.J., Masera, O., Andrasko, K., ACKNOWLEDGEMENTS dos Campos, Brazil. Hayama, Japan, IGES. Benitez-Ponce, P., Boer, R., Dutschke, M., Funding for this research was provided by Kurz, W.A. & Apps, M.J. 2006. Developing Elsiddig, E., Ford-Robertson, J., Frumhoff, the Government of Canada, through the Canada’s national forest carbon monitor- P., Karjalainen, T., Krankina, O., Clean Air Agenda, and the Program on ing, accounting and reporting system to Kurz, W., Matsumoto, M., Oyhantcabal, W., Energy Research and Development. We meet the reporting requirements of the Ravindranath, N.H., Sanz Sanchez, M. & also thank the Pacific Institute for Climate Kyoto Protocol. Mitigation and Adaptation Zhang, X. 2007. IPCC Forestry. In B. Metz, Solutions (PICS) for ongoing support of Strategies for Global Change, 11: 33–43. O.R. Davidson, P.R. Bosch, R. Dave & climate change mitigation research. We Kurz, W.A., Dymond, C.C., White, T.M., L.A. Meyer, eds. Climate Change 2007: thank all provincial and territorial govern- Stinson, G., Shaw, C.H., Rampley, G.J., Mitigation. Contribution of Working ment members of the Canadian National Smyth, C., Simpson, B.N., Neilson, E.T., Group III to the Fourth Assessment Report Forest Sinks Committee and their col- Trofymow, J.A., Metsaranta, J. & of the Intergovernmental Panel on Climate leagues, and we acknowledge the support Apps, M.J. 2009. CBM-CFS3: A model Change. Cambridge, UK and New York, NY, of the Canadian Forest Service Carbon of carbon-dynamics in forestry and land- USA, Cambridge University Press, Chap. 9. Accounting Team members. use change implementing IPCC standards. Sathre, R. & O’Connor, J. 2010. Meta-analysis Ecological Modelling, 220: 480–504. of greenhouse gas displacement factors of The views expressed in this article are Le Quéré, C., Moriarty, R., Andrew, R.M., wood product substitution. Environmental those of the authors and do not necessarily Peters, G.P., Ciais, P., Friedlingstein, P., Science & Policy, 13: 104–114. reflect the views or policies of FAO or the Jones, S.D., Sitch, S., Tans, P., Arneth, A., Smyth, C.E., Stinson, G., Neilson, E., Government of Canada. u Boden, T.A., Bopp, L., Bozec, Y., Lemprière, T.C., Hafer, M., Rampley, G.J. Canadell, J.G., Chevallier, F., Cosca, C.E., & Kurz, W.A. 2014. Quantifying the bio- Harris, I., Hoppema, M., Houghton, R.A., physical climate change mitigation potential House, J.I., Jain, A., Johannessen, T., of Canada’s forest sector. Biogeosciences, Kato, E., Keeling, R.F., Kitidis, V., 11: 3515–3529. Klein Goldewijk, K., Koven, C., Landa, C.S., Ter-Mikaelian, M.T., Colombo, S.J. & Landschützer, P., Lenton, A., Lima, I.D., Chen, J. 2015. The burning question: does Marland, G., Mathis, J.T., Metzl, N., forest bioenergy reduce carbon emissions? A Nojiri, Y., Olsen, A., Ono, T., Peters, W., review of common misconceptions about for- Pfeil, B., Poulter, B., Raupach, M.R., est carbon accounting. Journal of Forestry, References Regnier, P., Rödenbeck, C., Saito, S., 113: 57–68. Salisbury, J.E., Schuster, U., Schwinger, J., Werner, F., Taverna, R., Hofer, P., Thürig, E. Böttcher, H., Kurz, W.A. & Freibauer, A. Séférian, R., Segschneider, J., Steinhoff, T., & Kaufmann, E. 2010. National and global 2008. Accounting of forest carbon sinks Stocker, B.D., Sutton, A.J., Takahashi, T., greenhouse gas dynamics of different for- and sources under a future climate proto- Tilbrook, B., van der Werf, G.R., Viovy, N., est management and wood use scenarios: col – factoring out past disturbance and Wang, Y.P., Wanninkhof, R., Wiltshire, A. a model-based assessment. Environmental management effects on age–class structure. & Zeng, N. 2014. Global carbon budget 2014. Science & Policy, 13: 72–85. u Environmental Science & Policy, 11: Earth System Science Data Discussion, 7: 669–686. 521–610.

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Forest genetic resources and adaptation to climate change

J. Loo © BIOVERSITY INTERNATIONAL/R. KHALIL INTERNATIONAL/R. © BIOVERSITY

A desert tree that shows both rees are essential components of the extent of soil erosion and an Genetic resources determine the ability to tolerate such changes adaptive potential of trees and adaptation and mitigation strat- influence the long-term value of egies to counter impacts of climate tree-planting efforts for climate Tchange. On the one hand, trees play a vital change mitigation. role in adaptation of landscapes and human critical for effective adaptation and mitiga- communities to tolerate climatic changes, tion responses to climate change. In spite including hotter and drier conditions; of this, among natural resource managers, and, on the other, expanding forest cover restoration practitioners and conservation increases the cap- agents, little attention is paid to the impor- acity of landscapes, mitigating the negative tance of forest tree genetic resources and impacts of emissions. Genetic resources their vulnerability to impacts of climate determine the adaptive potential of trees change if not properly managed. as well as influencing the long-term value Genetic diversity comprises the heritable Judy Loo works for Bioversity International (Rome, Italy) as Science Domain Leader, of tree-planting efforts for mitigation pur- differences among individuals within a Forest Genetic Resources and Restoration. poses. Thus genetic resources of trees are species, and forest genetic resources refers

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to the genetic diversity in trees that is of question is whether genetic variation in Several reviews (Loo et al., 2015; Alfaro current or potential importance to people. adaptive traits is sufficient to equip popula- et al., 2014; Koskela, Buck and du Cros, From a biological perspective, adaptation tions of tree species to survive in the face 2007) have dealt with this subject dur- is a genetic response to changes in envir- of climate change. The answer, of course, ing the past decade; this article provides onmental conditions (in a broad sense) is “It depends”: it depends on how rapidly additional information and examples of the through natural or human-mediated selec- change is occurring and whether it is direc- role of forest genetic resources in adapting tion. The term has taken on a much broader tional; the amount of both plasticity (the to climate change. meaning in climate change discourse, but ability of an individual organism to change in this article, the focus is on the biological its phenotype in response to environmen- VULNERABILITY OF FOREST definition: the process by which tree popu- tal changes) and genetic diversity within TREE GENETIC RESOURCES lations or species change to become better populations; the pollination mechanisms TO CLIMATE CHANGE suited to their environment. and dispersal patterns of the tree spe- Climate change threatens forest genetic Rapid adaptation may occur as a response cies in question; and the degree to which resources through the potential loss of to strong selection pressure (i.e. high mor- populations are isolated and fragmented unique genetic diversity when popula- tality as a result of an environmental shift) across landscapes. Scientists’ opinions tions of trees are extirpated or severely that favours survival and reproduction of vary; for example, Yanchuk and Allard diminished. In the most obvious and dra- individuals having particular adaptive trait (2009) were pessimistic in their assess- matic instance, trees of all ages, including values, combined with high phenotypic ment of the potential of classical tree mature ones, may exhibit high mortality variability and high heritability. This improvement programmes to respond to after extreme events such as drought or means that the values or forms of traits climate change quickly enough; Hamrick flooding or the invasion of previously necessary for survival are present in the (2004) was more optimistic regarding unknown or sporadically occurring insects population and are passed on from parent the potential for rapid adaptation within or diseases. Alternatively populations may to offspring (Alberto et al., 2013). The key natural populations of trees. fail to regenerate and climate-sensitive

Residual patch of

© BIOVERSITY INTERNATIONAL/D. HUNTER forest, Sri Lanka

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tree species may be replaced gradually the world, provided by Allen (2009) when on evaluation of the role of long-distance by others that are more suited to the Unasylva last undertook the task of sum- gene flow, that migration itself could be changed conditions (Walck et al., 2011). marizing adaptation to climate change sufficient in many cases. The authors sum- Regeneration failure may result from in the forest sector, can be supplemented marized results of mainly European tree factors such as loss of pollinators or loss now by numerous additional ones. See, for species but it should be noted that tropical of synchrony in the timing of flowering example, Hartmann et al. (2015); however, or subtropical species may have shorter and pollinator activity (Broadhurst et al., the authors caution that much uncertainty gene flow distances (animal-mediated 2016). Climate change can affect wind remains regarding global trends in tree instead of wind pollination) and tropical patterns so even wind-pollinated trees mortality and potential ecological effects. and sub-tropical tree populations are often may exhibit reduced reproduction as a Hartmann et al. (2015) stated that we subject to greater landscape fragmentation result (Kremer et al., 2012). In northern still do not have answers to basic ques- than temperate ones. climates mid-winter warming followed by tions like: (1) whether tree mortality is As noted by Alberto et al. (2013), more sub-zero temperatures can destroy flower increasing globally; (2) why some trees data are available for trees than for many buds and, in extreme cases, cause tree mor- survive and others die under similar other plant species with respect to effects tality. In fact, large-scale tree die-off has drought conditions; (3) which physiological of climate change; field trials established already been reported in North America characteristics of trees are critical for decades ago are extremely useful now for and Eurasia, and counter-intuitively, tree understanding and modelling tree mor- assessing and predicting responses of tree damage or death from cold stress as tality; and (4) which features of droughts populations to climate change. However, well as heat stress is expected by some are the most important in predicting tree with a few notable exceptions, this infor- to increase as a result of climate change mortality. The second question can be mation is limited to northern temperate in coming decades (Harfouche, Meilan answered, at least in part, by knowledge of and boreal species and much less is known and Altman, 2014). In either case, trees’ genetic variation in adaptive traits, which about tropical or subtropical species. reproductive capacity is compromised. influences the differential survival of trees Epigenetic effects can influence how Among other factors, the severity of when faced with drought and other seri- some tree species respond to environmen- the impacts of climate change depends ous environmental challenges (Alberto tal change. Although not well studied or on topography, recognizing that climate et al., 2013). Finding an answer to the third understood for many species, it is known changes more rapidly over a given distance question, as well as better understanding that a handful of temperate and boreal in mountainous topography than on flat the genetic control of physiological traits conifer tree species exhibit these effects land. Populations at or near mountain- involved in drought resistance, could lead through permanent changes in regulation tops are likely to be highly vulnerable to better management responses to counter of phenological traits, such as timing of bud (Aitken and Bemmels, 2016). the underlying causes of tree mortality. burst, that are triggered during the zygotic When seed production is successful, seed In general, when environmental condi- or embryo phase (Yakovlev et al., 2014). still may not germinate or seedlings may tions change, tree populations have two The “epigenetic memory” is maintained not survive under changed temperature and possible alternatives to avoid extirpation: throughout the lifespan of the affected moisture conditions (Walck et al., 2011). (1) adapt in place through a combination trees, via modified protein transcription The seedling stage is the most vulnerable of phenotypic plasticity and genetic vari- at particular gene loci, and is passed to in the survival and growth of tree species ation in relevant traits; or (2) migrate via offspring, although there is no change in (Gaspar et al., 2013). In the absence of seed and/or pollen to more suitable habitats primary DNA sequence (Yakovlev et al., successful regeneration, a population of (Aitken et al., 2008). Franks, Weber and 2014). This complicates the interpreta- trees may be doomed, in spite of apparently Aitken (2014) summarized evidence of tion of the clinal patterns of adaptation healthy mature trees that may live on for evolutionary and/or plastic responses to cli- that are frequently observed across the decades. Reported incidences of tree die- mate change for a number of tree species. range of tree species. However, as noted back are increasing, even though Walck Although many of the temperate and boreal by Aitken and Bemmels (2016), the size et al. (2011) hypothesized that populations species included in their review exhibited of the epigenetic effects is itself subject to of many species could be buffered from apparent adaptation or plastic responses, genetic variation among families. the effects of climate change thanks to less than half of them were judged to Tree populations must be large (at least generally high local intraspecific genetic have sufficient response to keep pace several hundred reproductively mature variation and phenotypic plasticity in seed with climate change. However, Kremer trees) to maintain inherent adaptive dormancy and germination traits, occur- et al. (2012) pointed out that rarely would potential and ideally they should have ring over small distances (both elevational adaptation or migration occur indepen- uninhibited gene flow with other popula- and latitudinal). The examples from around dently of each other and concluded, based tions to facilitate adaptive responses to

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Naturally drought-resistant environmental stimuli or stress. Most tree to the same climatic envelope (Alberto trees in the mountainous landscape of Tajikistan species are both highly diverse and have et al., 2013). In fact, tree populations may high fecundity; millions of seeds may be be specifically adapted to local climatic produced over the lifetime of one single conditions and their tolerance is typically tree and only one offspring has to survive much narrower than for the species as a HOW CAN FOREST GENETIC to replace each parent tree to maintain whole (Kremer et al., 2012). For tree spe- RESOURCES BE HARNESSED TO the population. Thus nature offers a huge cies which have been studied in provenance RESPOND TO CLIMATE CHANGE? potential for selection. In order for such trials or along climatic clines, approaches Understanding diversity in directional selection to be successful, how- that take into account complex trait inter- adaptive traits ever, a second condition is that changes in actions such as that described by Liepe Where they exist, provenance trials can climatic conditions must be directional and et al. (2016) may be used. Also commonly provide very useful information about consistent. It is much less likely that trees overlooked is the fact that other factors the degree of local adaptation to environ- can adapt to survive extreme events than to besides climate determine suitability of mental conditions as well as the amount accommodate gradual directional change. habitat and that species may not be able to of plasticity within species. Provenance Modelling approaches to predicting migrate across highly modified landscapes trials are common garden field tests that impacts of climate change focus on range to a suitable habitat, even if it exists. are established using samples of plant- expansion and migration of species to fill Considering what is currently known, ing stock that originate from (usually) a climatic niches created by changing condi- there is no clear answer for most species large number of populations across all or tions. They assume homogeneity within with regard to their ability to adapt suffi- a substantial portion of a species’ natural species, i.e. all individuals within a spe- ciently or migrate rapidly enough to survive distribution. They are established follow- cies are treated as if they were adapted and regenerate in climates of the future. ing an experimental design that allows

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separation of population-level genetic from that ensuring tree vigour and productivity based on planting trees have been patchy, environmental effects by statistical analy- is the first line of defence, but breeding partly because of lack of attention to the sis. Kremer et al. (2012) summarized some for tougher, less palatable foliage, for source of planting material. As explained provenance trial results that are relevant example, could develop a form of general by Thomas et al. (2014), the successful to climate change responses. Results from resistance. Numerous studies have shown establishment of self-sustaining restored large numbers of provenance trials indi- genetic variation in adaptive traits, hold- forest depends on using sources of plant- cate that: (1) populations of tree species ing out the promise of breeding trees to ing material that is already adapted to the contain high levels of genetic variation match new environmental conditions. For often tough conditions of the planting sites that are maintained by gene flow; (2) in example, Kreyling et al. (2014) described and that has sufficient genetic diversity to spite of high rates of gene flow, adaptive evidence for local adaptations to winter continue to respond to changing conditions. traits are strongly differentiated between and spring frosts in seedlings of European Genetic considerations are obviously not populations; (3) different species exhibit beech (Fagus sylvatica) and they reported the only determinants of success but with- similar population-level clinal patterns, that adaptation was stronger in marginal out appropriate genetic material, failure is especially for phenological traits along than central populations. Identifying popu- a foregone conclusion. climatic or geographical variables, sug- lations with the greatest variation in the Commercial forestry plantations often gesting that many species have similar traits of interest or which have the desired consist of exotic, short-lived species and adaptive responses to directional selection; “preadapted” variants is feasible for some they are not intended to be self-sustaining and (4) the current distribution of between species. However, improvement in adaptive over generations. Thus matching adapted vs. within population differentiation for traits may come with a cost. As Harfouche, planting material to the planting site needs fitness-related traits (at least for several Meilan and Altman (2014) noted, some tree to consider only the current or near future temperate broad-leafed species) developed species exhibit great variation in tolerance conditions and as such, is not likely to be rapidly with the process of post-glacial to environmental stresses, and in some as challenging as matching planting stock recolonization. The term “fitness” is used cases, the metabolic cost of stress tolerance to site in landscape restoration. Restoration here to mean the number of surviving off- has negative impacts on tree growth. approaches that involve planting trees, and spring left by an individual. Montwé, Spiecker and Hamann (2015) that are intended to restore ecosystem ser- The mechanisms by which tree popu- studied Douglas-fir Pseudotsuga( men- vices as well as livelihood benefits, are lations are known to cope with rapidly ziesii) provenances in western Canada, likely to have a longer timeframe than changing environmental conditions can using dendrochronology to evaluate the commercial plantation forestry. The plant- be harnessed to speed up the process of productivity response to climate change. ing material must be adapted to planting adaptation and migration in species that They studied how mature Douglas-fir sites that are often harsh, and capable of are under active management. Genetic provenances differ in their tolerance to adapting to changing conditions in the improvement of trees increasingly drought conditions and examined trade- future. To ensure adaptive potential in focuses on adaptive traits in addition to offs with long-term productivity. Their future generations, genetic diversity is production (see e.g. Harfouche, Meilan and study showed that it is possible to select essential. Breed et al. (2013) suggested that Altman, 2014). Yanchuk and Allard (2009) planting stock that shows drought toler- creating mixtures of seed from different reviewed the potential for tree improve- ance, but there would be an associated sources (provenances) might maximize the ment to keep pace with climate change reduction in productivity. The generality adaptive potential, although it introduces from the perspective of forest health and of such trade-offs between productive and the danger of outbreeding depression. concluded that the standard approach of adaptive traits is not known. “Outbreeding depression” is said to occur breeding trees for resistance to individual when breeding between individuals from pests when they begin to pose a threat has Planting to restore forest ecosystems: different populations produces offspring significant limitations. The time required the challenge of climate change that have lower fitness than progeny from for results from classical is Tree-planting efforts are increasingly crosses between individuals within either prohibitive considering the surge in the urgent as natural forest cover recedes under population. pace of appearance and degree of damage a battery of human-mediated impacts, caused by new insect pests and diseases. including changing climatic conditions. Importance of marginal populations Our inability to predict the next big insect Forest and landscape restoration through Marginal populations of trees, meaning or disease challenge adds to the difficulty. natural regeneration is highly successful populations that are at the edges of a spe- The authors recommended seeking general in some areas, but planting is necessary cies’ range, may hold particular importance or generic resistance that could be deployed where natural regeneration is not sufficient. in the context of adaptation to climate as a pre-emptive strategy. They pointed out However, success rates of change. Kreyling et al. (2014) noted that

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local adaptations are sometimes especially clear that there are limits. Understanding Breed, M.F., Stead, M.G., Ottewell, K.M., strong in marginal populations. This the limits to adaptation of tree popula- Gardner, M.G. & Lowe, A.J. 2013. Which implies that the asymmetrical gene flow tions in situ and the potential for moving provenance and where? Seed sourcing from the higher-density centre of species planting material to new suitable habitats strategies for revegetation in a changing ranges to the relatively sparse periphery is increasingly important. Population size environment. Conservation Genetics, 14(1): (as discussed by Aitken and Whitlock, is one of the most important factors in 1–10. 2013) does not prevent the occurrence maintaining evolutionary potential but tree Broadhurst, L.M., Jones, T.A., Smith, F.S., of local adaptation in these populations. populations continue to be subject to loss North, T. & Guja, L. 2016. Maximizing Although rapid climate change may pose and fragmentation. u seed resources for restoration in an uncertain threats to locally adapted marginal popula- future. BioScience, 66(1): 73–79. tions, high selection intensity (high level Franks, S.J., Weber, J.J. & Aitken, S.N. 2014. of climate-induced mortality) combined Evolutionary and plastic responses to climate with isolation may have the opposite effect, change in terrestrial plant populations. resulting in rapid adaptation (Jump et al., Evolutionary Applications, 7(1): 123–139. 2006). Where adaptation to extreme condi- Gaspar, M.J., Velasco, T., Feito, I., Alía, R. tions at distribution range edges occurs, & Majada, J. 2013. Genetic variation of these populations may have high value for drought tolerance in Pinus pinaster at three planting both in other parts of the species References hierarchical levels: a comparison of induced range and in new habitats. Such popula- osmotic stress and field testing. PloS one, tions may be subject to greater threat levels Aitken, S.N., Yeaman, S., Holliday, J.A., 8(11): 79094. than populations in other parts of species’ Wang, T. & Curtis-McLane, S. 2008. Hamrick, J.L. 2004. Response of forest trees ranges, however, because of the likelihood Adaptation, migration or extirpation: climate to global environmental changes. Forest of weather events that are stressful to edge change outcomes for tree populations. Ecology and Management, 197(1): 323–335. populations and often a high degree of frag- Evolutionary Applications, 1(1): 95–111. Harfouche, A., Meilan, R. & Altman, A. 2014. mentation with respect to the target species. Aitken, S.N. & Whitlock, M.C. 2013. Assisted Molecular and physiological responses to Thus there is an urgent need to character- gene flow to facilitate local adaptation to abiotic stress in forest trees and their rele- ize and conserve marginal populations of climate change. Annual Review of Ecology, vance to tree improvement. Tree Physiology, useful tree species for their importance Evolution, and Systematics, 44(1): 367. 34(11): 1181–1198. in countering impacts of climate change. Aitken, S.N. & Bemmels, J.B. 2016. Time to Hartmann, H., Adams, H.D., Anderegg, W.R., get moving: assisted gene flow of forest trees. Jansen, S. & Zeppel, M.J. 2015. Research CONCLUSIONS Evolutionary Applications, 9(1): 271–290. frontiers in drought-induced tree mortality: Although genetic resources of trees often Alberto, F.J., Aitken, S.N., Alía, R., crossing scales and disciplines. New receive relatively little attention in forest González-Martínez, S.C., Hänninen, H., Phytologist, 205(3): 965–969. management, restoration and conserva- Kremer, A., Lefèvre, F., Lenormand, T., Jump, A.S., Hunt, J.M., Martínez-Izquierdo, tion, they are essential for a successful Yeaman, S., Whetten, R. & Savolainen, O. J.A. & Penuelas, J. 2006. Natural selection response to the impacts of climate change. 2013. Potential for evolutionary responses and climate change: temperature-linked This is true whether the concern is for to climate change – evidence from tree spatial and temporal trends in gene continued adaptation of forest tree spe- populations. Global Change Biology, 19(6): frequency. Fagus sylvatica. Molecular cies to changing climatic conditions or 1645–1661. Ecology, 15(11): 3469–3480. mitigation of the negative effects of climate Alfaro, R.I., Fady, B., Vendramin, G.G., Koskela, J., Buck, A. & du Cros, E.T., eds. change through expansion of carbon- Dawson, I.K., Fleming, R.A., 2007. Climate change and forest genetic sequestering forest cover. The two are Sáenz-Romero, C., Lindig-Cisneros, R.A., diversity: implications for sustainable forest linked because as conditions change over Murdock, T., Vinceti, B., Navarro, C.M. & management in Europe. Rome, Bioversity time, the evolutionary potential of tree Skrøppa, T. 2014. The role of forest genetic International. species must be maintained to allow for resources in responding to biotic and abiotic Kremer, A., Ronce, O., Robledo-Arnuncio, their continued adaptation; where trees factors in the context of anthropogenic J.J., Guillaume, F., Bohrer, G., Nathan, R., are not well-adapted to local conditions, climate change. Forest Ecology and Bridle, J.R., Gomulkiewicz, R., Klein, E.K., they do not sequester carbon efficiently. Management, 333: 76–87. Ritland, K. & Kuparinen, A. 2012. Long- Evidence for the ability of tree species to Allen, C.D. 2009. Climate-induced forest distance gene flow and adaptation of forest withstand and adapt to changing environ- dieback: an escalating global phenomenon. trees to rapid climate change. Ecology mental conditions is growing, but it is also Unasylva, 231/232: 43–49. Letters, 15(4): 378–392.

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Kreyling, J., Buhk, C., Backhaus, S., Loo, J., Fady, B., Dawson, I., Vinceti, B. & Walck, J.L., Hidayati, S.N., Dixon, K.W., Hallinger, M., Huber, G., Huber, L., Baldinelli, G. 2015. Forest genetic resources Thompson, K.E.N. & Poschlod, P. 2011. Jentsch, A., Konnert, M., Thiel, D., and climate change. In FAO Commission on Climate change and plant regeneration Wilmking, M. & Beierkuhnlein, C. 2014. Genetic Resources for Food and Agriculture, from seed. Global Change Biology, 17(6): Local adaptations to frost in marginal and ed. Coping with climate change – the roles of 2145–2161. central populations of the dominant forest genetic resources for food and agriculture, Yakovlev, I.A., Lee, Y., Rotter, B., Olsen, J.E., tree Fagus sylvatica L. as affected by tem- pp. 41–53. Rome, FAO. Skrøppa, T., Johnsen, Ø. & Fossdal, C.G. perature and extreme drought in common Montwé, D., Spiecker, H. & Hamann, A. 2014. Temperature-dependent differen- garden experiments. Ecology and Evolution, 2015. Five decades of growth in a genetic tial transcriptomes during formation of 4(5): 594–605. field trial of Douglas-fir reveal trade-offs an epigenetic memory in Norway spruce Liepe, K.J., Hamann, A., Smets, P., between productivity and drought tolerance. embryogenesis. Tree Genetics & Genomes, Fitzpatrick, C.R. & Aitken, S.N. 2016. Tree Genetics & Genomes, 11(2): 1–11. 10(2): 355–366. Adaptation of lodgepole pine and interior Thomas, E., Jalonen, R., Loo, J., Boshier, D., Yanchuk, A. & Allard, G. 2009. Tree spruce to climate: implications for refor- Gallo, L., Cavers, S., Bordács, S., Smith, P. improvement programmes for forest health estation in a warming world. Evolutionary & Bozzano, M. 2014. Genetic considerations – can they keep pace with climate changes? Applications, 9(2): 409–419. in ecosystem restoration using native tree Unasylva, 231-232: 50–56. u species. Forest Ecology and Management, 333: 66–75.

Unasylva 246, Vol. 67, 2016/1 75 © ANELI GOMEZ Climate change, mountain people and water resources – the experiences of the Mountain Institute, Peru

C. O’Donnell, J. Recharte and A. Taber

The impacts of climate change INTRODUCTION contributing to increased risk of glacial on mountain areas have espite the importance of moun- lake outburst floods (GLOFs), degraded far-reaching consequences. tains, a lack of highland-focused wetland and grassland habitat, and highly consciousness has left mountain acidified glacial streams. Solutions enacted Dareas chronically neglected. Political in upland watersheds can safeguard valu- marginalization leads to and reinforces able mountain ecosystems, secure water economic marginalization, leaving moun- resources, and build resilience through- tain people and ecosystems increasingly out the entire watershed. The Mountain vulnerable as the planet warms. Climate Institute1 recognizes that mountains are change has already accelerated the melt- complex systems and that their people ing of glaciers while unsustainable natural resource use has compromised the ability 1 Founded in 1972, the Mountain Institute works Colleen O’Donnell is P rogram Officer with the of natural systems to buffer against the to conserve mountain environments, preserve Mountain Institute in Washington, DC, USA. effects of warming. Glacier retreat and mountain cultures and sustainably develop Jorge Recharte is Director of the Andean land use change in the Peruvian Andes are mountain economies. Its work focuses on the Program at the Mountain Institute, Lima, Peru. world’s highest, longest and oldest mountain Andrew Taber is Executive Director of the Above: Community investigators identify ranges — the Himalayas, Andes and Appala- Mountain Institute, Washington, DC, US seasonal lakes in Canchayllo, Peru chians (see www.mountain.org).

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possess a profound understanding of local millions, including the 10 million inhab- followed the fate of the Chacaltaya glacier, conditions. Climate change adaptation itants of Peru’s capital, Lima. in Bolivia, which disappeared completely activities conducted by the Mountain Insti- In response to these challenges, solu- in 2010. The dozens of glaciers that have tute in Peru emphasize processes and tools tions enacted in headwater regions can already vanished have seriously com- that incorporate diverse perspectives and safeguard valuable mountain ecosystems, promised the water security for many local knowledge and empower mountain secure water resources, and build resilience local villages. The consequences of this communities to make informed decisions throughout entire watersheds. In the expe- loss are great for both downstream and towards climate resilience. rience of the Mountain Institute, effective mountain communities. Those that have climate change adaptation in such regions historically relied upon glaciers to store CLIMATE CHANGE IMPACTS AND must build on local assets, emphasizing precipitation, feed rivers and recharge VULNERABILITY OF MOUNTAIN processes and developing tools that build ground aquifers, now face greater risks PEOPLE AND ECOSYSTEMS IN PERU upon local knowledge as a basis towards from both reduced dry season water avail- Sixty-five percent of the world’s popula- greater resilience. ability and increased rainy-season floods. tion is estimated to be served by water At the base of many glaciers, meltwater from mountain ecosystems (Millennium CLIMATE CHANGE IMPACTS pools form behind these natural terminal Ecosystem Assessment, 2005). In humid ON WATER moraine dams. These lakes are respon- areas, mountains generate 60 percent of Growing risk of floods sible for recharging ground aquifers and the available freshwater in the watershed, Mountain landscapes are recognized form the headwaters for many rivers and and in arid and semi-arid areas they are as highly vulnerable to climate change. streams. The sediments carried in these responsible for 90 percent (Liniger et al., Models suggest that they experience waters form soils which are ideal for grow- 1998). Nearly a quarter of terrestrial disproportionate warming compared to ing potato and other staple crops. As the biodiversity and half of all biodiversity corresponding lowland regions (Brodnig peaks of the Andes experience warmer hotspots2 are located in mountains. Despite and Prasad, 2010). Glaciers are losing temperatures and changes in precipitation their importance, mountain regions have mass at an accelerating rate which will patterns, glacial lakes grow with increasing been chronically neglected by socie- continue to have major consequences for pressure on natural dams. The dams can ties around the world. Decision-makers local water availability and regional hydro- burst without warning under the additional are often based in lowland areas, where logical cycles. In the tropical Andes, the pressure, releasing thousands of cubic litres they have little information, awareness mass balance of glaciers increases during of water at once. Such risks are aggravated or understanding of mountain issues. As rainy months, enabling glaciers to act as by the seismic activity of these regions. a consequence, many mountain people natural water reservoirs during dry season. This looming threat presents an enormous remain underserved and mountain natural However, Andean glaciers have shrunk by risk to downstream communities. Glacial resources are frequently unmanaged and 30–50 percent in the last 30 years (Brown, lake outburst floods (GLOFs) have the overexploited. Political marginalization 2013). potential to wipe out entire cities. In 1941, leads to and reinforces economic mar- The impacts of glacier recession vary the dam of the Palcacocha Lake in the ginalization, leaving mountain people greatly depending on the scale and area Quillcay basin burst, killing 5 000 people and ecosystems increasingly vulnerable considered. For example, the Cordillera in the down-stream city of Huaraz. Two as climate change advances. Accelerating Blanca has lost nearly 30 percent of its more GLOFs occurred between 1941 and glacier retreat, combined with various driv- glacier coverage in the last 30 years; the 1950 and were responsible for 5 000 addi- ers of land-use change, are compromising smaller Cordillera of Huallanca, just south tional deaths (Byers and Recharte, 2015). the ability of natural systems to buffer the of the Blanca, has lost closer to 60 percent; In 2010, a large piece of the Hualcán gla- effects of global warming. There is a gap and the even smaller Cordillera of Chonta, cier above Lake 513 broke off, sending a in understanding of how these changes are further to the south, has lost over 90 per- 23-metre wave through the settlements impacting highland resources and peoples. cent. Thus, the corresponding imminent of Hualcán, Pariacaca, Acopampa and Melting in the Peruvian Andes has already risks vary greatly depending on location. Carhuaz, and caused the destruction of the transformed downstream ecosystems and Baraer et al. (2012) note that seven out of area’s potable water plant (La República, is compromising the water security of nine valleys with glaciers in the Cordillera 2010). Today, the Palcacocha Lake, which Blanca have a negative hydrological bal- had completely drained in 1941, has grown 2 Biodiversity hotspots are areas that: “a) are ance, yet conditions and challenges are again to a volume larger than its original characterized by exceptional concentrations of very different from one valley to the next, size and represents a high risk to the city of species with high levels of endemism and b) are experiencing unusually rapid rates of depletion” depending on the area of remaining gla- Huaraz, where tens of thousands of people (Myers, 1988). cier. Many smaller glaciers have already live in the potential flood zone.

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The Peruvian Government has histori- mechanisms for local communities based loss, high altitude wetlands are increas- cally responded to this threat by draining on project research. In Peru, the Institute ingly important for regulating seasonal or containing 34 of the country’s most has supported community consultations water shortages. Alpine wetlands may form dangerous glacial lakes. While the risks and technical studies and designed pub- over sloped valleys, in basins, or across continue to grow, the country has gained lic investment projects to install an early flat plains. considerable knowledge and experience in warning system (EWS) so that the residents They are primarily fed through surface addressing GLOF threats. Recognizing this of Huaraz would have time to prepare in and groundwater snow and glacier melt, Peruvian expertise, in 2012 the Mountain the event of a GLOF. Consultation and and secondarily through rainwater (Squeo Institute formed the High Mountains studies demonstrated that GLOF control et al., 2006). As water dynamics change Adaptation Partnership (HiMAP), with must consider local development objectives and glaciers retreat, the initial increase in funding from USAID, to build partnerships and, therefore, should address risk reduc- water flow may overwhelm high altitude with specialists and communities across tion as well as water retention for city and wetland floodplains, causing deep chan- Peru, Nepal and 15 other countries. The rural consumption. Local governments are neling and erosion. Subsequent decreases aim is to strengthen scientific, societal, taking action to finance the EWS; however, in water flow, coupled with deeper chan- and institutional capacity for climate this is being undertaken within the norma- nels and less absorptive topsoil, results in change adaptation and resilient develop- tive framework of a public funding system reduced water storage capacity and greater ment, as well as disaster risk mitigation that is not prepared to deal quickly with runoff. This ultimately results in a reduc- and management for high-threat glacial these kinds of growing hazards. tion in wetland area. lakes and other climate-related disasters. The importance of alpine wetlands The HiMAP partnership has worked Shrinking wetlands goes beyond water storage and purifica- with local scientists and community Wetlands are widely regarded as natural tion. They provide a critical habitat for members to monitor glacial lakes, model purifiers of water – a role which earns a range of wildlife species and endemic downstream flooding impacts, build a com- them the moniker “Earth’s kidneys”. plants. Rich wetland vegetation is often the munity of practice for information sharing, Wetlands, too, are essential in flood and preferred grazing fodder for cattle in the and develop climate change adaptation drought prevention. In the face of glacier Cordillera Blanca and for cattle and alpaca

As part of the HiMAP project, field workshops allow scientists and local participants to exchange knowledge for reducing the risk of glacial lake outburst

© DANIEL BYERS DANIEL © floods

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in southern Peru. However, livestock graz- high-poverty region who depend on surface Development Programme (UNDP) and the ing can quickly change vegetation cover water for irrigation and personal consump- United Nations Environment Programme and composition, which in turn impacts tion are experiencing declining crop yields (UNEP) in the launching of the Mountain water storage capacity. Overgrazing has and are falling ill. The Mountain Institute Ecosystem based Adaptation (EbA) project been a principal cause of degradation in has sought out low-cost methods for rap- in 2010, funded by the Federal Ministry alpine wetlands. Pollution, drainage ditches idly assessing and improving the quality for the Environment, Nature Conservation, and peat harvesting also constitute signifi- of water from glacially sourced streams. Building and Nuclear Safety of the German cant threats to healthy wetland ecosystems. In partnership with national and inter- Government (BMUB). The project worked In addition, peat in mountain wetlands national research centres, the Mountain with communities in Nor Yauyos Cochas can be metres deep and thousands of Institute is aiding in the development Landscape Reserve to sustainably manage years old. Peatlands provide an anaerobic, of a smartphone application which uses water resources and grassland condition in low-pH environment which prevents macro-invertebrates as indicators of water order to buffer against climate extremes bacteria from breaking down vegetation. quality. App users simply lift a rock from such as drought. The project uses pre-Incan This results in huge stores of carbon which the stream bed, and select from a series of technologies to capture and repurpose remain carbon neutral under permanent pictures which species they see. Because otherwise lost glacier melt and rainwater wetland conditions. However, once dried, certain macro-invertebrates occur only to irrigate drying grasslands. bacteria break down organic material and in conditions of high acidity, and others high altitude wetlands can quickly emit only in drinking-quality water, the com- IMPACTS ON LIVELIHOODS large amounts of atmospheric carbon. position of macro-invertebrates can be Since the early Holocene, people in the Thus, from a climate change mitigation a simple yet powerful tool for water Andes have modified and sustainably perspective, it is extremely important to users. The Mountain Institute has also managed puna landscapes (Young, 2009). maintain the integrity of high altitude promoted participatory action research Ancient livelihoods were based on camelid wetlands. approaches to identify low-cost, appropri- grazing and agriculture of native species Since 2014 the Mountain Institute, in ate bio-remediation technologies to remove sustained through technologies such as partnership with the Huascarán National minerals from water. water reservoirs, silt dams, wetland expan- Park Authority and Michigan Technical sion for alpaca, “irrigation” of upland University, has implemented a wetlands Drying grasslands alpine areas to charge groundwater aqui- restoration initiative funded by the Alpine tundra, or páramo, and montane fers and, in lower areas, terraces, water, US Forest Service, which is restoring high grasslands, or puna, are recognized as terracing, water retention walls, and irriga- altitude wetlands in two glacial valleys having significant roles in carbon cycling tion canals (Herrera, 2015; Lane, 2009). to improve ecosystem functioning and and storage. These grasslands can be as Many of these traditional practices have downstream water regulation. It is hoped productive3 as cloud forests (Oliveras et al., been lost, and today’s land-use practices that the project’s successes will catalyse 2014). The effects of climate change on require outside inputs to sustain livelihood action by the park authority to replicate high altitude grasslands are still unclear; activities. wetland restoration techniques in other however, one study of Andean grasslands Cattle and sheep grazing in Peru began glacial valleys and reverse the trends in shows that several soil properties, includ- with the Spanish colonization in the 16th alpine wetland shrinkage and loss. ing resistance to runoff generation and century. Cattle and sheep have largely erosion, will likely change with future replaced camelids in central and northern Mineral contamination climate warming (Zehetner and Miller, Peru. Cattle grazing dominates even within and acidification 2006). the boundaries of Peru’s national parks and The rapid recession of glaciers is also caus- In the Andes, grassland condition and protected areas, where wild vicuña must ing unexpected alterations in the quality of upper watershed management are critical compete for grazing resources. Cattle and water as mineralized rock is exposed. As factors for sustainable pastoralism liveli- sheep selectively graze and compact soils, the glaciers melt and recede, water flows hoods. The Mountain Institute cooperated which rapidly converts healthy wetlands over newly exposed rock which contains with the International Union for Conserva- and grasslands into degraded and eroded pyrite and other minerals. These minerals tion of Nature (IUCN), the United Nations landscapes. acidify the water. As it flows downstream Introduced eucalyptus species have towards wetlands, lakes and rivers, acidi- 3 Productivity refers to the accumulation of bio- also put undue pressure on Andes eco- fied water erodes more rock, releasing mass in an ecosystem. Net primary productivity systems. These trees were propagated as a is the rate of carbon dioxide taken in by vegeta- more minerals (Michelutti et al., 2015). tion minus the amount of carbon dioxide released fast-growing wood source in valley areas, Hundreds of rural Andean families in this during respiration per unit time. while the native queñual (Polylepis spp.) in

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The communities of Nor Yauyos Cochas participate in the restoration of pre-Incan technologies to improve grassland condition and underground water storage © IRMA RIVERA higher altitude areas was nearly harvested to education; poor health and sanitation people in meaningful discussions of the to extinction for firewood fuel. In the lower services; and risk to climate extremes. ways in which their development goals areas, eucalyptus has replaced other native In a survey of 400 Peruvian house- may be impacted by climate change and tree species growing at equivalent alti- holds in the Cordillera Blanca as part what actions need to be taken in order to tudes. The eucalyptus is water-intensive of the Securing Water and Livelihoods reduce livelihood vulnerability. Gaining and places further demand on dry-season project in partnership with USAID, the this detailed “on-the-ground perspective” groundwater resources. Mountain Institute asked participants to on climate change effects is invaluable for Andean communities and ecosystems identify and characterize various perceived building climate resilience in mountain are known for their resilience to climate risks. Those surveyed attributed reduced geographies, given their great diversity extremes, but land degradation and the water availability to climate change and of cultures and species. With a better shifting climate are pushing these extremes linked decreases in wild flora and fauna understanding of how local jurisdictions beyond their historical variation, jeopard- to pollution, lack of precipitation, frosts are affected by climate impacts, state izing traditional livelihoods and changing and disease. The survey also revealed that agencies can influence how public funds how ecosystems function. Furthermore, people were aware of the role of drought as are invested in better targeted adaptation perceived risk of disaster hinders devel- well as of wind and rain erosion in land- strategies at district, provincial or munici- opment. Without sufficient safeguards in slides, impacting agro-livestock production pal levels. place, people are less likely to invest in systems and ultimately increasing the risk long-term sustainable solutions. A study of malnutrition. The Securing Water and REDUCING RISK AND by Romeo et al. (2015) revealed that, of the Livelihoods project promotes adaptation VULNERABILITY IN MOUNTAINS 800 million people who live in mountains, strategies grounded in local knowledge of Mountain regions in the Andes are 39 percent experience food insecurity. territories and the improvement of local complex social and ecological systems Chronic hunger and malnutrition have institutional and policy systems. The shaped by steep slopes and harsh climate increased in mountain populations by foundations of this community-based extremes and are vulnerable to erosion and 30 percent since 2000. This trend will approach include increasing the capacities changes in temperature and hydrology. likely continue unless development and of Peruvian extension agencies to identify Successful strategies that respond to cli- environment efforts are made to reduce local community goals for development, mate change and other stressors must rely widespread poverty; political, social and recovering communities’ deep knowledge on local knowledge and the perspectives economic marginalization; limited access of their climate and lands, and engaging of mountain peoples. They must promote

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direct representation of local interests in for the 21st century. A Contribution to global different levels of government, foster infor- freshwater management. Berne, Switzerland, mation systems that capture detailed local Mt. Agenda, Department of Geography, knowledge of territories, and enact better References University of Berne. targeted and more effective interventions Michelutti, N., Wolfe, A.P., Cooke, C.A., through cooperation between government Baraer, M., Mark, B.G., McKenzie, J.M., Hobbs, W.O., Vuille, M. & Smol, J.P. 2015. at national and local levels. Condom, T., Bury, J., Huh, K.I., Gómez, J. Climate change forces new ecological states Adaptation responses, such as early & Rathay, S. 2012. Glaciers recession and in tropical Andean lakes. PloS one, 10(12): warning systems or engineering interven- water resources in Peru’s Cordillera Blanca. 1–10. tions, to GLOFs and other threats should Journal of Glaciology, 58(207). Millennium Ecosystem Assessment. 2005. be integrated with management objectives Brodnig, G. & Prasad, V. 2010. A view Chapter 7: Fresh water (available at http:// for other water uses, such as irrigation for from the top: vulnerability in mountain www.millenniumassessment.org/documents/ agriculture, household use and energy systems. Social Development Notes No. 128. document.276.aspx.pdf). production. Understanding the historical Washington, DC, World Bank (available at Myers, N. 1988. Threatened biotas: “Hot spots” and present role that high altitude grass- http://www.preventionweb.net/files/15567_ in tropical forests. The Environmentalist, lands and pastoralism play in the regulation vulnerabilitymountainsystemsjune201.pdf). 8(3): 187–208. of water for lowlands takes on a critical Brown, P. 2013. Andes’ tropical glaciers Nyman, N.I., Rossing, T. & Abidoye, B. importance given the context of glacier going fast, may soon be gone. Climate 2015. Making the case for ecosystem-based recession. Restoration of pre-Hispanic News Network (available at http://www. adaptation: the Global Mountain EbA technologies adapted to contemporary climatecentral.org/news/andes-tropical- Programme in Nepal, Peru and Uganda. socio-demographic conditions has been glaciers-are-going-fast-may-soon-be- New York, UNDP. shown to be an effective response to the gone-15844). Oliveras, I., Girardin, C., Doughty, C.E., loss of glaciers, as demonstrated by the Byers, A. & Recharte, J. 2015 (14 April). Cahuana, N., Arenas, C.E., Oliver, V., Mountain EbA Flagship Programme As glacial floods threaten mountain Huasco W.H. & Malhi, Y. 2014. Andean (Nyman, Rossing and Abidoye, 2015). communities, a global exchange is fostering grasslands are as productive as tropical cloud The restoration of wetland sites in Peru adaptation. New Security Beat (available forests. Environmental Research Letters, is a promising example of how conserva- at https://www.newsecuritybeat.org/2015/ 9(11): 115011. tion of “green infrastructure” by mountain 04/glacial-floods-threaten-mountain- Romeo, R., Vita, A., Testolin, R. & Hofer, T. community empowerment and improved communities-global-exchange-fostering- 2015. Mapping the vulnerability of mountain local livelihoods. The Government of Peru adaptation/). peoples to food insecurity. Rome, FAO has recently produced legislation and pro- Herrera, A. 2015. Tecnologías ancestrales y (available at: http://www.fao.org/3/a-i5175e. visions, such as the “Ley de Mecanismos gestión del agua en cabeceras de cuencas pdf). de Retribuciones por Servicios” (law on altoandinas: de la investigación arque- Squeo, F.A., Warner, B.G., Aravena, R. & compensation mechanisms for ecosystem ológica a estrategias de adaptación en la Espinoza, D. 2006. Bofedales: high altitude services) and guidelines to facilitate public Cordillera Negra y la Cordillera Blanca. peatlands of the central Andes. Revista investment in restoration and conservation Arequipa, Seminario Permanente de Investi- chilena de historia natural, 79(2): 245– of ecosystems that provide water and soil gación Agraria (SEPIA XVI), 25–27 August, 255. erosion control services. These mecha- 2015. Young, K.R. 2009. Andean land use and nisms create opportunities to economically La República. 2010 (13 April). State of biodiversity: humanized landscapes in a time compensate mountain populations or juris- emergency declared in parts of Ancash of change. Annals of the Missouri Botanical dictions that improve management, and after ice block breaks from glacier (available Garden, 96(3): 492–507. restore and secure the services provided at: http://www.peruviantimes.com/13/ Zehetner, F. & Miller, W.P. 2006. Soil by their ecosystems. state-of-emergency-declared-in-parts- variations along a climatic gradient in an Future adaptation strategies must con- of-ancash-after-ice-block-breaks-from- Andean agro-ecosystem. Geoderma, 137(1): tinue to give voice to mountain peoples glacier/5719/135719/). 126–134. u so that both highland and lowland com- Lane, K. 2009. Engineered highlands: the munities may benefit from local knowledge social organization of water in the ancient and perspectives for securing mountain north-central Andes (AD 1000–1480). World resources. u Archaeology, 41(1): 169–190. Liniger, H.P., Weingartner, R. & Grosjean M. 1998. Mountains of the world: water towers

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FAO FORESTRY

International Day of Forests 2016 – Committee on Forestry 2016 Forests and Water The 23rd Session of the Committee on Forestry (COFO) was held Celebrated on 21 March, the International Day of Forests highlights at FAO headquarters in Rome, Italy, from 18 to 22 July 2016, as the a different theme each year. In 2016, FAO engaged with its forestry main event of the 5th World Forest Week. The session was attended constituencies to promote the forests and water theme throughout by delegates from 125 countries and one Member Organization, and the world, and celebrated the day at its headquarters in Rome, Italy, representatives of 15 United Nations agencies and programmes. with a high-level event. Speakers from FAO included Director-General Observers from 19 intergovernmental organizations and international José Graziano da Silva and René Castro, Assistant Director-General, non-governmental organizations also attended. Forestry Department. Guest speakers included Abdeladim Lhafi, The session highlighted the need for a more coherent and integrated High Commissioner for Water, Forests and Desertification Control, approach to the sustainability of agriculture, forestry and fisheries in Kingdom of Morocco; and Ivan Valentik, Deputy Minister for Natural the context of the SDGs. It discussed five interconnected principles, Resources and Environment and Head of the Federal Forestry which also featured in discussions at the meetings of the Committee Agency, Russian Federation. on Agriculture (COAG) and the Committee on Fisheries (COFI): At the event, FAO announced its new programme on forests and i) conserve, protect and enhance natural resources; ii) enhance the water, and has followed up with a survey on the forest–water nexus efficiency of resource use; iii) improve and protect livelihoods and which closed in July. The survey takes stock of the many variables, human well-being; iv) enhance the resilience of people, communities indicators and methods associated with measuring forest–water and ecosystems; and v) promote and improve effective governance. interactions, and was designed to engage researchers, technicians The Committee highlighted the importance of monitoring progress and practitioners involved in measuring and monitoring water quantity towards sustainable forest management and the achievement of the and quality in forest–water relationships, as well as socioeconomic and management considerations. Árbol del Amor, Brazil. Two trees have become Read more about FAO’s Forests and Water programme here: http:// inseparably intertwined in the face of strong winds www.fao.org/in-action/forest-and-water-programme/en/ and seas. Photo shortlisted for the Committee on Forestry “Champion trees” photo competition © SERGIO PALADINO © SERGIO

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Marked logs, Indonesia © FAO FLEGT© FAO

SDGs, and discussed in detail FAO’s draft Climate Change Strategy. First Forest Law Enforcement, Governance and It also reviewed the follow-up to the Second International Conference Trade (FLEGT) timber license to combat illegal on Nutrition (ICN2) and highlighted the potential for forests to play a logging stronger role in ensuring food security and nutrition. On 15 September 2016, FAO announced the landmark agreement Read more about the Committee on Forestry and World Forest between Indonesia and the European Union to issue a license that Week here: http://www.fao.org/about/meetings/cofo/en/ will ensure that only legal timber from Indonesia is allowed access to the EU market. World Food Day and Committee on Food Security As of 15 November, the FLEGT license can accompany shipments The Director-General of FAO was joined by the Prime Minister of Italy of timber exported from Indonesia to EU member states to certify that Matteo Renzi, HRH Princess Lalla Hasnaa of Morocco, and Macharia the timber has been harvested, transported, processed and traded Kamau, United Nations Special Envoy on El Niño and Climate for according to Indonesian law. The licensing scheme is part of the EU's the official World Food Day ceremony at FAO Headquarters on FLEGT Action Plan, adopted in 2003 to promote concrete measures 14 October. to stem the illegal timber trade and contribute to sustainable forest This year was marked by a strong focus on climate change and management, now one of the 2030 Sustainable Development Goals. the Sustainable Development Goals, which also set the tone for the FAO is working with the EU, its member states and other interna- week-long Committee on World Food Security (CFS) which took tional and local partners to help tropical timber-producing countries place at FAO from 17 to 21 October. The opening plenary, the 43rd, make legally binding trade agreements with the EU. These agree- set a record with more than 1 400 registered participants. ments, known as Voluntary Partnership Agreements (VPAs), establish The Committee on World Food Security (CFS) is the foremost mechanisms to demonstrate the legality of timber produced in the inclusive international and intergovernmental platform for food secu- country. rity and nutrition for all. The Committee reports to the UN General The cornerstone of the VPA is a timber legality assurance system Assembly through the Economic and Social Council (ECOSOC) that defines legal timber and how it should be verified. Once fully and to the FAO Conference. Using a multi-stakeholder, inclusive operational, FLEGT licensing can begin for consignments of timber approach, CFS develops and endorses policy recommendations exported to Europe. The system is audited on a regular basis to and guidance on a wide range of food security and nutrition topics. guarantee its credibility. Read more about CFS: http://www.fao.org/cfs/en/ In Indonesia, FAO continues to support the process by providing financial and technical assistance for projects to strengthen the development and implementation of the national timber legality assurance system. This includes supporting the certification of com- munity forests in East Kalimantan, and promoting group certification of furniture makers in Java and Bali.

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WORLD OF FORESTRY

Asia-Pacific Rainforest Summit Meeting of the Convention on International Trade Rainforests in the Asia-Pacific represent 26 percent of the region’s in Endangered Species of Wild Fauna and Flora land area, and support the livelihoods of around 450 million people. The 17th meeting of the Conference of the Parties (COP 17) to the The 2016 Asia-Pacific Rainforest Summit, held from 3 to 5 August Convention on International Trade in Endangered Species of Wild in Bandar Seri Begawan, Brunei Darussalam, brought together key Fauna and Flora (CITES) convened in Johannesburg, South Africa actors from government, business, civil society and the research from 24 September to 4 October 2016. COP 17 was the largest CITES community. Its aim was to catalyze practical action on reducing meeting to date, with more than 3 500 participants representing emissions from deforestation and forest degradation, and contribute 152 governments, international organizations, non-governmental towards sustainable development in the region. organizations and media. Delegates considered 90 agenda items The meeting promoted sustainable management of forests and and 62 species-listing proposals submitted by 64 countries. landscapes as key elements to meet global commitments made under In addition to resolutions and decisions regarding wildlife trafficking, the Paris Agreement and United Nations Sustainable Development demand reduction strategies to combat illegal trade in CITES-listed Goals, as well as regional commitments made at the inaugural Asia- species, and international trade provisions regarding products Pacific Rainforest Summit held in Sydney in 2014. generated from hunting, there was a strong focus on ensuring the The 2016 Asia-Pacific Rainforest Summit was hosted by the sustainable and legal trade of such as rosewood, palisander Government of Brunei Darussalam and supported by the Australian and ebonies. Government. Read more here: https://cites.org/cop17 Read more here: http://www.cifor.org/asia-pacific-rainforest-summit/ Fishing in the lake using a traditional net, West Java, Indonesia © CIFOR/R. MARTIN

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Habitat website Habitat III Habitat is the United Nations Conference on Housing and Sustainable Urban Development. Habitat III took place in Quito, Ecuador, from 17 to 20 October 2016. It engaged dialogue on important urban chal- lenges such as how to plan and manage cities, towns and villages for sustainable development. A key theme concerned Nature in Cities: Quality of Life and Urban Ecosystem-based Adaptation. This session focused on the value of nature for urban quality of life and the concept of urban ecosystem- based adaptation (EbA). Rapid and expansive urbanization, coupled with limited urban planning, has led to the degradation of ecosystems which provide critical resources and services to citizens (such as green infrastructure and protected areas, wetlands and rivers, and forests). This has threatened the lives and livelihoods of those in urban communities, and increased their vulnerability to non-communicable diseases, natural disasters, and climate change. Through a discussion with experts, the session explored the role of nature for cities, and cost-effective ways to reduce climate change vulnerability in urban and peri-urban settings while providing co-benefits to these com- munities and the environment through the protection, maintenance, and rehabilitation of the ecosystem. Read more here: https://habitat3.org/

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BOOKS

Transforming agriculture to tackle climate change Understanding the forest–agriculture equation

The State of Food and Agriculture 2016 – Climate change, agriculture and food State of the World’s Forests 2016 – Forests and agriculture: land-use challenges and security. 2016. Rome, FAO. ISBN 978-92-5-109374-0. opportunities. 2016. Rome, FAO. ISBN 978-92-5-109208-8. Climate change has alarming implications for the availability, access Forests and trees support sustainable agriculture. They stabilize soils and use of food, particularly in countries and regions that are highly and climate, regulate water flows, give shade and shelter, and provide food-insecure. a habitat for pollinators and the natural predators of agricultural pests. Sustainably transforming agriculture and food systems to mitigate They also contribute to the food security of hundreds of millions of or adapt to climate change will come at a cost and involve trade-offs. people, for whom they are important sources of food, energy and However, governments, farmers and food producers have a range income. Yet agriculture remains the major driver of deforestation of options to build resilience against the impacts of a changing globally, and agricultural, forestry and land policies are often at odds. global climate. State of the World’s Forests 2016 shows that it is possible to The 2016 edition of The State of Food and Agriculture considers increase agricultural productivity and food security while halting or the current and future impacts of climate change on agriculture even reversing deforestation, highlighting the successful efforts of and food security, making it clear that tough choices will have to be Chile, Costa Rica, the Gambia, Georgia, Ghana, Tunisia and Viet made in order to adapt to climate change and contribute to limiting Nam. Integrated land-use planning is the key to balancing land greenhouse gas emissions. Forestry, like other agriculture sectors, uses, underpinned by the right policy instruments to promote both will have a strategic role to play. sustainable forests and agriculture. From forest regeneration to climate-smart agricultural practices, Available online: http://www.fao.org/publications/sofo/2016/en/ agroecology and better management of water resources, the report indicates viable paths that can contribute to the resilience of farm- ing systems, reverse the widespread degradation of agriculture’s resource base and reduce the intensity of greenhouse gas emissions that cause climate change. The report also provides insights into lowering the barriers to adoption of appropriate response measures, explaining how inac- tion or delay could put future food security at risk worldwide, making it increasingly difficult for poorer countries to fight poverty and hunger. Available online: http://www.fao.org/publications/sofa/2016/en/

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A landmark study on gender Overcoming the financial obstacles to forest and

Gender and forests – Climate change, tenure, value chains and emerging issues. landscape restoration 2016. C.J. Pierce Colfer, B.S. Basnett & M. Elias. New York, Routledge. Sustainable financing for forest and landscape restoration. Opportunities, challenges ISBN 978-1138955042. and the way forward. FAO & Global Mechanism of the UNCCD. 2015. Rome. Despite pressure on institutions and policymakers to improve ISBN 978-92-5-108992-7. their work on gender, and ’ eagerness to enhance gender The degradation of land and forest resources threatens the livelihoods aspects in their work, there has been no edited collection of analyses of the millions of people who depend on them. Every year, some focusing on gender and forestry until now. This book aims to fill the 12 million ha of land are degraded while 7.6 million ha of forest are gap. Its findings highlight women’s potential contribution to, and converted to other uses or lost through natural causes. Forest and more equitable sharing of, benefits from forests in the future and landscape restoration (FLR) aims to reverse the degradation and demonstrate the substantial advantages that gender mainstreaming upscale the sustainable management of natural resources. brings for women, men and forests. The global community has shown strong commitment to FLR by Building on methodologies and studies developed over the past embracing ambitious targets: the Bonn Challenge calls for restoring 20 years, Gender and forests addresses 21st-century challenges with at least 150 million ha of degraded land by 2020; Aichi Target 15 of a bearing on gender and forests, such as climate change and tenure. the Convention on Biological Diversity (CBD) aims at the restoration It presents local case studies and comparative studies from around of at least 15 percent of degraded ecosystems by 2020; the New York the world, as well as a “how to” list for successful implementation. Declaration on Forests targets the restoration of 350 million ha by Examples range from Swedish approaches to gender and climate 2030; and Target 15.3 of the Sustainable Development Goals aims change policies from a cultural perspective, to an examination of to achieve land degradation neutrality by 2030. women’s participation, leadership and decision-making power in However, there are continued difficulties in mobilizing and allocat- forest management committees in Cameroon. ing adequate financial resources for large-scale FLR activities. FLR Forty authors from various disciplinary backgrounds, including the stakeholders will therefore appreciate this overview of the financial social sciences, natural sciences, animal and human nutrition, and architecture related to FLR, which covers existing funding sources American Indian and women’s studies, contributed to the publication. and financial instruments that could be used or adapted specifi- cally, explores innovative financing mechanisms, and identifies the enabling conditions needed for sound FLR investments. Available online: http://www.fao.org/3/a-i5174e.pdf

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Hunger, malnutrition and poverty in mountain areas Including wood in climate strategies

Mapping the vulnerability of mountain peoples to food insecurity. 2015. Rome, FAO. Forestry for a low-carbon future: Integrating forests and wood products in climate ISBN 978-92-5-108993-4. change strategies. FAO Forestry Paper no. 177. 2016. Rome, FAO. For millions of people living in mountainous areas, hunger and the ISBN 978-92-5-109312-2. threat of hunger are nothing new. Harsh climates and the difficult, Forests and forest products offer both developed and developing often inaccessible terrain, combined with political and social margin- countries a wide range of options for timely and cost-effective ality make mountain peoples vulnerable to food shortages. One in climate change mitigation. Afforestation/reforestation offers the best three mountain people in developing countries is facing hunger and option because of its short timescale and ease of implementation. malnutrition. Forest restoration and the reduction of deforestation also offer good This study presents an updated geographic and demographic mitigation potential. picture of the world’s mountain areas and assesses the vulnerability Yet forest products also have a role to play. Wood products and to food insecurity of mountain dwellers in developing countries, wood energy can replace fossil-intense products in other sectors, based on a specially designed model. It includes an alternative and creating a virtuous cycle towards low-carbon economies. The complementary approach to assessing hunger through the analysis mitigation potential and costs of the various options differ greatly by of household surveys. activity, region, system boundaries and time horizon. Policymakers The results show that the living conditions of mountain dwellers must decide on the optimal mix of options, adapted to local circum- have continued to deteriorate in the last decade. Global progress stances, for meeting national climate change and development goals. and improvements in living standards do not appear to have made This publication assesses the options and highlights the enabling their way up the mountains. This publication gives voice to the plight conditions, opportunities and potential bottlenecks to be considered of mountain people and sends a message to policymakers on the in making the right choices. Aimed at policymakers, investors and importance of including mountain development in their agendas. all those committed to the transition to low-carbon economies, it will Specific measures and investments are needed to break the cycle support countries in using forests and wood products effectively in of poverty and hunger of mountain communities and slow the their climate strategies. outmigration from these areas. Available online: http://www.fao.org/publications/card/en/c/45619 Available online: http://www.fao.org/3/a-i5175e.pdf 457-bbf1-4fda-964b-d24dcdefbadf/

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Making National Forest Funds work New guidelines on ecological forest management

Towards effective national forest funds. FAO Forestry Paper no. 174. R. Matta. 2015. Ecological Forest Management Handbook. G.R. Larocque, ed. 2015. London, Rome, FAO. ISBN 978-92-5-108706-0. CRC Press. ISBN 9781482247855. Forests play a crucial role in addressing climate change, food security Forests are valued not only for their economic potential, but also for a n d p o v e r t y a l l e v i a t i o n . Ye t fi n a n c i n g s u s t a i n a b l e f o r e s t m a n a g e m ent the biodiversity they contain, the ecological services they provide remains a challenge. It entails more than simply raising money for and the recreational, cultural and spiritual opportunities they offer. responsibly managed investment, requiring a more diverse financial This handbook provides a comprehensive summary of interrelated basis as well. topics in the field, including management concepts, forest models This publication addresses the catalytic role of National Forest and ecological indicators. Funds (NFFs) in channelling investment. Based on a review of Featuring contributions from experts on the three main forest practical experiences, it outlines the general architecture and design types – boreal, temperate and tropical – the book provides in-depth elements of NFFs, as well as potential approaches and actions coverage of important issues in ecological forest management and that could improve their performance. Its overall aim is to support includes case studies addressing ecological and socioeconomic countries in designing and operating NFFs effectively according to issues. It illustrates how ecological forest management is a complex their specific needs and circumstances. process that requires broad ecological knowledge while giving Available online: http://www.fao.org/3/a-i4359e.pdf readers a deeper understanding of basic principles and applications.

Unasylva 246, Vol. 67, 2016/1 Learning tool on Nationally Appropriate Mitigation Actions (NAMAs) in the agriculture, forestry and other land use (AFOLU) sector

Provides guidance in identifying, Comprehensive modules for prioritizing and monitoring independent studying mitigation actions Easy-to-use slide format • Introduces available sources of data and funds For more information: • Showcases databases and tools for http://www.fao.org/3/a-i4642e.pdf greenhouse gas estimation • Reviews pathways for NAMA identification (i.e. fast track and in-depth analyses) • Guides prioritization of different greenhouse gas emission reduction options • Presents ways of overcoming barriers [email protected] www.fao.org/forestry/unasylva I6419EN/1/11.16