XIV WORLD FORESTRY CONGRESS Sustainable Forest Target Users Management Toolbox DAS © FAO/SUDIPTO

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247/248ISSN 0041-6436

An international journal of forestry and forest industries Vol. 67 2016/2-3

XIV WORLD FORESTRY CONGRESS Sustainable Forest Target Users Management Toolbox DAS © FAO/SUDIPTO

The Sustainable Forest Management (SFM) Toolbox is a free, user-friendly, interactive web-based platform designed to meet the diverse needs of SFM practitioners, particularly those working at the forest management level − Forest managers – private and public sector − Practitioners − Land-use planners − Civil-society and non-governmental organizations − Private-sector entities and associations

The SFM toolbox provides

Access to practical Support and guidance to Connections between a diverse SFM-related knowledge forest managers on the integrated set of SFM-related topics to facilitate and tools implementation of SFM an integrated landscape approach Structure THEMATIC AREAS Technical modules cur organize tools and case se ity od studies by thematic area o f cono nance n e my er ee v r o g $ g Quick-starts make searching easier by grouping multiple dscapeS ihoods modules by areas of an el application of SFM l iv Module l forest TOOLS & cases and ... pe s o t p

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Guidelines Videos Software e-learning Case studies d a o n

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Tools and cases bring together a wide range of guidelines, manuals, videos, software, e-learning products and case studies produced by FAO and its The SFM Toolbox provides guidance, practical partners in the Collaborative Partnership on Forests, as knowledge and resources on an array of well as by other organizations and by member countries SFM-related topics

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An international journal of forestry and forest industries Vol. 67 2016/2-3

Editors: A. Sarre and 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, T. Vähänen and M. Buszko-Briggs C. Palmberg-Lerche, L. Russo The outcomes of the XIV World Forestry Congress 3 Regional Advisers: F. Bojang, P. Durst, A.A. Hamid, J. Meza H. El-Lakany The High-level Dialogue at the XIV World Forestry Congress 7 Unasylva is published in English, French and Spanish. Subscriptions can be obtained B. Tijani by sending an e-mail to [email protected]. Toward the implementation of the 2050 Vision for Forests and Subscription requests from institutions Forestry in Africa 10 (e.g. libraries, companies, organizations, universities) rather than individuals are E. Douwes, M. Rouget, N. Diederichs, S. O’Donoghue, K. Roy preferred in order to make the journal and D. Roberts accessible to more readers. The Buffelsdraai Landfill Site Community Reforestation Project 12 All issues of Unasylva are available online free of charge at www.fao.org/forestry/ V. Ingram, M. Haverhals, S. Petersen, M. Elias and B. Basnett unasylva. Comments and queries are welcome: Gender and forest, tree and agroforestry value chains: [email protected]. evidence from the literature 20 FAO encourages the use, reproduction and dissemination of material in this information H. Doulton, M. Mohamed, G. Shepherd, S. Mohamed, B. Ali product. Except where otherwise indicated, and N. Maddison material may be copied, downloaded and Addressing forest degradation in a Small Island Developing State: printed for private study, research and teaching a landscape approach in Comoros 30 purposes, or for use in non-commercial products or services, provided that appropriate J. Fava, G. Arbeletche, D. Barbosa, S. Habib, L. Wlasiuk, acknowledgement of FAO as the source and J.P. Moro, D. Polotto and C. Résico copyright holder is given and that FAO’s endorsement of users’ views, products or Using gums from Argentinian native forest species in services is not implied in any way. the food industry 39 The designations employed and the presentation of material in this information S. Kane, D. Gritten, L.M. Sapkota, Linh Thi Bui and A. Dhiaulhaq product do not imply the expression of any Getting the positives out of forest landscape conflicts 45 opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations R. Fischer, Y. Hargita and S. Günter (FAO) concerning the legal or development Groundbreaking news? Analytical insights and lessons learned status of any country, territory, city or area or from a review of multinational REDD+ studies 52 of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of L.N. Silva specific companies or products of manufacturers, New generation plantations: towards sustainable intensification 62 whether or not these have been patented, does not imply that these have been endorsed or G. Kain, M.C. Barbu and A. Petutschnigg recommended by FAO in preference to others Insulation material made from tree bark 67 of a similar nature that are not mentioned. The FAO publications reviewed in Unasylva Special events at the XIV World Forestry Congress 76 are available on the FAO website (www.fao.org/ “Forests and people” photo contest 80 publications) and can be purchased through [email protected]. Treehousing wood design competition 84 FAO Forestry 88 Cover: Tree-preneur Nikiwe Gcabashe inspects World of Forestry 91 a seedling of Trichilia dregeana in a nursery before outplanting as part of the Buffelsdraai Books 92 Landfill Site Community Reforestation Project, Durban, South Africa © Errol Douwes EDITORIAL

he content of this edition of Unasylva is drawn from the Petersen, Elias and Basnett report on the nature of gender differ- XIV World Forestry Congress, which was convened in ences in forest, tree and agroforestry value chains, as revealed by September 2015, just before the momentous adoption of a comprehensive literature review. Doulton, Mohamed, Shepherd, Tthe Sustainable Development Goals by the United Nations and Mohamed, Ali and Maddison describe a project to improve the the striking of the Paris Agreement on climate change. sustainability of natural resource management in Comoros, an The World Forestry Congress is the main global forum for all archipelago off the east coast of Africa. One of the keys to suc- those concerned with forests and forestry. It takes place every cess, they say, is to ensure that interventions generate immediate six years, and it offers an opportunity for forest stakeholders local benefits while building an evidence base for longer-term globally to exchange views, share experiences and discuss the conservation. The article by Fava, Arbeletche, Barbosa, Habib, past, present and future of forests and their conservation and Wlasiuk, Moro, Polotto and Résico reports that the gums of four sustainable use. The XIV World Forestry Congress, held for Argentinian tree species could be used commercially as food the first time in Africa, covered a great deal of ground, showing additives; the harvesting of such gums, say the authors, would both the complexity of forest issues and the enormous potential generate reliable employment in local communities and thereby of forests to contribute to the Sustainable Development Goals help reduce deforestation pressure. and the mitigation of climate change. Kane, Gritten, Sapkota, Linh Thi Bui and Dhiaulhaq report on Opening the edition, Vähänen and Buszko-Briggs give a gen- a study in six communities in Southeast Asia, the main finding eral overview of the Congress. They provide basic data on the of which is that mediation can play a crucial role in transforming Congress and canvass its main outcomes; the latter include a forest conflicts, largely by building trust between conflicting statement on the strong connections between the Sustainable parties. The authors recommend mainstream mediation as a Development Goals and forests, a message to the climate-change way of better addressing forest landscape conflicts. In their conference in Paris, a “vision” for forests and forestry to 2050 review of multinational analyses of REDD+ projects, Fischer, and beyond, and a list of priority actions that should be taken Hargita and Günter express surprise that many key issues are to achieve the vision. largely unaddressed in the literature – especially reference levels, El-Lakany describes the High-level Dialogue held during the leakage and permanence. Silva introduces the concept of “new Congress, which featured 14 ministers and several other senior generation plantations”, in which planted-forest projects adopt officials representing governments and other international entities. local economic development as a central theme, aim to maintain The key point to emerge from the Dialogue was that much more ecosystem integrity and protect high-conservation-value areas, investment is required if forests are to realize their full potential and are profitable. Finally, Kain, Barbu and Petutschnigg present to contribute to sustainable development and the management the results of experiments investigating the use of bark – a high- of climate change. volume by-product of industrial wood production – as insulation Tijani reports on the Congress’s Africa Day, in which the African in buildings, and conclude that it has considerable potential. Union Commission and partners debated the role of sustainable In their overview article, Vähänen and Buszko-Briggs conclude forest management in addressing climate change and, among that, by bringing together forest stakeholders worldwide, strength- other things, called for more investment in African forests. ening commitment, creating a common vision, and setting out Brief articles at the back of this edition summarize other special priority actions, the XIV World Forestry Congress provided the events held during the Congress – the International Forests and forest sector with an opportunity. “If we take advantage of this Water Dialogue and forums on wood energy, youth, and wildlife. opportunity by working collaboratively and investing in forest Other articles are based on papers presented at the Congress. communities and forest knowledge,” they say, “forests will make In covering broad territory, they show the immense innovation a strong comeback.” This would be welcome news to all those that is already occurring in forestry, especially in approaches striving to achieve the Sustainable Development Goals and limit that encourage the involvement of local communities in forest climate change. u management and the equitable sharing of benefits, but also in product innovation. Douwes, Rouget, Diederichs, O’Donoghue, Roy and Roberts describe a reforestation project in Durban, South Africa, that is being implemented by a local government in partnership with communities and organizations. Originally established as an initiative to offset greenhouse gas emissions associated with the hosting of the football world cup in 2010, the project is providing important co-benefits, including climate-change adaptation, poverty alleviation and ecosystem restoration. Ingram, Haverhals, 3 © BENNY GOOL/ORYX MEDIA The outcomes of the XIV World Forestry Congress

T. Vähänen and M. Buszko-Briggs

The Congress helped generate he XIV World Forestry Congress The World Forestry Congress is the momentum for the crucial role was convened in September 2015, main global forum for all those concerned of forests in addressing global in the weeks and months before two with forests and forestry. Governmental challenges. Thistorically significant events: a meeting of officials, scientists and professionals in the United Nations General Assembly to forestry and other sectors, forest owners, adopt the Sustainable Development Goals companies, students, forest indigenous (SDGs), and the 21st Conference of the peoples, family foresters and local com- Parties (COP21) to the United Nations munities, among others, meet to exchange Framework Convention on Climate views, share experiences, discuss all Change (UNFCCC), the aim of which was aspects of forestry, and ultimately make Tiina Vähänen is Deputy Director, Forest to set a course by which the world hopes recommendations and calls for action Policy and Resources Division, FAO, and Associate Secretary-General of the to avert the most severe impacts of climate that are applicable regionally or globally. XIV World Forestry Congress. change. The leadership of the XIV World Malgorzata Buszko-Briggs is Programme Forestry Congress was clear in its ambition Officer at the UN-REDD Programme, and Above: Participants in she was team coordinator for the XIV World to provide meaningful inputs to those two the XIV World Forestry Forestry Congress. looming events. Congress, Durban

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The World Forestry Congress also has Durban in September 2015, helped propel gender equality, good governance, and the wider purpose of providing the for- forests to centre stage in major global pro- secure land tenure (see article on page 7). est sector with a periodic opportunity cesses. This article provides an overview The XIV World Forestry Congress heard (generally every six years) to take stock of its outcomes. good news: after decades of political inat- of the state of forests and forestry, discern tention and global forest loss, forests are trends, adapt policies and create awareness OUTCOMES OF THE XIV WORLD coming back, with their role in and links to among decision-makers, the public and all FORESTRY CONGRESS food security and other forms of land use stakeholders. It is not an intergovernmental About 3 900 people from 142 countries recognized more strongly than ever. FAO’s meeting and has no formal constituencies attended the XIV World Forestry Congress, 2015 Global Forest Resources Assessment, or country delegations. including nearly 2 400 people from Africa launched at the Congress, reported that FAO’s involvement in World Forestry (of whom 1 400 were from South Africa), as the rate of net natural forest loss is declin- Congresses dates to 1945, when the well as more than 350 young professionals ing and the area under sustainable forest Organization took over the functions of and students. Some 800 voluntary papers management is increasing. Debate and the International Institute of Agriculture, were submitted, of which about 200 were knowledge-sharing at the Congress on which had organized World Forestry presented at the Congress, together with innovations in forest monitoring and Congresses in Rome in 1926 and Budapest 250 posters and 40 videos. The Congress wood technology, efforts to improve for- in 1936. Since then, FAO has selected the featured five plenary sessions, six thematic est governance, building resilience, and host country for, and has co-sponsored and dialogues spanning three days, six spe- recognition of the rights and potential of assisted in the organization of, 12 more cial events and 180 side-events. There was local forest producers added to a sense of World Forestry Congresses. The most also a high-level dialogue involving nearly imminent regrowth in the forest sector. recent of these, the XIV World Forestry 20 ministers and high-level officials, who, Congress, which was hosted by the among other things, called for effective Government of South Africa and held in stakeholder and civil-society engagement, Young people had a strong presence at the XIV World Forestry Congress © FAO/GIUSEPPE CAROTENUTO © FAO/GIUSEPPE

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In a “Tree Talk” at the XIV World Forestry Congress, Sekar Ayu Woro Yunita of the International Forestry Students’ Association spoke about her involvement in “Youth in Forest Actions”, a programme in Indonesia created by young people, for young people © FAO/GUISEPPE CAROTENUTO © FAO/GUISEPPE

Sustainable Development Goals The XIV World Forestry Congress committing to and creating momentum Such regrowth would have benefits at a spelled out the strong connections between towards the achievement of common goals. planetary scale. The adoption of the SDGs the SDGs and forests and made the follow- by the UN General Assembly in New York ing statement of intent: Local and regional benefits in October 2015 was an extraordinary World Forestry Congresses have global global achievement with huge implications “Forestry leaders and practitioners reach, but they can also have important for forests. The need to sustainably manage around the world are prepared to local effects in their host countries and forests is clearly stated in SDG 15 and in step up their efforts to manage forests regions. Hosting the XIV World Forestry the SDG 6 target on protecting and restor- sustainably ... FAO and other relevant Congress in Durban gave forest stakehold- ing water-related ecosystems. Moreover, international organizations stand ready ers in South Africa an opportunity to raise because of their multifunctionality, forests to support strengthening the contribu- the visibility of forests, stimulate policy have roles to play in achieving many other tions of forests to the SDGs.” debate and engage young people in discus- SDGs, notably those related to ending pov- sions on the future of the country’s forests. erty, achieving food security, promoting This sort of public rallying call shows The XIV World Forestry Congress also sustainable agriculture, ensuring access to the value of World Forestry Congresses stimulated regional-scale talks: the “Africa sustainable energy for all, and combating as forums for sharing information and Day” special event provided a platform for climate change. knowledge, debating forest issues, and governments, policy-makers, experts, the

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private sector and practitioners to come We have work to do if this vision is to Forestry Congress will be finalized by the together to share and debate ideas and become a reality. In its fourth output, the end of 2016. By 2021, when that Congress exchange information in a bid to strengthen Congress set out a number of priority is convened, we must be well on the way common resolve and create partnerships actions that should be taken to achieve the to unleashing the potential of forests for for smart investments in African forests vision. We need more investment in forest achieving the SDGs and combating climate (see article on page 10). education, communication and research, as change. well as greater incentives for young people The XIV World Forestry Congress Message to climate-change conference to choose forestry as a career. We need new outcomes are available at: www.fao.org/ The XIV World Forestry Congress pro- intersectoral partnerships, strong engage- about/meetings/world-forestry-congress/ duced four outcome documents, one of ment with forest-dependent indigenous outcome u which was the above-mentioned statement peoples and local communities, and a on the SDGs. Another was a message to focus on product innovation and the greater COP21 of the UNFCCC, warning that inclusion of forest product value chains “climate change poses a serious threat to in the concept of a bioeconomy. Gender the planet and to forests and forest depend- equality in forestry is also fundamental ent people” but also recognizing that – it is essential that women participate climate change presents an opportunity to equally with men in decision-making on improve forest governance. Among other forests. And we need to make sure that things, the message recommended action planted forests generate as many of the to increase understanding of climate multifunctional benefits of natural forests change among governments and other as possible. stakeholders and to promote partnerships and South–South exchanges on adaptation SUSTAINABILITY REQUIRES and mitigation actions. Many, including AN INTEGRATED APPROACH FAO, hailed the Paris Agreement, made at Broad consensus exists that while we COP21, as a game-changer; among other need to strengthen the sustainability of things, it formally recognized the impor- forestry, we also need to look beyond tant role that forests have in addressing sectoral boundaries and address sustain- climate change. able land use in a way that harnesses the driving forces behind global development. Vision on the future of forests An integrated approach is required based The XIV World Forestry Congress articu- on the meaningful engagement of stake- lated a vision for forests and forestry to holders: the need to ensure food, water, 2050 and beyond in its Durban Declaration. energy and employment for current and According to this vision, the forests of the future generations should be at the centre future will be: of future efforts in forestry, agriculture • fundamental for food security and and watershed management. Sectoral improved livelihoods – they will approaches need to be sustainable and increase the resilience of communities integrated approaches need to be encour- by providing food, energy, fibre and aged to deliver multiple benefits from land other products, generating income and management. employment, harbouring biodiversity, By bringing together forest stakeholders and supporting sustainable agriculture worldwide, strengthening commitment, and human well-being; creating a common vision, and setting out • part of integrated approaches to land priority actions, the XIV World Forestry use that address conflicts over land Congress has given us an opportunity. If use and capitalize on the many ben- we take advantage of this opportunity by efits to be gained from integrating working collaboratively and investing in forests with agriculture; and forest communities and forest knowledge, • an essential solution to climate forests will make a strong comeback. The change. bidding process for hosting the XV World

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Invited speakers on the stage Many international organizations and inter- during the High-level Dialogue, The High-level XIV World Forestry Congress governmental bodies have adopted the Dialogue at the principle of convening high-level segments at their major events. Those frequently invited Dialogue on the Global Forest Agenda (HLD) XIV World Forestry to participate in such segments include top was – in harmony with the general theme government officials, such as heads of state of the Congress – to explore avenues for Congress and government as well as ministers and investment (such as financial, human capital ambassadors; the senior staff of UN agen- and infrastructure) in forests, forestry and H. El-Lakany cies; renowned scientists; private-sector forest communities that would best contribute executives; and other civil-society dignitaries. to the implementation of the 2030 Agenda Dialogue participants called for The aims of high-level segments are to show for Sustainable Development and maximize a serious political commitment political leadership and commitment at the the contributions of forests and forestry to to invest much more in forests as highest possible level; provide scientific and achieving the Sustainable Developments part of global efforts to achieve strategic insights into the subject matter; set Goals (SDGs)1 and their role in the future sustainable development while the stage for meaningful discussions during climate-change regime. addressing climate change. the events; and chart courses of action to Before the Congress, and with a view to achieve ambitious and effective outcomes. streamlining discussions at the Dialogue, HLD The XIV World Forestry Congress was speakers received a set of topics prepared convened in Durban, South Africa, in by the International Advisory Committee of September 2015 by the Government of South 1 Hosny El-Lakany is Adjunct Professor, Faculty Africa in collaboration with FAO under the The General Assembly adopted Resolution 70/1 of Forestry, University of British Columbia, on the SDGs on 25 September 2015; the outcomes Vancouver, Canada, and Chair of the XIV theme “Forests and People: Investing in a of the XIV World Forestry Congress, including the World Forestry Congress Advisory Committee. Sustainable Future”. The aim of the High-level HLD, were tailored to support that adoption.

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the XIV World Forestry Congress2 and the Fourteen ministers and several other senior long-term vision for action to integrate forests Congress Secretariat. These topics were: officials representing governments and other more broadly into the post-2015 development • Long-term vision for action on forests. international entities participated in the HLD, agenda while focusing on the implementation • Critical forest-related investment needs which was co-chaired by the author of this of relevant SDGs. These elements included in each country. article and H.E. General Bheki Cele, who is the following: • National success stories in the effort to the Deputy Minister of Agriculture, Forestry • Powerful examples of ways in which increase forest investment. and Fisheries, Government of South Africa. forests could help address major • Messages that speakers would like the The HLD commenced with short introduc- global challenges such as poverty Congress to send to the 21st Confer- tions from the co-chairs, who then invited eradication and food security. Some ence of the Parties (COP21) to the the ministers and other speakers to deliver speakers dwelled on the role of forests United Nations Framework Convention statements, followed by an open discussion and forestry in food security and cited on Climate Change (UNFCCC) and the among participants. At the conclusion of the examples demonstrating the importance United Nations General Assembly ses- HLD, Mr José Graziano da Silva, Director- of forests to those indigenous and local sion on the SDGs. General of FAO, and H.E. Senzeni Zokwana, communities who depend on them for Minister of Agriculture, Forestry and Fisher- their livelihoods; some emphasized the 2 The XIV World Forestry Congress International ies, Government of South Africa, delivered Advisory Committee was composed of 18 eminent persons appointed in their personal capacities. Its short closing statements. FAO Director-General, terms of reference included advising FAO on the Towards the end of the session, I summa- contents of the Congress’s technical programme José Graziano da Silva, centre, and supporting efforts to secure wide participation rized the important elements, as identified makes an intervention during in the Congress. by HLD speakers and other participants, of a the High-level Dialogue at the XIV World Forestry Congress © FAO/GIUSEPPE CAROTENUTO

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need to ensure that wood energy use is efficient and sustainable. • The importance of developing synergies between forestry and other land uses, emphasizing the need for the effective integration of forest policies with those pertaining to agriculture, water, energy and urban development. • Clear calls to promote a stronger role for forests in climate-change mitigation and adaptation, recognizing the global significance of forests in carbon sequestration and the potential role of forests in adaptation planning through, for example, reduced deforestation and forest degradation, maintaining ecosystem services, and providing safety nets and livelihood options. • The benefits of community-based sustainable forest management and © FAO/GIUSEPPE CAROTENUTO © FAO/GIUSEPPE effective stakeholder engagement and participation, as well as the importance of gender equality. • The importance of FAO’s Global Forest Resources Assessment, as well as other monitoring tools. • The urgent need to address the drivers of deforestation and forest degradation Congress participants hear interventions during – although there were positive mes- participants built on the foundations laid at the the High-level Dialogue sages from participants about actions HLD to develop crisp and powerful messages being taken in some countries to reduce for the UNFCCC COP21,3 the United Nations net deforestation and tackle forest General Assembly, and the whole world. platforms at the national level for articulat- degradation. The Congress Secretariat, with the support ing the important role of forests in meeting Perhaps the key point to emerge from the of the co-chairs, produced a communiqué future climate-change commitments and open discussion was the conviction that, if the on the outcome of the HLD, summarizing implementing the SDGs. world’s forests are to realize their full potential the key issues raised by participants in the The HLD was a well-organized and well- contribution to sustainable development and form of action points for forests and forestry. attended event. It contributed to the success the management of climate change, much The HLD concluded that forests could be of the XIV World Forestry Congress in gen- more investment is required in technology part of a transformative change towards eral, which sent clear messages to the world transfer; product innovation; micro-enterprise a bio-based economy, especially through on the fundamental role of forests in address- development; capacity building, especially at innovation and the increased use of wood in ing climate change, poverty and food security. the community level; forest education; and the construction and building sector. Some The high-level participants called for a seri- the creation of employment opportunities, high-level participants stressed that national ous political commitment to invest more in especially among the young. forest programmes could serve as useful forests and forestry, in terms of both financial The audience appreciated that many of the and human capital, to support global efforts

speakers gave examples of success stories 3 to achieve sustainable development while Ultimately, UNFCCC COP21, held in December u involving increased investment in forests, 2015, reached historic agreement to combat addressing climate change. forestry and forest communities in their climate change and unleash actions and respective countries. In my view, the HLD investments towards a low-carbon, resilient and sustainable future. The outcomes of the XIV played an important role in shaping the Con- World Forestry Congress, including the HLD, gress outcomes; the nearly 4 000 Congress were tailored to help inform that agreement.

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Towards the implementation of the 2050 Vision for Forests and Forestry in Africa

B. Tijani © FAO/GIUSEPPE CAROTENUTO

The outcomes of the XIV World South Africa successfully hosted the XIV opportunities, giving rural people more Forestry Congress will help orient World Forestry Congress, the first ever World access to forests, and inspiring new technolo- FAO’s forestry work in Africa Forestry Congress in Africa, with almost gies and renewable products, thus setting the in the context of the Sustainable 4 000 delegates from all over the world. 2050 Vision for Forests and Forestry. Development Goals and the new Continental leaders, decision-makers, practi- Hosting the World Forestry Congress in climate agreement. tioners and stakeholders gathered in Durban Africa was significant because the continent in September 2015, putting a spotlight on mirrors many of the most important global forests to foster supportive policies and boost challenges and opportunities for forests. The investments for sustainable development. Congress was opportune in enabling Africa Participants discussed ways to unleash the to take stock of its experiences, knowledge Bukar Tijani is FAO Assistant Director- full potential of forests for lifting rural popula- base and initiatives, especially in the con- General/Regional Representative for Africa. tions out of poverty by expanding economic text of fostering people-centred development

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Previous page: Panelists at an event achieving food security, economic develop- improving soil health and access to water. during Africa Day at the XIV World Forestry ment and employment for Africa’s people, Africa is set to move forward on a path of Congress, Durban, South Africa. From left to right: Mr Bukar Tijani; Professor Edith Vries, especially youth and women. Participants in sustainable development that ensures growth Director General, Department of Agriculture, Africa Day called for multisectoral integrated in agriculture, food security and nutrition, Fisheries and Forestry, South Africa; approaches to sustainable forest manage- poverty eradication, the provision of energy Mr Martin Bwalya, Head of Programme Development Division, NEPAD Planning and ment and technological innovations and (wood) and livelihoods, while building resil- Coordination Agency; H.E. Belete Tafere, capacity strengthening in the forest sector, ience to climate change. Sustainable forest Minister for Environment and Forest, and they advocated further investment in and management has an important role here. u Ethiopia; Mrs Tumusiime Rhoda Peace, African Union Commissioner for financing of sustainable forest management. Rural Economy and Agriculture; and Against this background, it is encouraging Ms Mette Loyche Wilkie, Director at the to note that the outcomes and messages of United Nations Environment Programme the XIV World Forestry Congress served as a useful input to orient FAO’s forestry work in priorities and objectives, as articulated in Africa in the era of the Sustainable Develop- Africa’s Agenda 2063.1 The Congress also ment Goals and the new climate agreement presented an opportunity to reflect deeply reached in Paris in December 2015. In this on the future of the continent’s 624 million way, the Congress helped in prioritizing work hectares of forests and trees outside for- on food security and livelihoods; integrating ests and to help galvanize the responses of forests with other land uses; and ensuring governments to the call in the Malabo Decla- that forests continue to provide a range of ration2 for a sustainable forest management products and services, including climate- programme framework. change adaptation and mitigation. Through the Congress’s Africa Day, the Efforts are being made in Africa to move African Union Commission and partners – ahead with firm, achievable programmes. including the FAO Regional Office for Africa The FAO Regional Conference for Africa, and the Planning and Coordination Agency held in Abidjan, Côte d’Ivoire, in April 2016, of the New Partnership for Africa’s Devel- recommended that FAO enhance its support opment (NEPAD) – debated the theme of for countries in three areas – market access addressing climate change through sustain- and agri-food systems; sustainable natural able forest management. The discussions resource management and governance; and emphasized the role that sustainably man- resilience building for effective management aged forests and trees outside forests can of risks. play in reducing vulnerability to climate Ministers of agriculture and heads of change and the opportunities they provide for delegation attending the FAO Regional Con- ference discussed the topic of food security and recognized that climate change is a 1 Agenda 2063 is a call to action to all segments of African society to work together to build a prosper- threat to Africa’s fundamental human rights. ous and united Africa based on shared values Nevertheless, they shared a common vision and a common destiny. In their 50th Anniversary that investment in productive and resilient Solemn Declaration, the Heads of State and Gov- ernment of the African Union laid down a vision agricultural development is vital for ensuring and eight ideals to serve as pillars for the continent that African countries – and particularly the in the foreseeable future, which Agenda 2063 will poorest and most food-insecure inhabitants translate into concrete objectives, milestones, goals, targets and actions/measures. of those countries – continue to prosper, 2 The Heads of State and Government of the despite climate change. African Union adopted the Malabo Declaration The Conference recognized that well- on Accelerated Agricultural Growth and Trans- targeted investments in agriculture can formation for Shared Prosperity and Improved Livelihoods at the African Union Summit in simultaneously improve natural resource Malabo, Equatorial Guinea, in June 2014. The management, enhance adaptation to climate Malabo Declaration is a set of goals showing change in Africa and help mitigate climate a more targeted approach to achieving the continent’s agricultural vision, which is shared change, regionally and globally, by easing prosperity and improved livelihoods. the pressures that drive deforestation and

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The Buffelsdraai Landfill Site Community Reforestation Project

E. Douwes, M. Rouget, N. Diederichs, S. O’Donoghue, K. Roy and D. Roberts © ERROL DOUWES © ERROL

Members of a local community plant trees ities have a crucial role to play in as part of the Buffelsdraai Landfill Site A project in Durban, South Africa, Community Reforestation Project is pursuing a new form of urban climate-change adaptation and biodiversity conservation using mitigation. The majority of the structured interventions to provide Cworld’s people now live in urban areas urban poverty can have very negative con- wider benefits for communities. (UNDESA, 2014), with the result that sequences for people. This is particularly cities form centres of intense greenhouse true of cities in many African countries, gas emissions related to transport, energy where informal settlements – which lack and industry. Addressing climate-change many basic services – form a large propor- Errol Douwes, Sean O’Donoghue, mitigation at the city scale is evidently tion of residential areas. It is imperative Kathryn Roy and Debra Roberts are at the important, but the risks that cities face that development in these cities is aligned Environmental Planning and Climate Protection due to climate change are arguably even appropriately with projected changes Department, eThekwini Municipality, Durban, South Africa. more so. Where the impacts of climate- in climate. Mathieu Rouget is at the School of Agricultural, change-related disasters are not planned To this end, various mechanisms are Earth and Environmental Sciences, University of for appropriately, the combination of being pursued globally to address climate- KwaZulu-Natal, South Africa. Nicola Diederichs is at Futureworks, Knysna, high settlement densities, the location of change mitigation and adaptation in urban South Africa. infrastructure in vulnerable places, and areas. These include nationally coordinated

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mitigation policies to, for example, develop development, promote poverty alleviation, adaptation, poverty alleviation and eco- renewable-energy and energy-efficiency enhance water and food security, and boost system restoration. The project builds on building retrofits, as well as local-scale biodiversity conservation (Lykke et al., a combination of the local economic devel- adaptation planning initiatives. Two of 2009; Cartwright et al., 2013; Munang opment and ecosystem service delivery the latter considered of high importance et al., 2013). Such benefits can foster aspects of South Africa’s national Working for African cities are community-based much-needed political buy-in; moreover, for Water programme (van Wilgen, Le adaptation (CBA) and ecosystem-based the integration of CBA and EBA into local Maitre and Cowling, 1998; Turpie, Marais adaptation (EBA). CBA refers to the decision-making processes (e.g. municipal and Blignaut, 2008) and the eThekwini participatory identification and implemen- land-use planning) increases opportunities Municipality’s Working for Ecosystems tation of community-based development for risk reduction (Archer et al., 2014). programme (Douwes, 2010). activities that strengthen local people’s This article discusses the key benefits capacity to adapt to climate change. CBA arising from and lessons learned in a CLIMATE-CHANGE MITIGATION also builds on the expressed needs and reforestation project implemented by the AND ADAPTATION STRATEGIES perceptions of communities to address the eThekwini Municipality (the local govern- IN DURBAN local development concerns underlying ment responsible for the city of Durban, Durban has a portfolio of synergistic vulnerability (Ayers and Forsyth, 2009; South Africa) in partnership with local adaptation and mitigation responses Reid et al., 2009; Archer et al., 2014). communities and organizations. Although that form part of its Municipal Climate EBA refers to “the use of biodiversity and established as a mitigation initiative to Protection Programme. Reviews of this ecosystem services as part of an overall help offset greenhouse gas emissions adaptation strategy to help people to adapt associated with 2010 FIFA World Cup™ Tree-preneurs sort saplings received from to the adverse effects of climate change” matches held in Durban, the Buffelsdraai the community at a “holding nursery” as part of the Buffelsdraai Landfill (AHTEG, 2009). Both CBA and EBA Landfill Site Community Reforestation Site Community Reforestation Project. allow the delivery of climate-change adap- Project (“the project”) has provided cru- Seedlings are grown in people’s backyards tation interventions that support economic cial co-benefits, including climate-change and placed in holding nurseries at the site for hardening before planting © ERROL DOUWES

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programme (Roberts et al., 2012; Roberts habitat restoration projects have the ESTABLISHMENT OF THE and O’Donoghue, 2013) suggest that while advantage of not only achieving climate- BUFFELSDRAAI LANDFILL SITE adaptation is the immediate priority, miti- change mitigation aims but also increasing COMMUNITY REFORESTATION gation interventions are also crucial for climate-change adaptation capacity and PROJECT enhancing the city’s adaptive capacity reducing the vulnerability of ecosystems Following Durban’s selection as one of through the avoidance of climate change and communities. It is acknowledged nine South African host cities for the while reducing existing high levels of per that mitigation gains are low in Durban’s 2010 FIFA World Cup™, the eThekwini capita emissions. In this sense, mitigation urban-based ecological restoration projects Municipality established a target to host a may even be viewed as the “surest form” in comparison with gains in adaptive climate-neutral event. The total unavoid- of adaptation. EBA is considered a strate- capacity. Preferably, therefore, investments able carbon footprint for the Durban gic approach to adaption that maximizes in ecosystem restoration should not seek component of the event was declared at the prospects for long-term sustainability solely to deliver carbon sequestration but 307 208 tonnes of carbon dioxide equiva-

and reduces the vulnerability of impover- should also prioritize the supply of other lent (CO2e). A portion of this footprint ished urban communities, which remain ecosystem services (e.g. flood attenuation, was to be mitigated through local natural dependent on natural capital for survival sediment regulation, biodiversity refuge forest restoration that also enhanced the (Roberts et al., 2012). conservation and river-flow regulation), adaptive capacity of local ecosystems and A practicable community EBA initia- thereby increasing and broadening the communities. The project was initiated tive has emerged recently in Durban in resilience and adaptation capacity of within the 757-hectare buffer zone of response to the recognition that climate- regional ecosystems, including river

change adaptation needs to involve and catchment systems, with clear benefits for The Buffelsdraai Landfill Site benefit local communities for it to be local communities that depend on natural Community Reforestation Project has sustainable and meaningful. Natural resources. generated significant socio-economic benefits for the local community © ERROL DOUWES © ERROL

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the municipality’s Buffelsdraai Regional the Coastal, Stormwater and Catchment a two-stage process involving validation Landfill Site in the north of Durban in Management Department, involved in and verification (CCBA, 2015), which is November 2008. Initial small-scale tree- water monitoring; and the municipality’s undertaken by independent accredited planting was undertaken in 2009, followed Energy Office, which provides photo- auditors. The validation phase, already by a larger-scale effort from 2010. All land voltaics and solar geysers for offices and completed for the Buffelsdraai project, earmarked for reforestation was previously ablutions. Other partners include the entailed an assessment of the design of the either under sugarcane production, with University of KwaZulu-Natal (UKZN) land-based carbon project against each cri- limited productive capacity, or infested as part of a research partnership, and the terion of the CCB Standards. Verification with invasive alien plants. The carbon Wildlife and Environmental Society of (scheduled for 2017) is to be performed to be captured by the project over a South Africa as part of an environmental after initial project implementation (and 20-year period was estimated initially at education partnership. Members of the then at approximately five-year intervals) some 45 000 tonnes of CO2e (eThekwini local community are considered crucial to confirm whether the project has deliv- Municipality, 2011). partners for implementation success. ered benefits in line with its validated The eThekwini Municipality appointed design and monitoring plan. Table 1 lists a local non-profit organization, the ASSESSMENT OF BENEFITS the various indicators used to monitor the Wildlands Conservation Trust, to imple- The multiple socio-ecological benefits implementation and effectiveness of the ment the project through its Indigenous achieved by the project have resulted in project. Trees for Life programme, which assists Gold Standard validation by the Climate The estimated carbon to be sequestered unemployed people, subsequently known Community and Biodiversity Alliance, each year was calculated before planting, as “tree-preneurs”, to set up small-scale following the regular monitoring of car- based on the anticipated accumulation of indigenous tree nurseries at their homes. bon stock, increases in biodiversity, and woody biomass arising from the phased Facilitators in relevant communities are socio-economic surveys of neighbour- plantings in initial years and growth over appointed to recruit, train and support the ing communities. Conformance with the a 20-year period. Knowles (unpublished) tree-preneurs, who trade their trees (at a Climate Community and Biodiversity modelled carbon accumulation rates using minimum height of 30 cm) for credit notes, (CCB) Standards is determined through the Century Ecosystem Program for the which can be exchanged for food or basic goods or used to pay school fees. TABLE 1. Indicators used to monitor carbon stocks, biodiversity and the A holding nursery at the reforestation socio-economic benefits of the Buffelsdraai Landfill Site Community site allows the storage and sorting of trees Reforestation Project received from tree-preneurs. Trees are Indicator type Measurement Frequency Notes hardened off in the nursery to increase Carbon stock Area planted (ha) Annually Calculated for areas previously under their chances of survival once planted out; sugarcane this involves the use of local soils without Number of trees Annually Trees planted in the living fence were fertilizer or mulch, and watering is mini- not included in initial carbon calculations mized. Teams of local people are employed to plant the hardened-off trees and then Accumulated carbon Annually These values were calculated before sequestered to date project inception maintain the forest (including through the (tonnes CO2e) control of invasive alien plants). Planting Biodiversity Indigenous trees Annually Only woody tree species sampled takes place predominantly in the wet sea- (species richness) son to help increase tree survival. Planted Invertebrates Every five Limited to snails and millipedes areas are inspected regularly, and dead (species richness) years trees are replaced with new saplings. A Vertebrates Every five Small mammals, birds and reptiles stock of “insurance” trees is stored in the (species richness) years were sampled on-site nursery to replace trees that have Socio-economics Number of Annually Measured for people directly succumbed to wildfire or drought. temporary jobs employed The Municipality’s Environmental Plan- Number of Annually Measured for people directly ning and Climate Protection Department permanent jobs employed oversees the project, but partnerships with Disposable income Every five Within families of tree-preneurs or other municipal agencies are also vital. years employees These agencies include the Durban Solid Food availability Every five Within families of tree-preneurs or Waste Department, which owns the land; years employees

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various vegetation types sampled by TABLE 2. Anticipated greenhouse gas removals to date, through woody Glenday (2007). Field surveys of extant biomass accumulation, during phased planting at Buffelsdraai forest and woodland patches (Macfarlane, Year Cumulative Carbon Carbon sequestration Accumulated carbon Harvey and Hamer, 2011) were under- area sequestration rate rate per year sequestered to date planted (ha) per unit area (tonnes of CO e/year) (tonnes of CO e) taken early in the project. The resulting 2 2 (tonnes of CO2e/ inventories and associated data allowed ha/year) the calculation of importance values (IV) 2008 1.1 1.4 5.6 5.6 for each tree species as a way of guiding 2009 44.1 1.4 226.4 232.0 future selections of species for planting (Macfarlane, Harvey and Hamer, 2011). 2010 82.1 1.4 421.4 653.5 The IV methodology (see DWAF, 2005) 2011 182.1 1.4 934.8 1 588.3 uses the relative abundance, relative fre- 2012 282.1 1.4 1 448.1 3 036.4 quency and relative basal area (biomass) 2013 382.1 1.4 1 961.4 4 997.8 of each species in each habitat type. The 2014 482.1 1.4 2 474.8 7 472.6 exercise was repeated four years after the initial survey and calculation (Bertolli, Source: eThekwini Municipality (2011). Teixeira-Leite and Macfarlane, 2013) to confirm the targets set for species richness. Municipality understand the long-term Biodiversity Macfarlane, Harvey and Hamer (2011) also benefits of the reforestation process that A total of 51 locally indigenous tree spe- collected baseline data on vertebrate and would accrue to the 6 309 households in the cies were recorded at Buffelsdraai in 2013, invertebrate species richness. Roy (2015) Buffelsdraai, Osindisweni and KwaMashu including species found in newly reforested determined the species richness, diversity settlements. These areas are acknowledged areas as well as in extant forest patches at the and composition of the newly planted areas to suffer from poverty and unemployment. site (Bertolli, Teixeira-Leite and Macfarlane, at Buffelsdraai through extensive sampling 2013). As of January 2015, 442 hectares of 60 plots (each of which was 200 m2 in RESULTS had been reforested at Buffelsdraai at a area). These plots were compared with an The results presented below are for the rate of about 100 hectares per year and established forest in Durban to determine first five years of tree-planting (2010–2014) an average density of 1 000 trees per hect- whether the project was on a trajectory and relate broadly to the indicators listed are (certain riparian areas were planted at that would allow the establishment of a in Table 1. an average of 2 000 trees per hectare). A phytosociological assemblage similar to total of 595 476 trees had been acquired that of a natural forest. Carbon stock since project inception through the tree- A socio-economic baseline study of pro- Table 2 shows the carbon anticipated to be preneurs programme, as of January 2015 ject beneficiaries (Greater Capital, 2011) sequestered in each year from inception. (Douwes et al., 2015). The planted trees was undertaken to help the eThekwini This is an estimate based on the cumula- include 46 locally indigenous species, of tive area planted; actual measurements which the most common are Acacia nata- are being conducted through the research litia, Erythrina lysistemon and Bridelia The Buffelsdraai landfill site partnership with UKZN. micrantha (Roy, 2015). in 2015 © ERROL DOUWES © ERROL

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1 1 000 Socio-economic Permanent jobs upliftment of neighbouring Temporary jobs 900 communities Part-time jobs through job 800 creation Tree-preneurs (2009/2010– 2012/2013) 700

600

500

400 No. of jobs 300

200

100

0 2009/2010 2010/2011 2011/2012 2012/2013

Compared with a forest reference site, the Socio-economics large quantities of trees are rewarded with planted areas at Buffelsdraai had lower spe- The project has generated more than additional training courses and experiential cies richness (an average of 28 species per 50 full-time, 16 part-time and 389 tem- learning opportunities. An education and 0.4 hectares at Buffelsdraai compared with porary jobs for local community members, outreach initiative has been established 37 species per 0.4 hectares at the reference and more than 600 active tree-preneurs to help local communities develop an site) and lower species diversity (a Shannon have been engaged (Figure 1). Local people understanding of climate change, as well exponential mean of 21.6 effective species who gained employment in the project were as of how forests and ecosystems deliver per 0.4 hectares at the reference site and found to have higher disposable incomes beneficial ecosystem services. 12.3 at Buffelsdraai) due to the dominance and increased availability of food, and The project has demonstrated some of a few pioneer nitrogen-fixing species many families reported improved educa- measure of climate-change mitigation and that are generally quick and easy to grow tional opportunities for their children. All adaptation, although the adaptation ben- (Roy, 2015). communities demonstrated a high reliance efits (especially with respect to biodiversity Eighty bird species were recorded at on the use of natural resources for food, and socio-economic aspects) are far more the Buffelsdraai site at project inception energy, water and primary health care tangible than originally envisaged. The (Macfarlane, Harvey and Hamer, 2011); (Greater Capital, 2011). composition of planted trees indicates a ongoing quarterly records indicate that the likelihood of high resilience to climatic number was 145 in December 2014 (Spence DISCUSSION change due to the prevalence of generalist and Wood, 2014). Although the number of This case study provides a number of les- species (Roy, 2015); socio-economic ben- bird species appears to have increased, sons that could inform the development of efits include the increased availability of Spence (personal communication, 2015) community-based reforestation elsewhere. food and improved education opportunities has suggested that 145 might be a more The project inclines heavily towards local for schoolchildren (Greater Capital, 2011). realistic baseline, given that all species job creation and the active upskilling of The benefits generated by the project cannot be confirmed in one count, and community members, achieved primar- led to its nomination and selection in species lists must cover all seasons. Nine ily through ongoing interactions between 2011 as one of the UN’s “Momentum millipede and 22 mollusc species were facilitators and tree-preneurs. The devel- for Change” initiatives, which recognize recorded at the site (Macfarlane, Harvey opment of entrepreneurial skills is also projects for addressing climate change and Hamer, 2011). a focus, and tree-preneurs who produce through climate-resilient and low-carbon

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mechanisms while ensuring optimal ben- vulnerable communities. Such opportuni- funding from DANIDA, the eThekwini efits for local communities (UNFCCC, ties, if sensitive to local ecosystem threats Municipality and the South African 2015). It is acknowledged, however, that, and needs, could be pursued in cities National Green Fund. Mathieu Rouget while initial results hold promise, further throughout Africa with the potential to put acknowledges funding from the South interrogation of the project benefits is African countries on a development path in African Research Chairs Initiative of the required. For example, the full extent of keeping with the Sustainable Development Department of Science and Technology ecological and ecosystem service benefits Goals. and National Research Foundation of South – such as increases in biodiversity refuges, The above-mentioned partnerships and Africa. Kathryn Roy acknowledges fund- water quality, river-flow regulation, flood project components all aim to yield positive ing from the eThekwini Municipality, the mitigation, sediment control, visual amen- co-benefits and outcomes, but they also National Research Foundation of South ity, and fire-risk reduction – is unknown. highlight the vulnerability of the project, Africa and the Wildlands Conservation Another aspect in which the project has which could fail if long-term management Trust. We thank Fatima Moolla and Richard shown promise is in the engagement of a commitments from local government are Winn from the Wildlands Conservation broad spectrum of stakeholders, which not forthcoming. There is a clear need for Trust for providing data on the number has ensured widespread buy-in and trans- a systematic risk management approach and area of trees planted. u parency and, in the case of a research that highlights positive interdependencies partnership with UKZN, created oppor- and evaluates and exposes problematic tunities for investigating the impacts of trends over time. the project on ecosystem services. Buy-in and support for the project from local lead- CONCLUSIONS ers has helped drive the establishment of Although initiated to offset the local car- two additional reforestation projects in bon footprint of the Durban 2010 FIFA Durban – iNanda Mountain and Paradise World Cup™, the benefits achieved by Valley – using the same model. the Buffelsdraai Landfill Site Community References This project emerged opportunistically Reforestation Project have already far as a result of the 2010 FIFA World CupTM, exceeded the single objective of creating AHTEG. 2009. Connecting biodiversity pointing to the need for cities and countries a tree-based carbon sink, including the and climate change mitigation and adap- to exploit such moments because they have enhanced restoration of biodiversity and tation. Report of the Second Ad Hoc the potential to provide long-lasting lega- the delivery of ecosystem services, a range Technical Expert Group on Biodiversity cies (Diederichs and Roberts, 2015). This is of social upliftment and economic opportu- and Climate Change (AHTEG). Secretariat especially relevant for projects implement- nities for local communities, and important of the Convention on Biological Diversity ing green economy principles, as seen in research efforts. The project is indicative of (available at: www.cbd.int/doc/publications/ the example discussed here. The combina- a new form of urban biodiversity conserva- ahteg-brochure-en.pdf). tion of local economic development and tion, in which structured and deliberative Archer, D., Almansi, F., DiGregorio, M., the delivery of ecosystem services, which interventions in biodiversity management Roberts, D., Sharma, D. & Syam, D. 2014. is also used in South Africa’s national can create new socio-ecological systems. Moving towards inclusive urban adaptation: Working for Water programme (Buch and Going forward, it is recommended that approaches to integrating community-based Dixon, 2009), could feasibly be replicated the project builds on the partnership and adaptation to climate change at city and in other parts of Africa, especially in cities, research platform approach. This will national scale. Climate and Development, as a way of mainstreaming climate-change help optimize co-benefits and grow the 6(4): 345–356. adaptation measures (Bourne et al., 2016). portfolio of coordinated, synergized and Ayers, J. & Forsyth, T. 2009. Community- The goal of low-carbon-emissions develop- constantly re-evaluated responses to the based adaptation to climate change, ment (UNDP, 2011) can also be addressed need for climate-change adaptation and strengthening resilience through develop- in parallel with the development of socio- mitigation. ment. Environment, 51(4): 23–31. ecological needs. The Indigenous Trees Bender, A. 2016. The waste-preneurs of South for Life model has already been extended ACKNOWLEDGEMENTS Africa. Sustainable Journeys webpage to other environmental sectors, such as This research was supported by the (available at: https://sustainablejourneys. solid waste control, at Buffelsdraai and eThekwini Municipality through the net/2016/06/08/the-waste-preneurs-of-south- other sites (Bender, 2016), providing Durban Research Action Partnership: africa). Accessed September 2016. opportunities to implement a range of Community Reforestation Research Bertolli, L., Teixeira-Leite, A. & transformative programmes that target Programme. Errol Douwes acknowledges Macfarlane, D. 2013. Monitoring report

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of planting activities, Buffelsdraai report. Durban, South Africa, Environmental of KwaZulu-Natal (MSc dissertation). Reforestation Programme. Unpublished Planning and Climate Protection Depart- Unpublished. report. Durban, South Africa, eThekwini ment, eThekwini Municipality. Spence, P. & Wood, T. 2014. Buffelsdraai Municipality. Glenday, J. 2007. Carbon storage and birdlist, December 3rd 2014. Unpublished Bourne, A., Holness, S., Holden, P., Scorgie, S., sequestration analysis for the eThekwini report. Donatti, C.I. & Midgley, G. 2016. A socio- Environmental Services Management Plan. Turpie, J.K., Marais, C. & Blignaut, J.N. ecological approach for identifying and Unpublished report. Durban, South Africa, 2008. The Working for Water programme: contextualising spatial ecosystem-based eThekwini Municipality Environmental evolution of a payments for ecosystem adaptation priorities at the sub-national level. Management Department. services mechanism that addresses both PLoS One 11: e0155235. Greater Capital. 2011. Social assessment of poverty and ecosystem service delivery in Buch, A. & Dixon, A.B. 2009. South Africa’s the Buffelsdraai Landfill Site Community South Africa. Ecological Economics, 65: Working for Water programme: searching Reforestation Project. Unpublished 788–798. for win-win outcomes for people and the report. Durban, South Africa, eThekwini UNDESA. 2014. World urbanization prospects: environment. Sustainable Development, Municipality. the 2014 revision, highlights (ST/ESA/ 17: 129–141. Knowles, T. No date. Unpublished data. SER.A/352). United Nations Department Cartwright, A., Blignaut, J., De Wit, M., University of Stellenbosch. of Economic and Social Affairs (UNDESA). Goldberg, K., Mander, M., O’Donoghue, S. Lykke, A.M., Barfod, A.S., Svendsen, G.T., Population Division (available at: https:// & Roberts, D. 2013. Economics of climate Greve, M. & Svenning, J.C. 2009. 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Unasylva 247/248, Vol. 67, 2016/2-3 20 © MARLENE ELIAS Gender and forest, tree and agroforestry value chains: evidence from the literature

V. Ingram, M. Haverhals, S. Petersen, M. Elias and B. Basnett

What is the role of gender in the forest, tree and agroforestry (FTA) support services that generally all add harvesting, processing and sale of value chain (also known as a mar- value to a product as it moves along the forest and tree products? ket, supply or commodity chain, chain. The activities in an FTA value chain Aor a production-to-consumption system) may be implemented by various individu- concerns the activities involved in bringing als or organizations, termed “actors” here, a wood or non-wood product from a tree or such as harvesters, processors, traders, forest, through processing and production, retailers and service providers. to delivery to final consumers and ultimate

Verina Ingram, Merel Haverhals and disposal. Such a chain can range from local Above: Women display shea butter at Sjoerd Petersen are at Wageningen University to global, and it comprises activities such a market in Burkina Faso. Numerous and Research. as harvesting, cleaning, transport, design, interventions in recent decades have Marlene Elias is at Bioversity International. sought to increase the inclusion and Bimbika Basnett is at the Center for processing, production, transformation, incomes of female producers and International Forestry Research. packaging, marketing, distribution and processors in shea export chains

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The relationship between actors and the masculinity, and the power relations and METHODOLOGY control of chains is known as chain govern- dynamics that characterize how women A search of literature available on the inter- ance (Gereffi, Humphrey and Sturgeon, and men interact (Laven et al., 2009). The net following the steps shown in Figure 1 2005; Helmsing and Vellema, 2011). crucial link between gender and forest and produced 126 studies dated from the year Chains and products embody multiple tree-based livelihoods is gaining recog- 2000 onwards1 concerning FTA value relations of value, which are often explic- nition, with a growing body of research chains and gender. The studies referred to itly economic but also social, cultural and highlighting the role of gender in shaping one or more value-chain cases and covered environmental. Because forest products are access to and the management and use a wide variety of product chains involv- based on natural – often wild-sourced – of FTA resources and markets and their ing fruits, seeds, nuts, gums, resins, barks, resources, the sustainability of harvesting associated benefits (Mai, Mwangi and stalks, leaves, timber, branches, fungi and is a core aspect that differentiates forest Wan, 2011). roots sold for food, feed, medicinal and product chains from those of agriculture. This article examines the nature of gen- cosmetic uses, perfumes, energy, tools and “Gender” refers to the socially con- der differences in FTA value chains; where utensils. Many products also had subsis- structed differences between women and those differences are concentrated in value tence uses. The majority (63 percent) of the men (Kabeer, 2005), how society gives chains; the factors that explain the differ- 126 publications were peer-reviewed scien- meaning to differences in femininity and ences; and the prospects for generating tific articles, 8 percent were book chapters, gender-equitable and sustainable outcomes and 14 percent were working papers and 1 from participation in FTA value chains. reports. Other products included theses, Literature review methodology case studies and policy briefs. Most studies (65 percent) were descriptive in nature, Scan literature for Search 18 percent were conceptual and 17 percent Literature Protocol “gender FTA value chains” terms described external interventions in value chains. All studies concerned FTA chains originating in developing countries, with Search data sources Remove 245 272 using search terms duplicates most (58 percent) based in Africa, 26 percent based in Asia, and 16 percent located in Latin America. The publications were Inclusion/exclusion (FTA Unavailable 185 5 read and coded according to the types of value chain, gender, >2 000) documents gender differences, where these differences were located along the value chain, the factors explaining differences, and the Title and 169 abstract screening types of interventions and their impacts. This evidence was then synthesized.

Decision – WHERE ARE GENDER DIFFERENCES inclusion/exclusion IN FTA VALUE CHAINS? Most of the studies reviewed did not Review of clearly identify or quantify the sex of those 126 included publications involved in different stages of the value chain. Where this aspect was mentioned, 21 cases clearly identified the sex of the Coding 77 16 36 actors in the harvesting stage, with women Gender Gender Gender dominating in 43 percent of those cases and impacts impacts men 29 percent, and both sexes participat- FTA chains Interventions Interventions ing in 23 percent of cases. In processing, Analysis FTA chains 3 chains women dominated in 25 percent of the eight cases, men dominated in 5 percent,

Reporting 1 A full list of the publications reviewed and the review methodology is available from the Center for International Forestry Research.

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A woman processes newly harvested cacao in Sulawesi, Indonesia. Empowered female cacao farmers with access to farm inputs can influence decisions on cacao production, improve bean quality and quantity, and increase incomes from cacao farming

the main collectors of FTA products in Africa; men contributed a greater income share than women from unprocessed FTA products, especially in Latin America. In Asia, the contributions of women and men were equal. Shackleton et al. (2011) found that, in many FTA value chains in South Africa, even though both men and women are involved (either independently at different stages or together for certain activities), women are often subordinate to men or carry out their activities with limited visibility. A general trend indicated in 13 percent of the studies reviewed was that men participate more in chains as the value of products increases and that men typically participate to commercialize products, whereas women participate both to gather goods for their own and family use, and to generate income. Non-monetary benefits arising from women’s participation in FTA chains were: increased independence, self-esteem and physical well-being; improved self-identity; a sense of purpose; new and extended social networks; the perpetuation of traditions; and the reduction of vulnerabilities and risks associated with food and income security.

WHAT CONTEXTUAL FACTORS CONTRIBUTE TO GENDER DIFFERENCES? The frequency with which specific factors were mentioned in the reviewed literature suggests that they explain differences

© VERINA INGRAM VERINA © between men and women’s participation at different stages of value chains. We and both participated in 5 percent. In trad- Trends in gendered benefits identified attribute the inconsistency with which ing, women dominated in 38 percent of by Sunderland et al. (2014) were broadly these factors were mentioned with respect the 13 cases, men in 19 percent, and both replicated in other studies. Globally, to different products and geographical sexes were active in 5 percent. It is notable FTA income from unprocessed products regions to the differing emphases of the that relatively few studies concerned gen- collected by men contributed to total various studies. dered participation in activities other than household income to the same level as that Sociocultural factors such as cultural harvesting. contributed by women. Women were only norms and customs, which are generally

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Processed beeswax in Oku, Cameroon, for export to a cosmetic company. Processing adds value to raw non-wood forest products that benefits both men and women geographically and ethnically specific, were the most frequently stated explanations for gender differences (51 times in 24 percent of the studies).2 Such norms and customs establish acceptable social, economic and familial practices and taboos for men and women, which determine participation (where, how and what) in value chains. Several studies stressed that gender is just one component of sociocultural and demographic variables that socially differentiate men and women in value chains. Economic factors were mentioned 12 times in 13 percent of the studies. Spe- cific mention was made of the effects of globalization and reforms implemented in response to economic crises; factors referred to included structural adjustment plans, migration, urbanization, and the resultant changes in social roles. Economic factors affected (positively or negatively) not just markets for FTA products, but also the demand for and consumption of FTA products more generally. Governance and political and institutional factors were seen generally as complex and interlinked, with plural governance arrangements noted in many value chains and countries. Institutional and governance factors were mentioned 16 times in 17 percent of the studies reviewed and generally concerned overlapping customary and formal regulatory arrangements. Societal norms can result in the under-representation of women HOWARD © REBECCA in the institutions that mediate formal governance – government policy-makers and law-makers. In some customary and market-based governance arrangements, however, women have developed strategies to increase their representa- such as participation rights and political and quantity of the FTA resources avail- tion and participation in the institutions empowerment were mentioned five times able. In some cases, women were shown governing value chains. Political factors in 5 percent of studies. to be more vulnerable than men to the Environmental factors were cited five effects of resource degradation; the main 2 Note that because some studies referred to more times in 4 percent of studies, referring to reasons cited for this were that women are than one value chain, the total number of men- tions may not coincide with the total number of resource degradation (due to anthropogenic often poorer and more dependent on forest relevant reviewed studies. or natural causes) affecting the quality ecosystems threatened by degradation and

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climate change, and women’s socially and earned by men and women, particu- often described in reviewed studies politically driven lack of participation in larly from processed products, and as being disadvantaged compared decision-making and power. the extent to which the sexes were with men, or subordinate to men; engaged in specific activities in the some papers noted strategies – such WHAT ARE THE DIFFERENCES chain. Poverty cut across gender as an as collective action – by which women IN MALE AND FEMALE influence on people’s dependence and could increase their power. PARTICIPATION IN FTA CHAINS? engagement in value chains. Benefits 4. Differences due to the nature of the The reviewed studies indicated that there were often co-determined by socio- product and activity arise because of are four main types of difference in where, cultural customs and socio-economic the physical demands of value-chain how and when men and women participate characteristics, such as the sex of activities, notably harvesting and in FTA value chains: the household head. Spending the primary processing, and the time 1. Social and cultural differences benefits derived from FTA products taken to conduct those activities, such influence how chains are governed. was influenced by the other sources as long forage distances or extended Governance institutions often com- of income of the person involved in periods away from home. Such fac- prise gender-differentiated access an FTA value chain, the nature of tors were strong determinants of the rights to and responsibilities for the household, and the specializa- participation of women and men in land, tree species, the FTA products tion of individuals, households and the value chains of certain products. themselves, labour, technology, businesses in specific value-chain credit, information, and FTA product activities. Many of the studies noted WHAT KIND OF FTA VALUE-CHAIN markets. Women in the studies often that increases in women’s incomes INTERVENTIONS HAVE BEEN MADE, had fewer or less favourable access from participating in FTA chains AND HOW CAN INTERVENTIONS BE rights than men, and those rights were led to higher expenditure on food, MORE GENDER-EQUITABLE AND not well defined or enforced. More- health and education, and therefore SUSTAINABLE? over, sociocultural factors strongly on overall household well-being, than One-third of the reviewed studies dis- influenced the work performed, the did increases in men’s incomes. cussed interventions in FTA value chains division of labour in chains and (other) 3. Political differences arise due to gen- generally or gave details of the results of household and economic responsi- dered power relations, particularly actions in specific chains. Most interven- bilities, and the activities of those within households but also within tions, shown in Figure 2, were made at the participating in FTA value chains. enterprises, and these can determine community and harvester levels. A general pattern in the reviewed participation in value-chain activi- studies was that women tend to be ties and their outcomes (especially 2 disadvantaged. The literature makes incomes and profits). Women were Stage at which interventions clear that participation in FTA chains occurred in FTA chains can be just one part of often-diverse livelihood strategies, or it can form a major source of a man or woman’s 9% Collector livelihood. This is emphasized by 3% 22% the differences observed between 3% Processor geographical regions and cultures for Collector and processor 6% chains concerning the same product, Collector, processor such as fuelwood or cacao. and exporter 2. Different benefits were apparent in Household the revenues and profits gained by 13% men and women in FTA chains and Community 22% how they spend FTA-related incomes. Producer Generally, but not always, men sell a Entire value chain higher proportion of FTA products (both processed and unprocessed) 22% than women and thus have higher FTA-based incomes. Regional differences were apparent in the amounts

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3 Focus of FTA value-chain interventions 9% Gender 6% Conservation or into outputs); 41 percent of interventions environment 6% upgraded products – that is, they supported Poverty alleviation the development of new or more sophisti- 3% Governance cated products with increased unit value. Over one-quarter (28 percent) of interven- Development tions had functional upgrading outcomes, with new functions created to increase the skill content of activities. Around one- 81% third (34 percent) of interventions used multiple strategies for upgrading – most commonly the upgrading of processing, Note that multiple aims were products and functions; our assessment possible and therefore the percentages sum to more than 100. was that this combination of strategies was most successful. Interventions in cacao – a commodity The majority of studies (81 percent; combine horizontal and vertical upgrading often cultivated in mixed agroforestry and Figure 3) that provided detail on interven- (Box 1 describes various upgrading strate- farm systems – and shea (which is largely tions indicated that gender was a specific gies). Horizontal upgrading, which was wild-harvested) provide insights into the focus; most (84 percent) of those focused more common, was used in half the inter- types of interventions and their impacts. on women and sought to improve the posi- ventions (Figure 4), and over one-quarter Cacao is presented as a typical “male tion of women in FTA value chains. The of the interventions used both strategies. crop” due to the physical work involved, remaining 19 percent of studies addressed Most (84 percent) interventions resulted because it is a cash crop, and because both men and women. in process upgrading (in which a reorga- The most successful interventions in the nization of productive activities led to the 4 reviewed studies were those attempting to more efficient transformation of inputs Types of interventions in FTA value chains

10 Percentage of times mentioned in literature in mentioned times of Percentage

0 Horizontal Vertical Horizontal Process Product New Functional coordination coordination and vertical upgrading upgrading business upgrading coordination

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2006; Hatskevich, Jenicek and Darkwah, Box 1 2011; Konate, 2012; Perakis, 2009; Sidibé Upgrading strategies et al., 2012; Traoré, 2002). The literature often lacks independent, detailed impact Horizontal coordination between the same types of actors – e.g. harvester groups and analyses, however: it generally presents trader cooperatives. outcomes for women as a homogenous Horizontal integration. A strategy whereby a company creates or acquires production group that is positively influenced by inclu- units that are similar – either complementary or competitive. sion and upgrading strategies. Poudyal Vertical integration. An arrangement in which a company owns activities up and down (2009) and Elias (2010) indicated that a value chain. Often, each component of the chain produces or engages in different product some interventions have been captured or market-specific activities. by elites at the expense of marginalized Vertical coordination. Actors in different chain positions coordinate (e.g. individual women groups, limiting empowerment to spe- or women’s groups coordinate with their buyers or providers of services). cific groups of women. Elias (2010) also Product upgrading. Products become more sophisticated, with an associated increase in cautioned that interventions have led to their unit value (e.g. products complying with buyer requirements for higher quality, certifi- household and societal changes related cation, food safety standards, traceability or packaging). to power, income and household tasks Process upgrading. Processes transform inputs into outputs more efficiently by reorgan- that have been perceived negatively: the izing productive activities (e.g. applying new processing technologies, delivering on schedule, “success” of such interventions has led to or reducing wastage). men encroaching on what were previously Functional upgrading. New functions are acquired in the value chain (moving down- female activities, thereby shifting power stream) (e.g. grading, primary processing, bulking and storage, transporting, or provision of dynamics, increasing social differentiation, services, inputs or finance). changing household consumption patterns, New business actors. Actors who produce new products and product chains from a given and ultimately leading to a loss of liveli- primary material (e.g. developing cosmetics from shea nuts, or selling mushrooms that were hoods, particularly for women (Baden, previously collected for subsistence use). 2013; Wardell and Fold, 2013).

Sources: Riisgaard, Escobar Fibla and Ponte (2010); GTZ (2007); Bolwig et al. (2008); Keane (2008); Mitchell, Keane and Coles (2009); Coles and Mitchell (2011). IMPROVING THE IMPACT OF INTERVENTIONS Lessons drawn from the reviewed studies most cacao farms are male-owned. Male in access to programmes such as training on interventions to improve gender equity cacao farmers generally benefit more from and certification and to credit and other in FTA chains include the following: both the institutional context (e.g. access inputs (Banerjee, Klasen and Wollni, 2014; • An integrated view of technical and rights to credit, land and markets) and the Barrientos, 2013; Kumase, Bisseleua and sociocultural practices is best when social context (e.g. control over revenues, Klasen, 2010; UTZ, 2009). Such pro- making interventions. Changing decision-making and bargaining power) grammes are generally in the early stages established practices may require a than their female counterparts. The role of design and implementation, however, multipronged strategy and will take played by woman in farming, post-harvest and their impacts are either not yet appar- time. The use of role models and pilots processes and quality enhancement has ent (Ingram et al., 2014; Waarts et al., 2013) can help demonstrate the benefits of been highlighted only recently (e.g. Enete or are only just becoming so (International gender equity and further stimulate and Amusa, 2010; Kumase, Bissseleua and Institute of Tropical Agriculture, 2006). social change. Klasen, 2010). The literature suggests that Numerous interventions have been made • Technological changes (e.g. training empowered female cacao farmers with in the last two decades to increase the in agroforestry or beekeeping) that access to farm inputs can influence deci- inclusion and incomes of female produc- benefit certain groups of people were sions on cacao production, improve bean ers and processors in shea export chains more successful and sustained when quality and quantity and increase incomes in West and Central Africa. Such interven- complemented with market-orientated from cacao farming (Vigneri and Holmes, tions – mainly by donor and NGO projects activities such as marketing and 2009). – were reported to improve women’s access quality-improvement campaigns, net- Major chocolate-manufacturing multi- rights to shea nuts, increase shea butter working with traders, and trade fairs, nationals and non-governmental orga- quality and volume, and enhance women’s or with economic capital (e.g. credit) nizations (NGOs) have increasingly influence in household decision-making for investment in (new) FTA value- acknowledged gender gaps – particularly and bargaining power (Banye, 2012; Greig, chain activities and to sustain

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enterprises during initial phases of • “Out of the box” interventions can and the number of women and men par- process or product upgrading. address difficult-to-change gover- ticipating in a chain) and sociocultural • Collective action and self-help groups nance and political contexts. For metrics (e.g. women and men’s perceptions are often effective in stimulating example, rules on land ownership of changes, roles and social acceptability). change but need substantial initial were circumvented when an inter- Our review suggests that participation support from local institutions and vention or project encouraged women in FTA value chains is gendered not only leaders as well as intervening projects to use marginal and barren lands to because of the sociocultural, economic, and programmes. grow and market new agroforestry governance, political, institutional and • Increasing women’s benefits through products. environmental contexts but also because of interventions can have both positive • Pilots and demonstrations that (for other factors of social differentiation, such and negative short-term sociocultural example) involve unprecedented as education, age and ethnicity. Gendered repercussions. female leadership in FTA value- constraints on women’s participation in • Interventions with a combination of chain activities can support change and benefits from FTA value chains occur vertical and horizontal upgrading are by demonstrating the possibility of mainly due to sociocultural, political, eco- most successful. new gender relations in value chains, nomic and environmental factors. The • Raising awareness of the position of and the benefit of these. influence of each factor varies depending women and subsequently empowering • A “gender-sensitive” approach in on the product, geographic region and them through training, technology, interventions can be a crucial criterion cultural setting. “Gender” is often used increased negotiating capacity, busi- for success. It must go hand-in-hand in the literature as shorthand for a focus on ness skills development and market with well-selected beneficiaries and women in FTA value-chain interventions information are common strategies intervention partners and the devel- rather than on relations between women for enabling both women and men opment of the gender-mainstreaming and men. Men were cast in a negative light to implement their own successful capacities of implementing agencies. in some studies; for there to be positive upgrading initiatives. prospects for gender-equitable and sustain- • Few studies predicted any gen- CONCLUSIONS able outcomes, however, the impacts on dered impacts of their interventions; The absence of gender-disaggregated data both women and men, and the ways such generally there was only ex-ante on male and female activities higher up in impacts interact, should be addressed in documentation of impacts. Some FTA value chains is notable in the reviewed value-chain interventions. impacts differed from the aims of literature; rather, the focus is on harvest- These findings suggest that future the interventions. ing and primary processing in developing research and interventions should pay • Women are disadvantaged by gen- countries. Few of the reviewed studies more attention to the following four areas: eral societal factors that hinder their mentioned the gender-disaggregated 1. The long-term impacts of inter- ability to operate effectively in value impacts of interventions on the sustain- ventions on gender relations for chains, compared with men. The most ability of the resource – that is, the species participation in and the benefits frequently mentioned factor was or ecosystems that ultimately supply the derived from FTA chains. Such women’s unequal access to education, FTA products. Most studies did not include impacts need to be monitored and resulting in lower levels of literacy. a baseline situation, making it difficult to evaluated and could also be predicted • Interventions to introduce labour- compare the “before” and “after” situations before interventions (e.g. by using saving technologies (e.g. nut-cracking in value-chain interventions, particularly intervention logics developed in a machines, mills, cultivation to reduce for projects spanning long periods. The participatory way with value-chain forage time, energy-efficient stoves, majority of studies reported on a short actors). Effecting real change, for and biogas plants) were notable in period, often during or directly after an example in customs and tenure, takes freeing up women’s time and thereby intervention, and few examined changes in time; policy-makers, the private sec- enabling them to engage in higher- gender relations over a longer time scale. tor, development practitioners and the value activities, upgrading and other In the reviewed studies, interventions often research community should under- economic activities. had a strong female bias, most notably in stand this and not expect short-lived • Regulations that counter discrimi- the shea and apiculture product chains, in interventions to bring about enduring nation and support collective action which men were excluded to the advantage change. and equal labour rights can help set of women. Indicators of successful gender- 2. Greater understanding of the a foundation for more equal gender equitable interventions need to include impact of single-sex bias in inter- relations. both economic metrics (e.g. profit, revenue ventions. For example, if women are

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supported, what are the impacts on Banerjee, D., Klasen, S. & Wollni, M. 2014. Helmsing, A.H.J. & Vellema, S., eds. 2011. men, and what longer-term changes in Market discrimination, market participa- Value chains, inclusion and endogenous societal and market dynamics might tion and control over revenue. A gendered development: contrasting theories and reali- this bring about? analysis of Cameroon’s cocoa producers. ties. Abingdon, UK, Routledge (Taylor & 3. The impact of gender on product 2nd Global Food Symposium. Göttingen, Francis Group). and resource sustainability. For Germany. Ingram, V., Waarts, Y., Ge, L., van Vugt, S., example, do women and men man- Banye, E. 2012. Adding value to women’s Wegner, L., Puister-Jansen, L., Ruf, F. & age the wild and cultivated resources savings groups through cooperative devel- Tanoh, R. 2014. Impact of UTZ certification used in value chains differently, and opment. SNV Netherlands Development of cocoa in Ivory Coast assessment framework do interventions affecting roles and Organisation. and baseline. Den Haag, the Netherlands, benefits in chains influence this? Barrientos, S. 2013. Gender production net- LEI Wageningen University and Research. 4. Indicators of impacts. Pragmatic, works: sustaining cocao-chocolate sourcing International Institute of Tropical Agri- easy-to-use indicators are needed to in Ghana and India. Brooks World Poverty culture. 2006. Women cocoa farmers in set pre-intervention baselines and Institute. Ghana have something to smile about! STCP measure the economic, social, envi- Bolwig, S., Ponte, S., du Toit, A., Riisgaard, L. Newsletter, 15: 6. ronmental and governance impacts of & Halberg, N. 2008. Integrating poverty, Kabeer, N. 2005. Gender equality and women’s FTA value-chain interventions. Ideally, gender and environmental concerns into empowerment: a critical analysis of the third such indicators would also enable value chain analysis: a conceptual frame- Millennium Development Goal. Gender & comparisons between FTA chains work and lessons for action research. Development, 13(1): 13–24. in different geographical regions. Copenhagen, Danish Institute for Interna- Keane, J. 2008. A ‘new’ approach to global tional Studies. value chain analysis. London, Overseas ACKNOWLEDGEMENTS Coles, C. & Mitchell, J. 2011. Gender and Development Institute. Economic Research, Wageningen agricultural value chains: a review of cur- Konaté, L. 2012. Creating competitive market University and Research, and the Center rent knowledge and practice and their policy models in Burkina Faso: the case of Nununa for International Forestry Research sup- implications. ESA Working Paper No. 11-05. Women’s Shea Butter Federation. Case ported this study. We are grateful for Rome, FAO. studies, Burkina-Shea, SNV. the support and literature provided by Elias, M. 2010. Transforming nature’s sub- Kumase, W.N., Bisseleua, H. & Klasen, S. colleagues in the CGIAR Consortium sidy: global markets, Burkinabè women and 2010. Opportunities and constraints in Research Program 6 on Forests, Trees and African shea butter. Dissertation. Montreal, agriculture: a gendered analysis of cocoa Agroforestry Livelihoods, Landscapes and Canada, Faculty of Graduate Studies and production in Southern Cameroon. Poverty Governance, including Esther Mwangwi, Research, McGill University. Equity and Growth Discussion Papers Andrew Wardell, Purabi Bose, Gisella Enete, A.A. & Amusa, T.A. 2010. Determi- No. 27. Georg-August-Universität Göttingen, Susana Cruz Garcia and Anne Degrande, nants of women’s contribution to farming Germany, Courant Research Center. and Jemberu Biru at Wageningen decisions in cocoa based agroforestry house- Laven, A. 2009. The power of value chains. University and Research. u holds of Ekiti State, Nigeria. Field Actions The Broker, 16: 13–21. Science Reports. The Journal of Field Mai, Y.H., Mwangi, E. & Wan, M. 2011. Actions, 4. Gender analysis in forestry: looking back Gereffi, G., Humphrey, J. & Sturgeon, T. and thinking ahead. International Forestry 2005. The governance of global value chains. Review, 13(2): 1465–5489. Review of International Political Economy, Mitchell, J., Keane, J. & Coles, C. 2009. 12(1): 78–104. Trading up: how a value chain approach Greig, D. 2006. Shea butter: connecting rural can benefit the rural poor. London, Overseas Burkinabè women to international markets Development Institute. through fair trade. Development in Practice, Perakis, S.M. 2009. Improving the quality of References 16(5): 465–475. women’s gold in Mali, West Africa: the case GTZ. 2007. ValueLinks manual. The methodol- of shea. Michigan State University. Baden, S. 2013. Women’s collective action ogy of value chain promotion. GTZ. Poudyal, M. 2009. Tree tenure in agroforestry in African agricultural markets: the Hatskevich, A., Jenicek, V. & Darkwah, S.A. parklands: implications for the manage- limits of current development practice for 2011. Shea industry: a means of poverty ment, utilisation and ecology of shea and rural women’s empowerment. Gender & reduction in northern Ghana. Agricultura locust bean trees in northern Ghana. Development, 21(2): 295–311. Tropica et Subtropica, 44(4): 223–228. University of York.

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Riisgaard, L., Escobar Fibla, A.M. & Sunderland, T., Achdiawan, R., in Ghana’s cocoa sector. London, Overseas Ponte, S. 2010. Gender and value chain Angelsen, A., Babigumira, R., Ickowitz, A., Development Institute. development. Copenhagen, Danish Institute Paumgarten, F., ReyesGarcía, V. & Waarts, Y., Ge, L., Ton, G. & van der Mheen, J. for International Studies. Shively, G. 2014. Challenging perceptions 2013. A touch of cocoa: baseline study of six Shackleton, S., Paumgarten, F., Kassa, H., about men, women, and forest product UTZ-Solidaridad cocoa projects in Ghana. Husselman, M. & Zida, M. 2011. Oppor- use: a global comparative study. World LEI report 2013-048. Wageningen, the tunities for enhancing poor women’s Development, 64(Supplement 1): S56–S66. Netherlands, LEI Wageningen University socio-economic empowerment in the value Traoré, K.M. 2002. Strengthening the techni- and Research. chains of three African nontimber forest cal and management capacities of women Wardell, A. & Fold, N. 2013. Globalisation products (NTFPs). International Forestry in the shea sector of Zantiébougou (Mali). in a nutshell: historical perspectives on the Review, 13(2): 136–151. International Workshop on Processing and changing governance of the shea commodity Sidibé, A., Vellema, S., Dembelé, F., Marketing of Shea Products in Africa. chain in Ghana. International Journal of the Traoré, M. & Kuyper, T.W. 2012. UTZ. 2009. The role of certification and pro- Commons, 7(2): 1–23. u Innovation processes navigated by women ducer support in promoting gender equal- groups in the Malian shea sector: how ity in cocoa production. UTZ Certified targeting of international niche markets Solidaridad–Certification Support Network. results in fragmentation and obstructs co- Vigneri, M. & Holmes, R. 2009. When being ordination. NJAS – Wageningen Journal of more productive still doesn’t pay: gender Life Sciences, 60–63: 29–36. inequality and socio-economic constraints

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Addressing forest degradation in a Small Island Developing State: a landscape approach in Comoros

H. Doulton, M. Mohamed, G. Shepherd, S. Mohamed, B. Ali and N. Maddison © DAHARI ©

A worker tends seedlings in a An initial focus on natural lthough Small Island Developing tree nursery at Adda, Anjouan resource management for States (SIDS) face many of the immediate local benefit while general challenges of develop- building an evidence base for Aing countries, it is recognized that they Such challenges are evident in Comoros, conservation is helping this project share specific characteristics that increase an archipelago in the Western Indian Ocean succeed where others have failed. both the complexity and severity of those and one of the poorest countries in the challenges. Various global assessments world (UNDP, 2014). The challenges are (e.g. United Nations, 2005) highlight their: especially evident in Anjouan, the coun- limited natural resources, which are under try’s poorest and mostly densely populated pressure due to high population densities; island: approximately 275 000 people live low institutional capacity; dependence on there, of whom more than 90 percent are international trade despite high costs and dependent on agriculture; the population Hugh Doulton, Misbahou Mohamed, Siti Mohamed and Badroudine Ali are with the difficulty of accessing markets because density averages more than 550 people Dahari in Mutsamudu, Comoros. of their isolation; and greater vulnerability per km2 and continues to rise. Guy, Yao Gill Shepherd is an advisor to IUCN’s to climate change due to the concentra- and Ibrahim (2015) estimated that Anjouan Commission on Ecosystem Management. Neil Maddison is with the Bristol Zoological tion of people and economic activities in lost 80 percent of its forest cover from Society. coastal zones. 1995 to 2014, and about 30 of 45 formerly

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permanent rivers on the island have for impoverished Comorians, who risk the vicious cycle of poverty and natural become intermittent in the 40 years since their lives to enter the island illegally. resource degradation, as illustrated in decolonization (ECDD, 2012). Efforts to Since 2013, the Comorian non- Figure 1. Agriculture is largely extensive, develop natural resource management governmental organization (NGO) Dahari using techniques that are often poorly are complicated by very low institutional (“Sustainable”)1, which grew out of the pro- suited for conserving soil fertility on steep capacity at all levels. ject “Engagement Communautaire pour slopes, thus pushing farmers further up Two factors differentiate Comoros and le Développement Durable” (Community the slopes to cut new fertile fields. Natural particularly Anjouan from many other Engagement for Sustainable Development, resource management efforts are compli- SIDS. First, rather than low-lying, the ECDD), has been working with Comorian cated by a breakdown in social cohesion islands are composed of extremely steep communities to shape sustainable and and traditional governance structures at volcanic slopes. Heavy deforestation has productive landscapes. Dahari’s core the village level, as well as by weak state therefore led to severe erosion, resulting interventions address rural development, capacity. in topsoil loss and the silting of coastal terrestrial natural resource management From the start, Dahari’s interventions reefs. Second, the island of Mayotte, and biodiversity conservation. have attempted to tackle these problems 60 km from Anjouan, remained under The overall aim of Dahari’s work is two- as an interdependent whole through the the control of France at independence fold: 1) to improve the economic conditions adoption of an integrated landscape man- in 1975 and became the 101st depart- of rural Comorians; and 2) to protect the agement approach. ment of France in 2011 (although the remaining natural resources and endemic Government of Comoros still contests its biodiversity. Dahari is attempting to break sovereignty). Because of heavy French 1 investment, Mayotte has become a magnet 1 www.daharicomores.org. The problems leading to deforestation in Anjouan

Extraction of timber for 1. Agriculture within the forest, with construction, and wood limited clearing and use of fallow to make charcoal

2. Agriculture involving more permanent clearing of forest for new fertile plots, but shortened or no fallow period

Extraction of fuelwood and wood for ylang ylang distillation

3. Soil fertility begins to decline in older plots where fallowing is no longer possible, but fertilizer is unaffordable

There is no alternative to agriculture for 90 percent of Comorians. The population density in Anjouan is more than 550 people/km2. Over 50 percent live below the poverty line. There is a lack of effective governance structures at all levels.

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METHODOLOGY/APPROACH Livingstone’s Flying Fox) for protect- previous projects, which gave out Dahari’s approach to achieving its goals is ing endemic biodiversity in Anjouan, agricultural inputs for free, leading to based on six principles, described below. notably the flagship Livingstone’s fruit skewed motivations for participation. 1. The initial priority was natural bat (Pteropus livingstonii), advocated The costs of collective management resource management in the context the creation of small areas of pro- projects are divided between the col- of economic development, rather tection. From the beginning, Dahari lective beneficiaries and Dahari, with than biodiversity conservation for its felt that the long-term protection of community contributions being made own sake. Prioritizing development biodiversity could only be secured if in kind, where possible. International enabled Dahari to gain the trust of the root problems leading to natural conservation funders and Dahari’s local communities and to identify resource degradation were tackled; ecotourism programme pay for bio- ways of improving their livelihoods therefore, a landscape-scale interven- diversity conservation activities. before looking at conservation meas- tion was chosen. 6. The intervention takes an adaptive ures that might impact negatively on 4. Dahari’s discussions with local management approach. Dahari’s livelihood opportunities. communities led it to believe that activities and approach are constantly 2. The initial participatory approach led most people were well aware of the being appraised and re-orientated to Dahari ceding too much power to problems they were facing because based on experience and the results the communities it was working with, of deforestation; people felt that the of studies that Dahari commissions and Dahari was caught in a web of loss of water resources and soil fertil- or undertakes itself. manipulation and interests at the vil- ity was markedly greater than that Dahari’s theory of change (Figure 2) and lage level, often a result of previous, experienced by the previous genera- these six guiding principles led Dahari to largely failed development intervention. Dahari decided that improving focus the majority of its work and resources tions. Dahari continues to look to access to water was more likely than in the past seven years on agricultural develop participatory decision-making environmental education to increase development, a focus that enabled it to structures but maintains a certain level support for conservation measures. of control to ensure that its interven- 5. Who pays for activities depends on tions achieve community goals. who benefits. Activities that bene- 2 3. Previous proposals (e.g. the 2006 fit individuals are paid for by those Simplified theory of change supporting Dahari’s current Conservation Action Plan for individuals – in contrast to several and planned interventions

Long-term impact: Anjouan's water resources and endemic biodiversity are conserved

Assumption: Medium-term The forest underpinning Anjouan's water and Village and island outcome biodiversity services is protected governance arrangements support forest protection

Upland and lowland farming systems are Wood for cooking, charcoal and Key areas are Immediate sustainable and profitable and do not ylang ylang distillation can be restored and outcomes require further forest clearing produced sustainably on-farm managed sustainably

Outputs There is Farmers Farmers adopt Farmers in collaboration Community are trained payment scheme upland areas with ylang structures in climate- for maintaining adopt improved ylang actors lead the Driver: smart lowland trees in key agroforestry on targeted reforestation of Greater market agricultural biodiversity practices reforestation to priority sites profitability makes intensification areas intensification of serve distilleries farming worthwhile

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A Dahari technician leads a participatory forest management planning exercise on Anjouan © DAHARI ©

concentrate on improving livelihoods in and crop associations according to the these types of collective projects, a result a way that reduced pressure on natural principles of no-till farming; and improved of the social structures of the villages. resources. Dahari first worked to improve crop varieties and better techniques for On the biodiversity front, Comoros the delivery of both revenue-generating their propagation. lacked basic ecological data to enable the and agro-ecological techniques that had On the natural resource management scientific identification of conservation already shown results in Comoros: mar- front, the protection of water resources priorities; from 2009, therefore, Dahari ket gardening for trade; the installation was used as an entry point for wider forest undertook a wide programme of forest of anti-erosion bunds and plot hedging; management. An initial hydrogeological mapping and biodiversity surveys on the the distribution of improved food-crop study commissioned by Dahari and AVSF islands of Grande Comore, Mohéli and varieties; improvements in the integration identified the loss of mist forest in the Anjouan. The challenge now is to integrate of livestock management and agriculture; highlands – which international studies these ecological data with social realities. and techniques for improving soil fertil- suggest can add as much as 20 percent In areas that are important for biodiversity ity. Training was delivered initially on an to water retention – as the proximate but of less tangible value for the provi- individual basis but is now given through cause of water loss, although the study sion of ecosystem services that directly farmer field schools, with the long-term also suggested that enough water could benefit Comorian communities, a logical aim of developing cooperatives. still be made available to the popula- and practical approach has been to develop From 2012, and with the support of tion if delivery networks were improved a payment system for ecosystem services. international partners (first Agronomes (Charmoille, 2012). Dahari is working with farmers to develop et Vétérinaires Sans Frontières – AVSF Dahari worked with five communities strategies that will support biodiversity – and then Centre International pour to improve piping systems for delivering conservation in the long term, based on la Recherche Agronomique pour le drinking water, identified highland sources the understanding that opportunity costs Développement – CIRAD), the project with potential to provide water for agri- should be met by conservation funders, has introduced to Comoros innovations culture, and developed irrigation sites. A including partner zoological societies that that have proved successful elsewhere in constant challenge throughout has been hold Livingstone’s fruit bat – a Comoros the region. These include improved cattle the difficulty of identifying or creating species that Dahari studies have shown is stalls; drip irrigation; improved rotations village institutions capable of managing under severe threat – in their zoos.

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3 Images from Google Earth of part of Dahari’s intervention zone 17.127'S and 44° 29.712'E; 2003 (left) and 2015 (right), illustrating the impact of hedging and bunding © GOOGLE EARTH

RESULTS of these loans require beneficiaries to give form part of all Dahari’s agricultural Agricultural development back, within two years, 1.5 times the num- interventions, with farmers trained to Dahari’s efforts towards agricultural devel- ber of cuttings they received, to be passed plant across contour lines and to develop opment are focused on improving yields on to other farmers. Figure 3 shows the ridges to protect root crops. Integrating in fields lower down the slopes to reduce impact of this approach on the landscape. livestock management with agriculture is pressure on upland areas, where most of Other agricultural support is focused on another key way of improving fertility in the remaining forest is situated. The first improving the yields of food crops essen- the long term: farmers with cows or goats step is to re-establish the fertility lost due tial for food security – with excess sold in are supported to improve their productivity to soil erosion and the failure of agricul- local markets – and increasing revenues by introducing improved forage species tural techniques to adapt to change, such from market-garden crops while reducing and installing improved cattle stalls that as increased population density. Hedges the overuse of chemical fertilizers and capture rainwater and facilitate manure and anti-erosion bunds composed of fast- pesticides that have negative impacts on management. growing tree species have been established, soil fertility in the long term and leach Additional techniques for improving with cuttings provided as loans; the terms into water supplies. Anti-erosion measures the yields of food crops include the use

1 200 Cattle stalls

Food crops

1 000 Potato crops Market gardening

Hedging and 800 bunds

600

No. of beneficiaries 400

200

4 Number of beneficiaries of 0 various agricultural 2009 2010 2011 2012 2013 2014 campaigns since the start of intervention

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Livingstone’s fruit bat – a critically endangered species in Comoros of organic compost and the provision of seed varieties of bananas, manioc and yam – grown in Dahari’s two agricultural centres – that produce higher, faster yields than existing varieties. As for hedge cuttings, farmers must give back a quantity of the improved seeds within one year to be passed on to other farmers. Support for market gardening is provided in the form of training and the delivery of high-quality seeds and other agricultural inputs. A network of entrepreneurs selling agricultural inputs has been developed throughout the intervention zone, with Dahari importing seeds and potato tubers. Figure 4 shows the number of beneficiaries of agricultural campaigns over the intervention period. The agricultural revenues of a subset of 50 beneficiaries have been monitored since January 2014 to evaluate more closely the impact of these actions on livelihoods. By the beginning of 2016, 48 percent of this subset had increased their agricultural revenues by 25–750 percent.

Natural resource management Early on in Dahari’s intervention, communities identified water as the key ecosystem service; conserving water supplies is thus an important mechanism for motivating people to support natural resource management. Dahari worked initially to improve the drinking-water supply for five villages while supporting reforestation around rivers and water collection points. Efforts expanded to tapping upland water sources MORGAN © JAMES to develop agricultural irrigation. Members of the communities undertook all manual work without payment, and further community contributions were made in the form of building materials and small individuals engaged in the long-term place community-managed tree nurseries amounts of money. future of their communities to manage for replanting programmes that began at Building on the lessons learned about the and reforest water catchment areas. Dahari the end of 2015. The strategy for rollout is complexity of delivering collective man- has mapped out three water catchment that visible success on a small scale will agement projects, Dahari is now focusing areas with local communities, discussed encourage people to look at wider forest on supporting committed and influential management actions with them, and put in protection.

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Dahari technician Inzou Biodiversity conservation implementing a conservation programme: (right) teaches a technique to village outreach agents Dahari concentrated initially on develop- the Anjouan scops owl population was ing an evidence base for conservation in found to be much larger than previously Comoros. Forest maps based on satellite reported, leading to a recommendation for images were produced to help in under- the downgrading of its conservation status underway with relevant landholders, many standing the extent of the forest resource to “endangered”. On the other hand, the of whom are already being supported in and to provide a baseline for monitoring Livingstone’s fruit bat was found to be their agricultural development. change; field surveys enabled the develop- under great threat, leading to a recom- ment of distribution models of key taxa mendation for the upgrading of its status Integrating results into a landscape to identify biodiversity hotspots and spe- to “critically endangered”, which was management system cies under particular threat; and detailed subsequently achieved. Figure 5 illustrates Dahari’s activities in population and distribution studies were Dahari is now developing its first conser- Ouzini, one of the prioritized upland vil- conducted on the endangered Livingstone’s vation programmes around the protection lages. Discussions and planning sessions fruit bat and the critically endangered of roost sites of the Livingstone’s fruit bat. in this community and others showed that Anjouan scops owl (Otus capnodes).2 A payment scheme for ecosystem services attempts to develop large-scale manage- The work showed the importance of is being developed to compensate farm- ment plans as a participatory guide for undertaking detailed research before ers for changing their land-use practices; intervention would not be successful due European zoos and conservation funders to low local capacity and cohesion. The 2 The results of this work are available at: www.ecdd have been approached to provide long-term approach is thus activity-focused, with dif- comoros.org/resources/reports-and-publications financing for the scheme. Discussions are ferent intervention programmes planned

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separately with relevant members of each of villagers, who felt that their needs • A desire to tackle the root causes of community (either individually or in small were not prioritized. Foregrounding problems means that interventions cohesive groups). As natural resource man- natural resource management for must take place at the landscape scale. agement actions progress, the aim is to immediate local benefit while build- This is the only way of achieving sus- mobilize more villagers around this work ing an evidence base for conservation tainable outcomes in Comoros, but it and to undertake wider landscape manage- has avoided these issues. requires long-term investment. ment planning exercises to draw results • In the context in which the interven- • Breaking the poverty–deforestation together into long-term plans managed by tion is taking place, “participation” cycle, rather than environmental edu- local community groups. has often led to the creation of ille- cation, has been the key to getting gitimate community bodies whose conservation buy-in from villagers, DISCUSSION members are adept at siphoning off who talk nostalgically of a time when This is the first time that a landscape the benefits of “development” to a there was more forest, greater produc- management approach has been applied small subset of the community. The tivity, more water, and more wildlife. in Comoros, and the strong pressure on in-depth knowledge of Dahari’s field • Dahari spent a long time working to agricultural land and natural resources, technicians of community structures avoid the mistakes of previous inter- coupled with low institutional capacity, and individuals, as well as the learn- vention models, which paid people has brought major challenges. Although ing gained from various collective to work on collective projects and the work is far from complete, Dahari’s projects, has enabled the identification even for activities in their own fields success to date can be traced to its original of local leaders to support in collec- but achieved long-term impacts only philosophy of intervention. The key ele- tive work, while at the same time rarely. The best (and possibly only ments are as follows: maintaining a level of control over sustainable) way of ensuring that • Previous interventions in Comoros interventions to ensure they achieve beneficiaries are committed and will with conservation aims lost the trust their own end goals. maintain activities is to convince them

5 Activities forming a landscape management approach illustrated for the village of Ouzini, including plots supported by Plots supported by Dahari Irrigated perimeter Threatened species distribution the ECDD project from 2009 to 2013 Plots supported by ECDD Improved water pipes Water management and reforestation area (red) and those Pteropus livingstonii roost site Landslide protection zone supported by Dahari

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Dahari ecological technician Ishaka looks for owls at dusk on Anjouan, Comoros

the UK Government’s Darwin Initiative, l’Agence Française de Développement, the Global Environment Facility and the United Nations Development Programme through the Programme of Work on Protected Areas (all ECDD), the European Union, the Critical Ecosystem Partnership Fund, and the French Embassy in Comoros (Dahari). u

References

Charmoille, A. 2012. Ebauche du fonctionne-

© DAHARI ment hydrogéologique de l’île d’Anjouan (Comores). Community Engagement for to invest their own time and resources, Other activities being explored in the Sustainable Development project. even if this slows implementation. medium term include tackling poor health ECDD. 2012. Déboisement et tarisse- • Testing interventions, undertaking outcomes and increasing access to family ment des rivières à Anjouan. Etude studies, evaluating their effectiveness planning services; improving education bibliographique. Community Engagement and reformulating or abandoning services; improving marine management to for Sustainable Development (ECDD) those that have failed have been revitalize reef systems and restock coastal project (available at: www.ecddcomoros. essential parts of the process. fisheries; and increasing revenues from the org/wp-content/uploads/2012/06/Fernandez- cash crops of ylang ylang essence, cloves M.-Tarissement-des-rivi%C3%A8res-sur- OUTLOOK and vanilla. Anjouan.pdf). In searching for a holistic approach that Such challenges might seem beyond the Guy, B.B., Yao, T.B. & Ibrahim, M. 2015. tackles the various pressures on land- remit of a conservation-led organization, Changements de la couverture forestière scapes, Dahari is working with partners but it may be the only way of achieving dans l’île d’Anjouan entre 1995 et 2014. to explore a variety of new interventions long-term sustainability in Comoros. Proceedings SAGEO (available at: http:// in line with its theory of change (Figure 2). ceur-ws.org/Vol-1535/paper-14.pdf). A detailed study on wood use is being ACKNOWLEDGEMENTS UNDP. 2014. Human development report 2014. undertaken with the aim of identifying The authors thank the full team of both United Nations Development Programme ways of reducing the extraction of timber the ECDD project and Dahari for their (UNDP) (available at: http://hdr.undp.org/ and woodfuel from old-growth forest. contributions to the work summarized sites/default/files/hdr14-report-en-1.pdf). The export of market-garden crops to the in this article, including Ihsane Lahlou United Nations. 2005. Report of the International capital Moroni and to Mayotte is being and Anne-Gaëlle Borg for contributions Meeting to Review the Implementation of the developed as a way of providing produc- to the figures; they also thank all key Programme of Action for the Sustainable ers with a stable and substantial increase international and local partners, particu- Development of Small Island Developing in revenues; one approach could be to tie larly the Durrell Wildlife Conservation States, Port Louis, Mauritius, 10–14 January contracts for such markets with the sustain- Trust and the Comorian Government. The 2005 (available at: www.un.org/ga/search/ ability of farmer practices. main funding for the work is provided by view_doc.asp?symbol=A/CONF.207/11). u

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Using gums from Argentinian native forest species in the food industry

J. Fava, G. Arbeletche, D. Barbosa, S. Habib, L. Wlasiuk, J.P. Moro, D. Polotto and C. Résico

The sustainable extraction of rgentina’s forest regions host a Among the wide diversity of non-wood natural edible gums has the wide diversity of species for non- forest products (NWFPs), gums of plant potential to provide local people wood uses, many of which are origin are of great importance worldwide with reliable employment in Abarely used. As a result of the enactment because of the variety of uses they have in native forests. of National Law No. 26.331 on minimum the manufacturing, chemical, pharmaceuti- standards in the environmental protection of cal and food industries. native forests, major efforts are being made Natural gums can be extracted from to promote the multiple use of native forests land or aquatic plants and from micro- Joaquín Fava, Guillermina Arbeletche, and to reverse land-clearing in the face of organisms. They are highly polymerized Darío Barbosa, Sebastián Habib, an advancing agricultural frontier. Forest- Liliana Wlasiuk, Juan Pablo Moro, Daniela Polotto and Cristina Résico are with based employment has increased in recent A dwelling in a community of the National Programme of Non-wood Forest years, highlighting the economic benefits Wichi people in Parque Chaqueño, Products (Programa Nacional de Productos generated by well-managed forests and Department of Rivadavia, Forestales No Madereros), Directorate of Province of Salta, Argentina. Forestry, Secretariat for the Environment and their potential to contribute to sustainable A natural gum industry could Sustainable Development, Argentina. development and promote food security. provide reliable employment for local people in the region © DANIELA POLOTTO

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carbohydrates – insoluble in alcohol and other organic solvents but highly soluble in water. Natural gums are also known as hydrocolloids because they behave like hydrophilic colloids, which have the ability to form viscous gels or solutions when combined with an appropriate solvent. They are composed of monosaccharides linked by glycosidic bonds, which may or may not have branches. Gums differ from natural resins in their composition and solubility (Whistler and Daniel, 1985; Whistler, 1973). The food-processing industry has a high demand for gums of plant origin for their role in controlling the textural properties of foods and increasing shelf life. The physical properties of natural gums mean that many can be used as thickening, stabilizing and emulsifying agents (Considine and Considine, 1983; Pasquel, 2001). Gums obtained from tree species can be extracted from seeds: examples are galactomannans like guar gum, derived from the seeds of Cyamopsis tetragonolobus, and locust bean gum, derived from Ceratonia siliqua. Gums can also be obtained from trunk and branch exudates, such as gum arabic from an exudate of Acacia senegal, gum tragacanth from Astragalus gummi- fer, and gum karaya from Sterculia urens (Verbeken, Dierckx and Dewettinck, 2003; © DANIELA POLOTTO © DANIELA Pasquel, 2001). Natural gums are used mainly in the food industry as food additives, where they perform a technical role in the food preparation process. Food additives are classified according to their function Brea gum is collected from and are assigned an INS [International processing for innovative applications in Cercidium praecox. It has multiple uses in the food industry Numbering System] number that can be the food industry (e.g. chemical sciences searched in the Codex General Standard for and food engineering). Specifically, in Food Additives (Codex STAN 192-1995). this article we identify those species in The overall objective of the study Argentina’s native forests from which gums METHODOLOGY reported in this article was to collect may be derived for use as food additives, To identify species that produce gums and consolidate information generated in about which there is sufficient knowledge with potential use as food additives, we various scientific disciplines contribut- to develop projects that incorporate their reviewed the proceedings of scientific ing to knowledge on the sustainable use use and application in the food industry. meetings on food and international food of species for gums (e.g. the biological In addition, we present information on the science and technology held in Argentina sciences, forestry and agricultural engi- phenological characteristics of those spe- in the past ten years. Based on the papers neering); employment in native forests (e.g. cies, their distribution by province, and the found, the search was expanded to national economic and social sciences); and gum harvesting and processing of their gums. and international scientific publications.

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The Catalogue of Vascular Plants of the in high densities in burnt, cleared or aban- 100–300 g of gum per year, with most Southern Cone (Zuloaga, Morrone and doned areas. The main use of the species gum production occurring in spring and Belgrano, 2008) and the website avail- is for the water-soluble gum exuded by its summer. Brea gum production in the able at www.darwin.edu.ar (accessed trunks and branches when cut (accidentally central-east region of Chaco Árido varies December 2014) were consulted for the or intentionally). The plant secretes this greatly between individual trees, sites and nomenclature and distribution of the gum, known as brea gum, as a mecha- site conditions (von Muller, Coirini and species. nism for healing wounds. The exudate Karlin, 2010). Most of the gum produced For each species, the state of knowledge can be induced by making 1–3 incisions is obtained from individuals 5–20 cm in was noted on the methods for obtain- 1.5 cm deep; gum exudation begins within diameter at breast height (Coirini, Karlin ing and processing various gums, their 15–30 days and gum is collected manually and Reati, 2010). physical and chemical characteristics, and after some weeks. The exudate is puri- possible applications in the food indus- fied by a simple process of dissolving it try. The Código Alimentario Argentino in water, then drying and grinding it into Specimens of Cercidium praecox, (Argentine Food Codex – CAA) was a fine powder. An adult tree can secrete an abundant species in the Parque consulted to determine which products Chaqueño forest region, Argentina obtained from the various species were included in it.

RESULTS Gums obtained as exudates from terrestrial plants Cercidium praecox Cercidium praecox has two subspecies that produce gums as exudates: 1. Cercidium praecox (Ruiz and Pav. ex Hook.) Harms ssp. praecox (“brea”), in the provinces of Catamarca, Chaco, Córdoba, Formosa, Jujuy, Salta, Santiago del Estero, Santa Fe, San Luis and Tucumán; and 2. Cercidium praecox (Ruiz and Pav. ex Hook.) Harms ssp. glaucum (Cav.) Burkart & Carter (“brea”), in the provinces of Catamarca, La Pampa, La Rioja, Mendoza, Neuquén, Río Negro, Salta, Santiago del Estero, Santa Fe, San Juan, San Luis and Tucumán (Zuloaga, Morrone and Belgrano, 2008). Cercidium praecox is a tree that reaches 3–8 m in height. The glaucum subspecies is smaller than the praecox subspecies and adopts shrubby forms. Cercidium praecox has compound leaves and yellow flowers 1–2 cm in size, which occur in clusters. The fruits are dehiscent pods with 2–5 seeds. The tree has a smooth bark and a texture POLOTTO © DANIELA that is grainy to the touch and light green. The species reproduces through seed mul- tiplication. It behaves as a colonizer in degraded areas, and it commonly occurs

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Brea gum is composed mainly of in the bark of the trunk and branches and 2. Gleditsia amorphoides (Griseb.) polysaccharides with a high percentage eventually hardens into amber tear-shaped Taub. var. anacantha, Burkart of protein; it has similar structural and drops and nodules (Giménez and Moglia, (“espina corona”) in the provinces functional characteristics to gum arabic, 2003). Gum production increases when of Formosa and Misiones (Zuloaga, and it is used as a thickener, gelling agent, the trees are subject to high temperatures Morrone and Belgrano, 2008). emulsifier and stabilizer (Castel et al., and water stress (Vilela and Ravetta, 2005; Gleditsia amorphoides is a legumi- 2012). In one experimental application, Lima, 1994). Natural yields can remain nous tree of 12–15 m in height, with a the incorporation of Lupinus mutabilis (a constant even if the number of wounds straight trunk and branches with large protein-rich South American lupin) into increases, and it has been observed that ramified needles up to 8 cm in length. fresh breads was supplemented with brea exudate production is associated with fun- It has small, light-green flowers that are gum to help maintain rheological proper- gal infection. Various chemical treatments bundled together in clusters. The fruits ties; the resultant bread had a high content have also been effective in increasing gum are 8–12 cm long by 2–3 cm wide, and of essential amino acids but otherwise production (Tewari and Harsh, 1998). Some they bear albuminous brown seeds that similar characteristics to traditional bread studies of other Prosopis species indicate are 10–12 mm long by 7–8 mm wide (López, 2014). Brea gum is listed in the that young trees produce less exudate; and contain galactomannans as a reserve CAA in Article No. 1398 of Chapter XVIII, mature trees produce an average of 1 kg material. G. amorphoides is a mesoxero- Section No. 72.1, as a thickener, stabilizer of gum per year (with the production of file species that occurs in the wetter areas and emulsifier. individuals ranging from 0.25 to 2.5 kg). of Parque Chaqueño (Tortorelli, 2009). For extraction and purification, the col- It was first studied when searching for Prosopis alba lected gum is dissolved (20 percent weight binder compounds that could replace the Prosopis alba has two varieties that pro- to volume) in hot water (at 75 °C) for one locust bean gum used in the food industry. duce gums as exudates: hour and the solution clarified by filtration, An interdisciplinary group consisting of 1. Prosopis alba Griseb. var. alba frozen at -18 °C and lyophilized. White botanists, chemists and food scientists (“white carob tree”), in the provinces carob gum shows similar physical and found “espina corona gum”, which can of Buenos Aires, Chaco, Córdoba, chemical characteristics to gum arabic, function as a thickening or gelling agent; Corrientes, Entre Ríos, Formosa, although gum arabic has a higher protein after performing a physical–chemical Jujuy, Salta, Santiago del Estero, Santa content, which may affect functional prop- characterization, the group successfully Fe and San Luis; and erties. The tannin content (a recognized tested its incorporation into food produc- 2. Prosopis alba Griseb. var. panta indicator of toxicity) of white carob gum tion (Rothman and Riqué, 1959). Espina Griseb. (“white carob tree”), in is lower than that found in other botani- corona gum is listed in the CAA in Article the provinces of Chaco, Córdoba, cally related species (Vasile, Judis and No. 1398 of Chapter XVIII, Section No. 73, Corrientes, Entre Ríos, Jujuy, Salta, Mazzobre, 2012a). as a thickener and stabilizer. Santa Fe, San Luis and Tucumán White carob gum has antioxidant and Espina corona gum is obtained by grind- (Zuloaga, Morrone and Belgrano, emulsifying properties. Satisfactory results ing the endosperms (free of germs and 2008). have been obtained from efforts to encap- integument) of seeds. Several recent studies The white carob tree grows to 18 m sulate oils of high nutritional value and have been conducted on the rheological high and 1.5 m in diameter, with a grey to prevent their oxidative deterioration as a characterization and stabilization of emul- brown-violet bark. It has pinnate compound strategy for increasing shelf life and for use sions of espina corona gum and others, leaves and inflorescent spikes, and yellow- in the development of functional ingredi- including mixed systems of xanthan gum ish indehiscent fruits that are 12–25 cm ents (Vasile, Judis and Mazzobre, 2012b). and espina corona gum (Perduca et al., long and 1.2–2 cm wide, semispherical 2011; Ibarra et al., 2012; Perduca et al., and somewhat flat; the seed has a very Gums extracted from seeds of 2013a, 2013b; Masó et al., 2013). Some hard testa. The species is a heliophile, terrestrial plants results indicate a synergistic effect, thus mesoxerophile and xerophile (Tortorelli, Gleditsia amorphoides obtaining more viscous mixtures with fewer 2009). The flowers are meliferous. The fruit Gleditsia amorphoides has two gum- polysaccharides (Perduca et al., 2012). provides excellent fodder and can be used producing varieties: as a constituent in many foods and bever- 1. Gleditsia amorphoides (Griseb.) Taub. Prosopis ruscifolia ages, including flour obtained from milling var. amorphoides (“espina corona”) in Prosopis ruscifolia Griseb. (“vinal”) (Mom, 2014). The species produces a the provinces of Chaco, Corrientes, occurs in the provinces of Chaco, Córdoba, water-soluble glycopolysaccharide, “white Entre Ríos, Formosa, Jujuy, Misiones, Formosa, Salta, Santiago del Estero, carob gum”, which flows through wounds Salta and Santa Fe; and Santa Fe and Tucumán (Zuloaga, Morrone

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Wichi producers receive training on the sustainable use of brea gum in Morillo, Department of Rivadavia, Province of Salta, Argentina

Argentina in the Monte and Espinal and especially in the Parque Chaqueño forest region. Studies indicate functional similarities between: brea gum and gum arabic; white carob gum and gum arabic; espina corona gum and locust bean gum; vinal gum and guar gum; and vinal gum and locust bean gum.

CONCLUSIONS Basic and applied information on the distribution, phenological characteristics, periods and conditions of exudate production and fructification of the four species, and knowledge of gum extraction, purification and applications such as food additives, are essential for the sustainable use of these resources and the development of effective strategies for bringing the gums into domestic food production. The commercial use of these species

© DANIELA POLOTTO would generate reliable employment for local people in native forests, thus helping and Belgrano, 2008). It is a tree of up to has similar characteristics to locust bean reduce deforestation pressure. 14 m in height and 45 cm in diameter. A gum and can be used as a food additive Tests should be carried out at an indus- legume and heliofile, it takes the form of (Freyre et al., 2003). Busch, Santagapita trial scale on the extraction, purification, dense bushes called vinalares, and it can and Buera (2013) found some differences processing and use of tree gums as food grow in salty clay soils; it has potential as in the rheological behaviour of vinal gum additives. The value chains of each of the a pioneer species for forest restoration in and locust bean gum. Busch et al. (2014) species should also be assessed. u harsh environments. characterized the physical and chemical Prosopis ruscifolia has green to dark properties of vinal gum and found similari- brown twisted trunks and large straight ties with guar gum. Busch, Santagapita and solitary needles up to 35 cm in length Buera (2011) and Aguirre Calvo (2013) (but usually 10–15 cm). The leaves are examined applications of vinal gum as a compound and bipinnate. The fruits thickening agent and stabilizer. are compressed, yellowish red-violet, 12–18 cm in length and 2–4 cm in width. DISCUSSION Seeds are dark brown with a very hard Four tree species of the Fabaceae fam- References testa and up to 1 cm in diameter (Tortorelli, ily in Argentina’s native forests produce 2009). The fruits, which are available gums with potential use as food additives Aguirre Calvo, T.R. 2013. Encapsulación between November and February, have – Cercidium praecox (brea gum), Prosopis de licopeno empleando polielectrolitos. great nutritional importance for animals alba (white carob gum), Gleditsia amor- Influencia del secado y congelado sobre and humans, and they can be milled to phoides (espina corona gum) and Prosopis su estabilidad. Masters thesis. Facultad de produce flour. The seeds contain galacto- ruscifolia (vinal gum). These species are Ciencias Exactas y Naturales, Universidad mannan as a reserve material; “vinal gum” distributed in the centre and north of de Buenos Aires.

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Busch, V.M., Santagapita, P.R. & Buera, M.P. Lima, P.C. F. 1994. Comportamento Revista de la Sociedad Química de México, 2011. Aplicaciones de la calorimetría para silvicultural de especies de Prosopis, em 3(5): 379–391. caracterizar las transiciones térmicas de Petrolina-PE, Região Semi-Arida Brasileira. Tewari, J.C. & Harsh, L.N. 1998. Forestry semillas de vinal (Prosopis ruscifolia) y PhD thesis. Brazil, Universidade Federal research in arid tract of India. In A.S. Faroda sus potenciales aplicaciones tecnológicas. do Paraná. & M. Singh, eds. Fifty years of arid zone XIII Congreso Argentino de Ciencia y López, E.P. 2014. Influence of the addition research in India, pp. 307–322. Joghpur, Tecnología de Alimentos. of lupine protein isolate on the protein and India, CAZRI. Busch, V.M., Kolender, A.A., Santagapita, P.R. technological characteristics of dough and Tortorelli, L.A. 2009. Maderas y bosques & Buera, M.P. 2014. Caracterización fresh bread with added brea gum. Food argentinos. 2nd edition. Buenos Aires, fisicoquímica de goma extraída de semillas Science and Technology, 34(1): 195–203. Orientación Gráfica Editora. de vinal. V Congreso Internacional de Masó, I., Ibarra, G., Fochessatto, C., Ríos, S., Vasile, F.E., Judis, M.A. & Mazzobre, M.F. Ciencia y Tecnología de Alimentos, Córdoba, Farías, M.E. & Ramos, N. 2013. Evaluación 2012a. Encapsulación de aceite de pescado Argentina. de la viscoelasticidad de las mezclas de goma en cápsulas de polielectrolitos utilizando Busch, V.M., Santagapita, P.R. & Buera, M.P. espina corona y goma xántica. XIV Congreso goma de algarrobo blanco (Prosopis alba). 2013. Parámetros reológicos de la goma de Argentino de Ciencia y Tecnología de XIV Congreso Argentino de Ciencia y vinal (Prosopis ruscifolia). XIV Congreso Alimentos. Tecnología de Alimentos. Argentino de Ciencia y Tecnología de Mom, M.P. 2014. Harinas de algarrobo. Vasile, F.E., Judis, M.A. & Mazzobre, M.F. Alimentos. Estudios estructurales, funcionales y un 2012b. Purificación y caracterización Castel, V., Sponton, O., Andrich, O., Rubiolo, proceso para optimizar su elaboración y fisicoquímica de la goma exudada del A. & Carrara, C. 2012. Purificación y calidad. Editorial Académica Española. algarrobo blanco (Prosopis alba) del NEA. caracterización reológica de goma brea en Pasquel, A. 2001. Gomas: una aproximación a II Jornadas de investigación en ingeniería comparación con goma arábiga. IV Congreso la industria de alimentos. Revista Amazónica del NEA y países limítrofes. Internacional de Ciencia y Tecnología de de Investigación Alimentaria, 1(1): 1–8. Verbeken, D., Dierckx, S. & Dewettinck, K. los Alimentos. Perduca, M., Fioramonti, S., Rubiolo, A. 2003. Exudate gums: occurrence, production, Coirini, R.O., Karlin, M.S. & Reati, G.J. & Carrara, C. 2013b. Estabilización and applications. Applied Microbiology and 2010. Manejo sustentable del ecosistema de emulsiones con goma espina corona. Biotechnology, 63(1): 10–21. Salinas Grandes, Chaco Árido. Encuentro XIV Congreso Argentino de Ciencia y Vilela, A.E. & Ravetta, D.A. 2005. Gum Grupo Editor. Tecnología de Alimentos. exudation in South-American species of Considine, D.M. & Considine, G.D. 1983. Perduca, M., Spotti, J., Rubiolo, A. & Prosopis L. (Mimosaceae). Journal of Arid Foods and food production encyclopedia. Carrara C. 2013a. Caracterización reológica Environments, 60(3): 389–395. New York, USA, Van Nostrand Reinhold de emulsiones estabilizadas con goma espina von Muller, A., Coirini, R. & Karlin, U. 2010. Company. corona. XIV Congreso Argentino de Ciencia Woodland degradation effects on brea gum Freyre, M., Astrada, E., Blasco, C., y Tecnología de Alimentos. (Parkinsonia praecox) production. Arid Land Baigorria, C., Rozycki, V. & Bernardi, C. Perduca, M., Spotti, J., Santiago, L., Research and Management, 24(2): 152–163. 2003. Valores nutricionales de frutos de vinal Rubiolo, A. & Carrara, C. 2011. Whistler, R.L. 1973. Factors influencing gum (Prosopis ruscifolia): consumo humano y Características elásticas y de sinéresis de costs and applications. In R.L. Whistler & animal. Ciencia y Tecnología Alimentaria, geles mixtos carragenina – goma espina J.N. BeMiller, eds. Industrial gums. Second 4(1): 41–46. corona. XIII Congreso Argentino de Ciencia edition. San Diego, USA, Academic Press. Giménez, A.M. & Moglia, J.G. 2003. y Tecnología de Alimentos. Whistler, R.L. & Daniel, J.R. 1985. Árboles del Chaco Argentino. Guía para el Perduca, M., Spotti, J., Santiago, L., Carbohydrates. In O.R. Fennema, ed. Food reconocimiento dendrológico. Secretaría Rubiolo, A. & Carrara, C. 2012. chemistry. Second edition. New York, USA, de Ambiente y Desarrollo Sustentable, Propiedades viscoelásticas de sistemas Marcel Dekker. Ministerio de Desarrollo Social de la mixtos de goma xántica y goma espina Zuloaga, F.O., Morrone, O. & Belgrano, M.J. Nación. corona. II Jornadas de investigación en eds. 2008. Catálogo de las plantas vasculares Ibarra, G.J., Ramos, N.A.G., Ríos, R.S., ingeniería del NEA y países limítrofes del Cono Sur (Argentina, Sur de Brasil, Chile, Farías, M.E., Masó, I.G., Ferrari, F.I. & “Hacia dónde van la ciencia y la tecnología en Paraguay and Uruguay). II. Monographs Kramer, C. 2012. Evaluación del sinergismo el MERCOSUR”. Universidad Tecnológica in systematic botany from the Missouri entre la goma espina corona, la goma Nacional, Facultad Regional Resistencia. Botanical Garden, 107: 1905–1908 (available xántica y las carrageninas. IV Congreso Rothman, B. & Riqué, T. 1959. Las gomas at: www.darwin.edu.ar). u Internacional Ciencia y Tecnología de los galactomananos y la goma espina corona Alimentos. en la elaboración de productos alimenticios.

Unasylva 247/248, Vol. 67, 2016/2-3 45 © RECOFTC Getting the positives out of forest landscape conflicts

S. Kane, D. Gritten, L.M. Sapkota, Linh Thi Bui and A. Dhiaulhaq

Mediation is an effective way of he Asia-Pacific region is a hot- A conflict can arise when an actor feels achieving win–win outcomes. spot for forest landscape conflicts impaired or restricted by the behaviour (Gritten et al., 2013), which are of another actor with differing percep- Toften played out between local commu- tions, goals, values or interests (Lewicki, nities (including indigenous peoples) and Gray and Elliot, 2003). The impacts of outsiders such as government agencies and conflict can be both positive and negative. private companies. Increased competition Positive outcomes – such as reaching win– for limited natural resources, rapid socio- win agreements and improving resource political change, and expanding markets management via better collaboration – can for forest products and land have height- Seth Kane, David Gritten, Lok Mani Sapkota, ened tensions and intensified conflicts over Linh Thi Bui and Ahmad Dhiaulhaq are at Above: Villagers in Kampong Speu, RECOFTC – The Center for People and Forests, resource-use priorities (de Koning et al., Thailand, attend training on forest law Thailand. 2008). as part of a conflict-mediation process

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emerge if the conflict is managed appropri- TABLE 1. Description of the conflicts covered in research conducted in ately (Yasmi, Guernier and Colfer, 2009). 2012–2014 Potential negative impacts of conflict Case study Underlying causes Principal conflict actors include anxiety and fear, disharmony and Chiang Mai, Contested tenure rights Highland and lowland communities division among social groups, distrust, Thailand in watershed high costs, and environmental degradation Kampong Speu, Contested tenure, poorly regulated Rock-mining company and local (Gritten, Saastamoinen and Sajama, 2009; Cambodia private sector communities, including indigenous Patel et al., 2013). Severe conflicts over peoples resources can result in violence, resource Kampong Thom, Contested tenure, poorly regulated Rubber plantation company and Cambodia private sector local communities, including degradation, the collapse of local liveli- indigenous peoples hoods, and the uprooting of communities. Kanchanaburi, Contested tenure, top-down forest National park and local communities On the positive side, some conflicts can Thailand conservation efforts enhance collective action and increase Jambi, Contested tenure, poorly regulated Oil-palm plantation company awareness of those conflicts in affected Indonesia private sector and local communities, including communities; this may lead to pressure to indigenous peoples clarify tenure (Castro and Nielsen, 2001; Riau, Contested tenure, poorly regulated Pulp and paper company and local Indonesia private sector communities, including indigenous Hares, 2009). Additionally, some conflicts peoples lead to the increased participation of local See Dhiaulhaq, De Bruyn and Gritten (2015) for more information on these conflicts. people in forest landscape management, including through inclusive negotiation processes and enhanced learning opportu- finding was that, recognizing this potential, behaviour (including strategies and tech- nities (Castro and Nielsen, 2001). Conflicts research should be conducted on the use niques) can influence the conflict situation, can therefore be constructive by helping of mediation as a transformative approach the interactions among conflicting parties, increase understanding of the differing for addressing conflicts. This was the basis the parties’ motivations and expectations, perceptions of and competing needs for for the research reported here, which was and the mediation’s outcomes (Bercovitch natural resources and bringing urgency conducted at six sites in three countries in and Houston, 1993). to the development of appropriate and 2012–2014 (Table 1). The research methods sustainable solutions. included semi-structured interviews (314), Conflict transformation There are numerous methods for focus-group discussions (19), and an inter- Conflict transformation refers to an out- addressing conflict, including negotiation, national expert workshop. come, process and structure orientation that arbitration, adjudication and mediation. promotes long-term cooperative relation- The aim of this article is to examine the CONCEPTUAL AND ships (Reimann, 2004). Augsberger (1992), role of mediation as a tool for maximiz- ANALYTICAL FRAMEWORK for example, focused on changing attitudes ing the positive outcomes arising from Conflict mediation (including so that the parties come to view forest landscape conflicts. The article, Mediation is a process for addressing each other in a spirit of goodwill and which focuses on the Asia-Pacific region, conflict through the intervention of a mutual respect) and behaviours (focusing provides recommendations for scaling up third party (Wall, Stark and Standifer, on collaborative behaviour by, for example, and mainstreaming mediation and other 2001). The third party can be a mutually removing incompatibilities to enable the conflict transformation approaches. agreed individual, a team of mediators, pursuit of mutual gains). Lederach (1997) or an organization. A common role of a took this further, emphasizing changes not APPROACH mediator is to help the parties involved in only at the personal and relational levels The research reported in this article a conflict (“the conflict parties”) improve but also at the structural, institutional and builds on previous research conducted by their communication and reach a better societal levels, implying impacts beyond RECOFTC in 2009–2010, which provided understanding of their conflict situation the conflict site. In practice, conflict trans- an overview of forest landscape conflicts and, in so doing, help them identify and formation may include tools and processes in the region and used eight case stud- develop an agreement that meets the similar to those associated with conflict ies in six countries to examine how the interests and needs of all parties (a “win– prevention, management and resolution, conflicts were managed. One of the find- win” solution) (Engel and Korf, 2005). with an emphasis on obtaining the most ings of that research was that mediation, Although the conflict parties reach the positive outcomes from a conflict and where applied, appeared to be an effective final agreement themselves, the media- showing sensitivity towards issues of jus- approach for addressing conflict; another tor’s interventions, characteristics and tice and rights.

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RESULTS the conflict directly. When it persisted, addressing the conflicts due to the empha- Contested tenure and overlapping claims the conflict parties attempted direct sis it placed on strong social relations and over forests and land were prominent communication and negotiation but often empowerment in achieving agreement. At causes in all the conflicts studied, often failed to produce agreements; they then many of the sites, for example, improved exacerbated by a lack of coordination chose mediation. In all cases, the conflict social relations between the conflict par- among state agencies. The existence of parties entered mediation voluntarily. ties, and the increased confidence of local contested tenure reflects the fact that, in Non-governmental organizations (NGOs) communities in their rights and sense of much of the region, the state retains own- mediated four of the cases; in the two cases empowerment, were manifested in the ership of the land and largely adheres to in Cambodia, the conflict was mediated willingness of the local communities top-down decision-making in forest land- by the Provincial Division of the Forestry to invest in livelihood opportunities. In scape management. Increased demand for Administration, a government office. In all Kanchanaburi, for example, members of food, and hikes in commodity prices, have the cases presented here, and especially the local community were able to use the led governments to support agricultural in the Cambodian context, the mediators land for agriculture and other income- expansion, including by handing over land made significant efforts to be impartial and generating activities without disruption. claimed by local communities to compa- to openly address any risk of bias. This made them more confident in invest- nies as concessions. Consensual agreement was achieved ing time and money in their agricultural Our research found that, at all six sites, at all sites (Table 2). Mediation not only activities, and now they grow their crops mediation was not the first approach achieved agreement; it also had additional employed by the parties to address the positive perceived economic, social and conflicts. In some cases, the conflict par- environmental impacts that are directly A mediator presents information ties initially avoided efforts to address attributable to the use of mediation in on community forestry in Kampong Thom, Thailand © RECOFTC

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throughout the year, giving them a more the mediation process pursued in all cases DISCUSSION AND CONCLUSIONS stable and secure income. In the Chiang (Figure 1). The mediators believed that Our study found that mediation played a Mai case, the mediation led to the estab- their mediations obtained agreement partly crucial role in transforming conflicts in the lishment of a watershed management because they (i.e. the mediators) possessed cases examined. Such mediation was based committee that remains active. Among the requisite skills (e.g. facilitation) and largely on improving relationships between other things, the committee provides a worked as a team; they felt that the team the parties, which significantly increased platform for people from different villages aspect was important because of the levels of trust. The research also showed in the watershed to meet, communicate complexity of the conflicts. The mediators that reaching an agreement is dependent and address issues in an inclusive manner. acquired their skills and knowledge from on numerous variables, including the The research suggests that mediation their previous work and through training. commitment and participation of all the can work well for various types of forest Their confidence and strategies drew on conflict parties, trust by all parties in the and land conflicts, and even in high- previous experience, while formal training process, and the capacity and teamwork intensity contexts (including significant provided them with the analytical, plan- of the mediators. Additionally, the imple- violence, in the case of the conflict in ning, communication and management mentation of the agreement reached will Jambi). Numerous features contributed skills to facilitate the mediation process be at risk if institutions are not in place to the success of mediation. The research in a systematic and effective manner. The or existing institutions are insufficiently showed that the participatory nature of mediators felt unanimously, however, that incentivized or strong (i.e. do not have the mediation process was a key because mediators in their country required further the capacity) to respect, implement and it fostered a sense of belonging and trust capacity development, as well as a more monitor agreements. while ensuring inclusive solutions that are conducive environment for their work, The outcomes of the mediation largely acceptable to the conflict parties. This including increased understanding of the meet Augsberger’s (1992) criteria for trans- participatory orientation can be seen in value of mediation in addressing conflicts. formation. Lederach’s (1997) definition, however, would indicate that mediation as practised in these cases has limitations as TABLE 2. Agreements reached at case-study sites a tool for conflict transformation: in par- Case Conflict intensity; Agreement content ticular, it is restricted in its ability to deal mediation length with the underlying causes of conflicts, Chiang Mai, Medium; 6 years •• The Watershed Network Committee was specifically structural inequalities and Thailand established with representatives of all their manifestation in the formation and 23 villages in the watershed implementation of policies. This limitation Jambi, High; 6 months •• Villagers can manage the contested oil-palm Indonesia plantations is important because many conflicts over •• Villagers must sell the oil-palm bunches to the forests and land are ultimately policy- company, and the company will keep some driven. In the Kanchanaburi case, for part of the payment to cover costs accrued example, agreement was reached that the Kampong Speu, Medium–high; 3 years •• Company will stop clearing surrounding parts community could continue to live in the Cambodia of the community’s forest and land national park, but this has no legal stand- •• Villagers can continue to manage their forest ing because Thailand’s National Park Act Kampong Thom, Medium; 2 years •• Company will stop its operations in the two Cambodia affected community forestry areas (1961) strictly prohibits settlement and live- •• Company will reserve the forestland blocks lihood activities in national parks. Policy for community forestry, as requested by each changes will require long-term engage- community forest management committee ment and trust-building with government Kanchanaburi, Medium; 2 years •• Park officials and the community agree on offices in collaboration with NGOs at the Thailand rules and regulations about forest utilization subnational and national levels, which is •• Agreed boundary demarcation typically beyond the scope of mediators. Riau, Medium; 2 years •• Compensation to be paid to community Indonesia members for the land planted by the company A key determinant of the impact of medi- •• The contested land will be categorized ation is the mediators themselves – their according to uses (i.e. community-based skill, and how they perceive their roles in forest management, oil-palm plantation and the mediation and the outcomes for which rubber plantation) that can accommodate the demands of both parties they are striving. Inexperienced mediators See Dhiaulhaq, De Bruyn and Gritten (2015) for more information. High-intensity conflicts involved physical may downplay the sustainability dimen- violence; violence was not present in medium-intensity conflicts. sions of agreements or underestimate the

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Pre-mediation

•• Monitor the 8 1 •• Prepare for entry implementation of Monitoring •• Approach stakeholders Social preparation the agreement and evaluation •• Build trust •• Evaluate the progress •• Understand the issues and of implementation local culture

2 •• Identify the key stakeholders •• Develop plan for 7 implementation Assessment •• Understand the conflict Implementation history, issues, positions and •• Implement the of conflict of the agreement interests of the stakeholders items in the agreement •• Assess the potential for mediation

3 •• Set objectives and agenda Design of •• Determine the prioritized Post-mediation mediation process issues •• Select parties’ representatives

•• Discuss options 6 for solutions Generation of •• Develop written the agreement Mediation agreement •• Approve the agreement 5 4 Clarification of Agreement on issues and interests the ground rules

•• Facilitate separate and •• Set meeting norms joint meetings •• Set code of conduct of •• Get clarification of parties’ mediation issues and interests •• Agree on roles and •• Further analyse the issues responsibilities

Source: Dhiaulhaq, Gritten and De Bruyn (2014).

1 Mediation process followed instruments and capacities are needed • Coordination among government in the conflict sites to assist governments in ensuring agencies with overlapping mandates that the private sector operates in needs to be improved. International importance of developing capacities among accordance with its obligations, as initiatives such as the voluntary part- the conflict parties to participate effectively identified in the VGGT. nership agreements created under in the mediation process. In some cases, • Also as emphasized in the VGGT, the European Union’s Forest Law steps may need to be taken to empower private-sector and state actors should Enforcement, Governance and Trade and build the confidence of weaker par- employ free, prior and informed initiative can help improve the coordi- ties, along with resources to ensure that all consent (FPIC) with local residents nation of intragovernmental processes parties have access to information. regarding land-use changes that affect and develop platforms and norms for Our research gives rise to the following them. The application of FPIC also the involvement of civil-society and recommendations: helps ensure that communities benefit private-sector actors. • Governments should accelerate equitably from land investment. Com- • Local livelihood strategies should reforms and clarify tenure arrange- panies and government departments be integrated into national forest ments that respect local resource need to recognize the value of FPIC, management policies, including the management, including by further not just in minimizing disruptions to establishment and management of mainstreaming the Voluntary Guide- their operations by reducing conflict protected areas. It is important to lines on the Responsible Governance but also, for example, for its role in ensure that such policies are devel- of Tenure of Land, Fisheries and incorporating local knowledge and oped in a participatory manner. Forests in the Context of National garnering community support – FPIC • Governments should support the Food Security (VGGT). Technical makes good business sense. mainstreaming of mediation in

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The underlying causes of conflict in addressing forest landscape conflicts. elucidate context-specific mechanisms Kampong Thom included contested tenure and a poorly regulated private sector This includes ensuring that there is a and capacity gaps and to influence pool of sufficiently skilled mediators policy-makers through accessible with appropriate institutional back- language and theoretical frameworks. stakeholders within the conflict map. ing and resources, and that mediation Participatory action research seeks Advanced and topically specific train- and other dispute resolution processes to develop the research capacities ing curricula are developed to address have the requisite support, including of key stakeholders, especially in specific conflict contexts and skill sets. in the legal system. community-based participatory • Regional and national learning To support governments, companies, civil approaches. networks that include field visits, society and communities to implement • Creating new and strengthening learning groups and research these recommendations and to promote existing training curricula for collaboration, among other activi- the transformation of forest landscape capacity development. These cur- ties, to foster professionalism and conflicts, RECOFTC is taking a compre- ricula are conceptualized by subject ultimately develop a community of hensive capacity-development approach, experts using the latest research and dedicated conflict transformation including the following elements: drafted in collaboration with special- practitioners, including mediators. • Research – with an emphasis on ists in participatory adult-learning This approach is intended to underpin participatory action research – to processes. Training focuses on rel- and sustain a long-term strategy of gain practical insights and produce evant target groups identified through capacity development, continuous actionable recommendations. This capacity-development needs assess- learning, norm-shifting and regional includes in-depth case studies to ments that detail the roles of different ownership of the processes and

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concepts being promoted. The use Castro, A.P. & Nielsen, E. 2001. Indigenous from a theoretical perspective. In A. Austin, of “training of trainers” and other people and co-management: implications M. Fischer & N. Redpers, eds. Transforming cascading approaches is leveraged for conflict management. Environmental ethno political conflict: the Berghof for broader impacts, integrated within Science and Policy, 4: 229–239. handbook. Berlin, Germany, Verlag fur existing institutions, and supported de Koning, R., Capistrano, D., Yasmi, Y. & Sozialwissenschaften. by follow-up guidance and close Cerutti, P. 2008. Forest-related conflict: Wall, J.A., Stark, J.B. & Standifer, R.L. monitoring and evaluation. impact, links and measures to mitigate. 2001. Mediation: a current review and theory • A diversified and proactive com- Washington, DC, Rights and Resources development. Journal of Conflict Resolution, munication strategy based on Initiative. 45(3): 370–391. up-to-date research and developed Dhiaulhaq, A., De Bruyn, T. & Gritten, D. Yasmi, Y., Guernier, J. & Colfer, C.J.P. 2009. in collaboration with communities 2015. The use and effectiveness of mediation Positive and negative aspects of forestry and other stakeholders to address in forest and land conflict transformation in conflict: lessons from a decentralized forest frequent misconceptions and the lack Southeast Asia: case studies from Cambodia, management in Indonesia. International of information on conflict issues, Indonesia and Thailand. Environmental Forestry Review, 11(1): 98–110. u including, for example, the options Science & Policy, 45: 132–145. and processes for conflict transforma- Dhiaulhaq, A., Gritten, D. & De Bruyn, T. tion that lie outside, or complement, 2014. Mediating forest conflicts in Southeast the formal legal system. Asia: getting the positives out of conflicts over forests and land. RECOFTC Issue ACKNOWLEDGEMENTS Paper No. 2. Bangkok, RECOFTC – The The authors are grateful to the Swedish Center for People and Forests. International Development Cooperation Engel, A. & Korf, B. 2005. Negotiation and Agency (Sida), the Norwegian Agency mediation techniques for natural resource for Development Cooperation (Norad) management. Rome, FAO. and the Swiss Agency for Development Gritten, D., Mola-Yudego, B., Delgado- and Cooperation (SDC) for funding this Matas, C. & Kortelainen, J. 2013. A research. The authors are also grateful quantitative review of the representation of to various past and present colleagues at forest conflicts across the world: resource RECOFTC for their contributions to this periphery and emerging patterns. Forest work, and to those people who took part Policy and Economics, 33: 11–20. in the research reported here. u Gritten, D., Saastamoinen, O. & Sajama, S. 2009. Ethical analysis: a structured approach  to facilitate the resolution of forest conflicts. Forest Policy and Economics, 11(8): 555–560. Hares, M. 2009. Forest conflict in Thailand: northern minorities in focus. Environmental Management, 43(3): 381–395. Lederach, J.P. 1997. Building peace: sustainable reconciliation in divided societies. Washington, DC, Institute of References Peace Press. Lewicki, R., Gray, B. & Elliot, M. 2003. Augsberger, D.W. 1992. Conflict mediation Making sense of intractable environmental across cultures: pathways and patterns. conflicts: concepts and cases. Washington, Louisville, USA, Westminster/John Knox DC, Island Press. Press. Patel, T., Dhiaulhaq, A., Gritten, D., Yasmi, Y., Bercovitch, J. & Houston, A. 1993. Influence De Bruyn, T., Paudel, N.S., Silori, C. & of mediator characteristics and behavior on Suzuki, R. 2013. Predicting future conflict the success of mediation in international under REDD+ Implementation. Forests, 4. relations. International Journal of Conflict Reimann, C. 2004. Assessing the state-of- Management, 4(4): 297–321. the-art in conflict transformation: reflecting

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Groundbreaking news? Analytical insights and lessons learned from a review of multinational REDD+ studies

R. Fischer, Y. Hargita and S. Günter © FAO/NFMA ©

A forest officer measures the diameter he REDD+ process1 was launched of a tree in Nicaragua. Robust forest Multinational analyses of REDD+ monitoring and reporting systems are projects have paid surprisingly in Bali in 2007 under the United key aspects of the REDD+ mechanism little attention to some key Nations Framework Convention REDD+ issues. Ton Climate Change (UNFCCC, 2007). countries will financially compensate REDD+ has been designed, developed developing countries for avoided defor- and promoted as an innovative approach estation and degradation. to reducing deforestation based on broad A wealth of expertise and experiences cooperation and shared responsibili- has become available through readiness ties between developing and developed phases, preparation activities and pilot countries. The core idea is that developed projects on various aspects and function- alities of the REDD+ mechanism. In this 1 Richard Fischer, Yvonne Hargita and REDD+ = reducing emissions from deforestation article, we review scientific publications Sven Günter are at the Thünen Institute for and forest degradation, including the role of International Forestry and Forest Economics, conservation, sustainable management of forests and reports that summarize results from a Hamburg, Germany. and enhancement of forest carbon stocks. large number of such formal and informal

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REDD+ activities to provide insights into to cover the key elements of it. The main unclear whether afforestation/reforestation the advances made and gaps that remain differences of such REDD+ projects com- (A/R) projects are included. Sills et al. in REDD+ implementation on the ground pared with those undertaken as a formal (2014) define REDD+ projects as initiatives and to draw lessons for the further develop- part of the UNFCCC process are that they: that “aim to reduce net carbon emissions ment and implementation of the REDD+ are based mostly on other standards, such primarily by: (a) reducing deforestation/ mechanism. The aim of the results and as the Verified Carbon Standard; often aim degradation; or (b) implementing forest conclusions of this review is to support to obtain financing from the international conservation/restoration/management. policy-makers globally as well as practi- voluntary carbon market; and are sub- That is, they do not derive most of their tioners in REDD+ countries. national, whereas REDD+, by definition, carbon benefits from afforestation/refor- is a national exercise (with a few “interim” estation outside of existing forest”. Lawlor BACKGROUND exceptions). Nevertheless, interest is high in et al. (2014) explicitly include A/R projects. Numerous REDD+ projects have been learning from project experiences to assist Simonet et al. (2014) explicitly distinguish installed in developing countries. They in the development of the formal REDD+ REDD, A/R and “improved forest manage- include REDD+ pilot projects linked to process, and these initiatives can indeed be ment” projects but include them all in their national REDD+ strategies as a response to regarded as “the laboratory in which the study. A number of studies do not specify a call through the UNFCCC for demonstra- REDD+ experiment is being conducted” the criteria used in selecting projects. tion activities (UNFCCC Decision 2/CP.13). (Sunderlin in Sills et al., 2014). Simonet et al. (2014) showed that 23 percent STUDIES AND SOURCES USED of all REDD+ projects are pilots that are DEFINING A REDD+ PROJECT FOR THE REVIEW formally integrated into national REDD+ The definition of what constitutes a REDD+ Our review (see also Fischer et al., 2016) strategies. There is also a wide variety of project varies substantially between stud- relies on published literature from various informal approaches, concepts and projects ies. This variation influences the basis and sources compiled following the structure labelled as REDD+ by their proponents. results of the studies – each of which has Most activities, therefore, are not operating its own selection of projects – and needs to formally under the REDD+ mechanism of be taken into account in comparing their 1 the UNFCCC, even though they all aim findings. In the studies reviewed, it is often Conceptual framework of the review

UNFCCC FCPF UN-REDD Global data Warsaw Framework

National R-PP FAO Global Forest NPD communications ER-PIN Resources Assessment (b)

“Top-down” studies: Hosonuma et al., 2012; Romijn et al., 2012; Goers Williams, 2013

Topics Project-based Jurisdictional Project-based •• Finance (a) studies, existing study, own data: studies, own data: •• Institutions databases: Fishbein and Lee, Goldstein et al., 2014; •• Monitoring Lawlor et al., 2012; 2015 De Oliveira et al., 2014; •• Safeguards Simonet et al., 2013 Minang et al., 2014; •• Emissions several from GCS •• Drivers

Available online project databases

Projects (official pilots, certified in voluntary carbon market, philanthropic …)

Notes: Top-down studies are based on official documents or global data. Bottom-up studies are based on projects or available project databases. (a) Results from different studies are summarized and structured according to the topics of the Warsaw Framework. (b) Serving as inputs at the policy level. Further explanations in the text. R-PP = readiness preparation proposal; ER-PIN = emission reduction preparation idea note; NPD = national programme document.

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of the Warsaw Framework for REDD+2 in projects, including project descrip- THE WARSAW FRAMEWORK order to provide input to UNFCCC policy tions and design documents, were The UNFCCC has specified in the development (Figure 1). classified as “bottom-up” studies. Warsaw Framework the fields relevant to We identified literature using a basic There were four such studies. the implementation of REDD+ (Table 2). search in Science Direct,3 search- • Research projects with their own field Scientific input, therefore, needs to deal ing “REDD” and “project” in the title, assessments – of which we found 12 – with and discuss these topics if it is to be abstract or keywords and with a publica- were classified as “bottom-up” studies. relevant to the formal REDD+ process. The tion date after 2010. In a second query, we searched for “REDD” and “readiness” TABLE 1. Studies reviewed in titles, abstracts and keywords. These Publication Year of No. of No. of Scientifically Main topic searches yielded 92 results. In the Web publication projects countries reviewed? 4 of Knowledge, we searched for the same “Top-down” studies based on REDD+ documents words in topics and found 420 articles. Cerbu, Swallow 2011 179 64 Yes Factors influencing From all identified publications we and Thompson* geographical removed those that mentioned a specific distribution country in the title because our focus was Hosonuma et al. 2012 46 Yes Drivers of on multinational studies. From the remain- deforestation and degradation ing articles we selected those containing results from REDD+ activities in at least Romijn et al. 2012 99 Yes Forest monitoring systems three countries in order to focus on over- Goers Williams 2013 32 No Several view studies and generalizing conclusions that reached beyond single case studies. “Bottom-up” studies based on existing online databases We only selected studies providing conclu- Nguon and 2013 36 Yes Natural disturbances sions from REDD+ activities pertaining Kulakowski* to at least one of the topics of the Warsaw Caplow et al.* 2011 20 15 Yes General project impacts Framework. Grey literature was added Lawlor et al. 2013 41 22 Yes Community based on our own literature databases. participation and Overall, we found 20 studies that matched benefits our selection criteria (Table 1). We grouped Simonet et al. 2014 329 47 No Several these according to the information sources “Bottom-up” studies with own assessments they relied on, as follows: Goldstein, 2014 417 39 No Carbon market • Publications that relied on national Gonzalez and REDD+ documents under the Peters-Stanley UNFCCC, the Forest Carbon Partner- Fishbein and Lee 2015 8 7 No Jurisdictional ship Facility (FCPF) and the United approaches Nations Collaborative Programme De Oliveira et al. 2014 6 6 No Several on Reducing Emissions from Defor- Minang et al. 2014 4 Yes Several estation and Forest Degradation in FCPF & 2012 22 No Several Developing Countries (UN-REDD), UN-REDD* or on global data, were classified as Sills et al. 2014 23 6 No Several “top-down” studies. We found four Sunderlin et al. 2014a 23 6 No Several such studies. • Studies based on publicly available Sunderlin et al. 2014b 23 6 Yes Tenure online databases and maps of REDD+ Murdiyarso et al. 2012 23 6 Yes Several Jagger et al. 2014 16 3 Yes Safeguards 2 The Warsaw Framework is a collection of seven Luttrell et al. 2013 20 6 Yes Benefit-sharing decisions made at the 19th Conference of the Parties to the UNFCCC to provide guidance Joseph et al. 2013 21 6 Yes Monitoring, reporting on the implementation of REDD+ under the and verification UNFCCC. Note: Studies shaded grey are part of the Center for International Forestry Research’s Global Comparative Study 3 www.sciencedirect.com on REDD+ (see text). 4 www.webofknowledge.com * Excluded from further evaluation despite matching the formal selection criteria.

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Sunset over the forest-covered mountains Warsaw Framework topics (subdivided into not provide results and conclusions on all in the Province of Bac Kan, Viet Nam 19 subtopics) provided the structure for topics of the Warsaw Framework; based our summarization of the information and on the sum of the studies, however, our subtopics; others, such as Sills et al. (2014), conclusions made in the reviewed studies. review covers all topics. De Oliveira et al. (2014) and Minang et al. Most studies had a specific focus and did (2014), canvassed a much broader set of RESULTS subtopics. Comprising several publica- TABLE 2. Topics of the UNFCCC The most frequently considered topics tions, the Center for International Forestry REDD+ Warsaw Framework in the reviewed studies were drivers of Research’s Global Comparative Study Topic deforestation (tackled in 11 of the publica- on REDD+ (GCS) provided statements tions) and tenure (ten). In contrast, none of relevant to nearly all topics. It was not pos- Results-based finance the reviewed studies drew conclusions on sible to distinguish systematic differences Institutional arrangements permanence and leakage. Reference levels – in topics depending on whether the study National forest monitoring systems which are the benchmarks for results-based was bottom-up or top-down. Moreover, Monitoring, reporting and verification payments – were discussed in only four there were no systematic differences in Safeguard reporting studies. Monitoring systems, financing, the relevant conclusions when the same Forest reference emission levels and/or institutions, benefit-sharing systems and topic was covered in top-down and bottom- forest reference levels questions of participation were tackled in up studies, although this may have been Drivers of deforestation and forest 6–8 studies each (Table 3). Some studies, because the number of studies, and the degradation like Hosonuma et al. (2012) and Romijn number of topics covered in most studies, Source: Climate Law and Policy (2014). et al. (2012), focused on a narrow range of was too low to detect such differences.

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TABLE 3. Statements in studies referring to single topics ., 2014 ., ., 2014 ., 2014 ., 2014 ., 2014 ., ., 2012 ., ., 2012 ., 2012 ., ., 2013 ., 2013 ., ., 2013 ., 2013 ., ., 2014b ., ., 2014a ., et al et al et al et al et al et al et al et al No. of studies Sills et al Lawlor Lawlor addressing topic Luttrell Jagger Jagger Romijn Romijn Joseph et al Minang et al Simonet et al Goldstein Goers Williams, 2013 Sunderlin Sunderlin Hosonuma Hosonuma De Oliveira et al Murdiyarso et alMurdiyarso Fishbein and Lee, 2015

Finance Present role of conditional and results-based payments at 5 X X X X X project and/or jurisdictional level Possible future role of conditional and results-based payments 6 X X X X X X at project and/or jurisdictional level Institutions Institutional responsibilities related to REDD+ implementation 6 X X X X X X Monitoring Status of monitoring systems 8 X X X X X X X X Options for technical cooperation on monitoring, reporting 4 X X X X and evaluation systems Jurisdictional approaches 6 X X X X X X Safeguards National forest programmes National forest programmes and/or international agreements 1 X Governance/tenure Present status of tenure rights 10 X X X X X X X X X X Options to clarify tenure rights within REDD+ 7 X X X X X X X Indigenous peoples and stakeholder participation Involvement of indigenous peoples and stakeholders in general 7 X X X X X X X Level of participation 5 X X X X X Permanence and leakage Experience with permanence and leakage 0 Social safeguards and benefit-sharing Experience with social and/or biological safeguard reporting 4 X X X X Experience with socio-economic co-benefits in general 5 X X X X X Definition of procedures for benefit-sharing 6 X X X X X X Implementation of benefit-sharing 4 X X X X Natural forests, biodiversity Role of conservation and biodiversity services 4 X X X X Forest reference (emission) levels Experience with reference levels in projects 4 X X X X Drivers of deforestation and forest degradation Exploration of project-specific drivers for deforestation 11 X X X X X X X X X X X and degradation Number of topics dealt with in study 1 2 7 6 8 8 9 11 11 12 5 8 4 3 3 5 Note: X indicates that the topic was dealt with in a given study.

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DISCUSSION to develop a suitable framework on the do not assess) the capacity of the responsi- Finance ground. Sunderlin et al. (2014a) mentioned ble institutions to implement REDD+ and All studies addressing finance consistently that “Conditional incentives at the site level consider that there is a lack of clarity on showed that conditional payments based are still experimental” and that current institutional responsibility. Jurisdictional on carbon transactions at the project level results “suggest some possible doubt about approaches were seen, however, as a are implemented to only a very limited its centrality”. The hybrid approach – with platform for at least involving local gov- extent; most projects were driven by offi- a mixture of input-based and results-based ernments and stimulating institutional cial development assistance and not by payments – is a widespread reality. This development (Fishbein and Lee, 2015). results-based payments (Fishbein and Lee, situation has emerged partly because many 2015). Of 329 projects assessed globally, projects are former integrated conservation only 21 percent were engaged in carbon and development projects (ICDPs) that A capacity-development initiative transactions (Simonet et al., 2014); of the simply took on board a REDD+ component in a forest-dependent indigenous 23 projects examined in the GCS, only later without changing the complete set community in Chhindwara, Madhya Pradesh, India. REDD+ projects four were selling carbon credits (Sills of incentive tools (Simonet et al., 2014). must ensure that benefits from et al., 2014). such projects are transferred to The low level of implementation is due Institutions the communities that maintain and protect forests and their biodiversity. partly to the insecure and ambiguous With the exception of Minang et al. (2014), Capacity development in those political and economic future of REDD+; the authors of all studies examining insti- communities and their involvement at moreover, most projects need more time tutional development are sceptical of (or all stages of project development and implementation are imperative © FAO/BURNWAL KUNDAN FAO/BURNWAL ©

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Monitoring and jurisdictions entities to integrate project baselines with more critical situations in projects exam- None of the eight studies dealing with regional efforts (Goldstein, Gonzalez and ined in the GCS (Sunderlin et al., 2014a) monitoring systems reported that the status Peters-Stanley, 2014); these were individu- and the more positive results documented of those systems was satisfactory, although ally negotiated solutions, however, and by Fishbein and Lee (2015). Independent some studies pointed out that monitoring, there is no harmonized approach under of the status of tenure, REDD+ projects reporting and verification (MRV) was a the UNFCCC. are helping populations gain tenure rights, fruitful field of collaboration. De Oliveira which Lawlor et al. (2013) considered to et al. (2014) noted that “the MRV compo- National forest programmes, be an “important, transformational effect nent of forest-carbon initiatives generally international conventions and that projects can have – and likely more involves external agencies and consult- agreements enduring than carbon payments”. ants”, which can create dependencies. Only Jagger et al. (2014) mentioned the None of the authors reporting on juris- relationship between REDD+ projects and dictional approaches had a clear vision of national forest programmes. how to integrate the project and national FAO Director-General José Graziano Governance, tenure rights and da Silva attends a tree-planting scales of REDD+ implementation. Sills ceremony to mark Earth Day and et al. (2014) identified scale as one of the transformational change the signing of the Paris Climate greatest uncertainties because the links Of the various aspects of governance, ten- Agreement. Mr Graziano da Silva planted an ash tree (Fraxinus ornus) between local project-based systems and ure was the most widely studied. Tenure is at FAO headquarters in Rome as the national scale were unclear. A number high on the agenda in most projects, but per- part of a campaign by the Earth Day of projects were engaged with government ceptions of the situation vary between the Network, the aim of which is to plant 7.8 billion trees by Earth Day 2020 © FAO ©

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Indigenous peoples and the six countries studied by Luttrell et al. the studies were selected based on criteria stakeholder participation (2013), and in readiness proposals (Goers that took representativeness into account. The need to involve and empower indig- Williams, 2013), there was a lack of clarity Rather, the projects and studies need to be enous peoples and enable stakeholder on arrangements for the transfer of REDD+ regarded as a “found sample” (Overton, participation is widely perceived and finance. Young and Overton, 1993) that does not taken into account in REDD+ projects. justify extrapolation and generalization. All but one of the studies dealing with this Biodiversity The results of this review are a descrip- issue reported on participatory processes. Biodiversity conservation and watershed tive compilation of presently available REDD+ has had positive impacts in this protection play important roles in many information, which nevertheless obtains respect, but the extent of such participation REDD+ projects, partly because many its relevance and justification through is controversial in some studies, based on such projects were former conservation the large number of projects and authors the perspectives of authors. projects that developed a REDD+ com- involved and the need to make the wealth ponent later on. Thirty percent of the of existing information available in a con- Permanence and leakage globally analysed projects were located in densed format. The risk of reversals (i.e. the “permanence” protected areas (Simonet et al., 2014), and of carbon gains) and actions to reduce the forest protection activities were deployed CONCLUSIONS displacement of carbon emissions (i.e. at 20 of the 23 GCS sites (Sunderlin et al., Principles have been developed for reduc- “leakage”) are not considered in any of 2014a). ing carbon emissions from deforestation the reviewed studies. and degradation, including results-based Reference emission levels, financial transfers, the use of reference Social safeguards and benefit-sharing reference levels levels as benchmarks for emission reduc- In the four studies addressing this topic, The reviewed studies provided little evi- tions, the permanence of reductions, and reporting on social safeguards received dence on the status of, or lessons learned the need to avoid leakage in order to guar- little attention. Jagger et al. (2014) showed from, previous activities on reference antee climate effectiveness. Astonishingly, that social and ecological safeguard report- (emission) levels. Murdiyarso et al. (2012) however, reference levels were discussed ing is complex and that “national-level detected large capacity gaps in the devel- in only four of the reviewed multinational assessment of social impacts and biodiver- opment of reference levels, and Joseph studies, and leakage and permanence were sity co-benefits is a significant challenge”. et al. (2013) complained about “ambiguity not dealt with at all. In addition, results- De Oliveira et al. (2014) suggested that in methodological guidelines on how to based finance has been implemented to there are simply “too many social and set reference emission levels in REDD+ a rather low extent, and most authors are environmental safeguards and different projects”. sceptical of its future potential and imple- organizations use different processes to mentation. Based on our review, it is hard guarantee the safeguards”. Nevertheless, Drivers to understand why these core themes of there are clear public expectations that Eight of the eleven studies mentioning spe- the REDD+ approach were not covered in carbon projects will address poverty alle- cific drivers reported that project-specific the multitude of projects in the “REDD+ viation and nature conservation (Simonet drivers were taken into account; the rank- laboratory”. et al., 2014). Goldstein, Gonzalez and ing and importance of single drivers varied Various studies identified barriers to Peters-Stanley (2014) pointed out that buy- between projects and studies. Hosonuma results-based finance, as follows: ers demand to know the “story” behind the et al. (2012) provided a widely accepted • more time is needed to gain experi- offset they pay for. summary of the relevance of single drivers. ence; None of the five studies dealing with co- Projects may perceive drivers differently, • the insecure political and economic benefits concluded that these were clearly however, and the most common defor- future of REDD+ is preventing pro- provided. Lawlor et al. (2013) found “mate- estation driver at the project scale is local ject proponents from making more rial benefits, in terms of jobs and income, to livelihoods (Simonet et al., 2014). promises; and be, thus far, modest”. The socio-economic • there is a need for the further techni- benefits mentioned by Simonetet al. (2014) Representativeness cal development of financial tools. were mostly not provided as co-benefits The interpretation and use of diverse stud- On the other hand, as long as the lessons of the REDD+ procedure but through ies as a basis for policy conclusions needs gained at ground level are ambiguous, it development aid inputs by the same project. to take into account the fact that – with the might be hard to mobilize the funds needed The situation does not seem to be much exception of projects in the GCS – neither for concrete actions towards climate brighter for benefit-sharing. In most of the reviewed studies nor the projects in effectiveness.

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In addition to the “new” specific REDD+- at: www.nature.org/media/climatechange/ related topics, the Warsaw Framework REDD+_LED_Programs.pdf). includes “old”, more general topics of Goers Williams, L. 2013. Putting the pieces tenure rights, participation, institutional References together for good governance of REDD+: development, livelihood and biodiversity an analysis of 32 REDD+ country readi- co-benefits, and the specific drivers of Angelsen, A., Brockhaus, M., Sunderlin, W.D. ness proposals. Washington, DC, World deforestation. These old topics are well- & Verchot, L., eds. 2012. Analysing Resources Institute (available at: www.wri. known in ICDPs and multiple other global REDD+: challenges and choices. Bogor, org/sites/default/files/pdf/putting_the_pieces_ initiatives, but, surprisingly, they received Indonesia, Center for International Forestry together_for_good_governa nce_of_redd.pdf). more attention than the specific REDD+ Research. Goldstein, A., Gonzalez, G. & Peters- topics in the reviewed studies. Is REDD+ Caplow, S., Jagger, P., Lawlor, K. & Stanley, M. 2014. Turning over a new leaf: on the ground consequently just a new Sills, E. 2011. Evaluating land use and state of the forest carbon markets 2014. framework for tackling such issues? How livelihood impacts of early forest carbon Washington, DC, Ecosystem Marketplace much of REDD+ is new, beyond the safe- projects: lessons for learning about REDD+. (available at: www.forest-trends.org/ guards and co-benefits? Environmental Science & Policy, 14(2): documents/files/doc_4770.pdf). There is evidence that REDD+ projects 152–167. Hosonuma, N., Herold, M., Sy, V., have had some positive impacts on ten- Cerbu, C.A., Swallow, B.M. & Thompson, D.Y. De Fries, R.S., Brockhaus, M. & ure rights, participation, biodiversity and 2011. Locating REDD: a global survey Verchot, L. et al. 2012. An assessment of deforestation drivers, but our review sug- and analysis of REDD readiness and deforestation and forest degradation drivers gests that these impacts are not necessarily demonstration activities. Environmental in developing countries. Environmental due to the REDD+ components of those Science & Policy, 14(2): 168–180. Research Letters, 7(4): S. 044009. projects, which in many cases are not (yet) Climate Law & Policy. 2014. Unpacking the Jagger, P., Brockhaus, M., Duchelle, A., operational. According to Simonet et al. “Warsaw Framework for REDD+”. Briefing Gebara, M., Lawlor, K., Resosudarmo, I. (2014), the socio-economic benefits of pro- Note (available at: http://theredddesk.org/ & Sunderlin, W. 2014. Multi-level policy jects arise not as co-benefits of the REDD+ sites/default/files/resources/pdf/cop19_ dialogues, processes, and actions: challenges procedure but from inputs provided by assessment_by_clp_2014.pdf). and opportunities for national REDD+ the original ICDPs. The reviewed studies De Oliveira, J.A., Puppim, T.Y., Ma, H.O. & safeguards measurement, reporting, and reveal, therefore, that in addition to creat- Rastall, R. 2014. Strengthening development verification (MRV).Forests , 5(9): 2136–2162. ing new financing and accounting tools, in international–local institutional linkages Joseph, S., Herold, M., Sunderlin, W.D. REDD+ offers a platform for continuing to in REDD+: lessons from existing forest- & Verchot L.V. 2013. REDD+ readiness: address longstanding development issues. carbon initiatives. UNU-IAS Policy Report, early insights on monitoring, reporting and The pressing questions around financing 2014/13. Tokyo, United Nations University. verification systems of project developers. are important for donors, who need account- FCPF & UN-REDD. 2012. Country needs Environmental Research Letters, 8(3): ing and justification for their payments. The assessment: a report on REDD+ readiness S. 034038. most crucial point from the perspective of among UN-REDD programme and Forest Korhonen-Kurki, K., Brockhaus, M., REDD+-hosting countries might be dif- Carbon Partnership Facility member Bushley, B., Babon, A., Gebara, M.F., ferent, such as whether development and countries. UNREDD/PB9/2012/II/6. Forest Kengoum, F., Thuy Thu Pham, Rantala, S., emission reductions are based on transfor- Carbon Partnership Facility (FCPF) and Moeliono, M., Dwisatrio, B. & mational change (Fishbein and Lee, 2015; United Nations Programme on Reducing Maharani, C. 2015. Coordination and Sills et al., 2014; Sunderlin et al., 2014a; Emissions from Deforestation and Forest cross-sectoral integration in REDD+: Murdiyarso et al., 2012) and ownership Degradation (UN-REDD). experiences from seven countries. Climate (OECD, 2005). There are indications that Fischer, R., Hargita, Y. & Günter, S. 2016. and Development, 8(5). the balance in the hybrid approach is swing- Insights from the ground level? A content Lawlor, K., Madeira, E., Blockhus, J. & ing towards more “aidification” (Angelsen analysis review of multi-national REDD+ Ganz, D. 2013. Community participation et al., 2012). But as long as countries view studies since 2010. Forest Policy and and benefits in REDD+: a review of initial the sustainable management and protection Economics, 66(1): 47–56. outcomes and lessons. Forests, 4(2): 296–318. of high-value forests as integral to achieving Fishbein, G. & Lee, D. 2015. Early lessons from Luttrell, C., Loft, L., Fernanda, G.M., their long-term development goals, the ques- jurisdictional REDD+ and low emissions Kweka, D., Brockhaus, M., Angelsen, A. & tion of whether the support of developed development programs. The Nature Sunderlin, W.D. 2013. Who should benefit countries will be results- or input-based Conservancy, Forest Carbon Partnership from REDD+? Rationales and realities. may be secondary (Fischer et al., 2016). u Facility and World Bank Group (available Ecology and Society, 18(4): 52.

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Minang, P.A., van Noordwijk, M., Romijn, E., Herold, M., Kooistra, L., at: www.cifor.org/publications/pdf_files/ Duguma, L.A., Alemagi, D., Do, T.H. Murdiyarso, D. & Verchot, L. 2012. OccPapers/OP-104.pdf). & Bernard, F. et al. 2014. REDD+ Assessing capacities of non-Annex I Sunderlin, W.D., Larson, A.M., readiness progress across countries: time countries for national forest monitoring Duchelle, A.E., Resosudarmo, I.A.P., for reconsideration. Climate Policy, 14(6): in the context of REDD+. Environmental Huynh, T.B., Awono, A. & Dokken, T. 685–708. Science & Policy, 19–20: 33–48. 2014b. How are REDD+ proponents address- Murdiyarso, D., Brockhaus, M., Sills, S.O., Atmadja, S., Sassi, C., ing tenure problems? Evidence from Brazil, Sunderlin, W.D. & Verchot, L. 2012. Some Duchelle, A.E., Kweka, D.L., Cameroon, Tanzania, Indonesia, and lessons learned from the first generation Resosudarmo, I.A.P. & Sunderlin, W.D., Vietnam. World Development, 55: 37–52. of REDD+ activities. Current Opinion in eds. 2014. REDD+ on the ground: a case UNFCCC. 2007. Decision 2/CP.13. Reducing Environmental Sustainability, 4(6): 678–685. book of subnational initiatives across emissions from deforestation in developing Nguon, P. & Kulakowski, D. 2013. Natural the globe. Bogor, Indonesia, Center for countries: approaches to stimulate action. forest disturbances and the design of REDD+ International Forestry Research. United Nations Framework Convention initiatives. Environmental Science & Policy, Simonet, G., Karsenty, A., Perthuis, C., on Climate Change (UNFCCC) webpage 33: 332–345. Newton, P. & Schaap, B. 2014. REDD+ (available at: http://unfccc.int/resource/ OECD. 2005. The Paris Declaration on Aid projects in 2014: an overview based on a docs/2007/cop13/eng/06a01.pdf#page=8). Effectiveness: Ownership, Harmonisation, new database and typology. Information Accessed January 2015. u Alignment, Results and Mutual Account- and Debate Series 32. Paris, Paris-Dauphine ability. Paris, Organisation for Economic University, Climate Economics Chair. Co-operation and Development (OECD). Sunderlin, W.D., Ekaputri, A.D. & Sills, E.O., Overton, J.M., Young, T.C. & Overton, W.S. et al. 2014a. The challenge of establishing 1993. Using ‘found’ data to augment a REDD+ on the ground: insights from probability sample: procedure and case 23 subnational initiatives in six countries. study. Environmental Monitoring and CIFOR Occasional Paper 104. Bogor, Center Assessment, 26: 65–83. for International Forestry Research (available

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New generation plantations: towards sustainable intensification

L.N. Silva © NEW GENERATION PLANTATIONS GENERATION © NEW

A eucalypt plantation in Well-managed tree plantations he WWF Living Forest Report Parque das Neblinas restored to lush rainforest on a steep slope, in the right places can help (WWF, 2011) projects that wood with the dark green, glossy leaves conserve biodiversity and meet harvesting could triple by 2050 typical of native forest in the area human needs. Tto approximately 10 billion m3. It is not enough, however, simply to produce more. 2010). This means, among other things, If the combined needs of global food secu- conserving, protecting and enhancing rity, poverty reduction and environmental natural resources and ecosystems while sustainability are to be met, production improving the livelihoods and well-being must be integrated, inclusive and sustain- of people and social groups and bolstering able. The past paradigm of input-intensive their resilience. Mechanisms are needed production cannot meet this challenge; to develop and ensure sustainable forest productivity must be achieved through management practices while preserving Luis Neves Silva is at WWF International. sustainable intensification (Godfray et al., or enhancing social and environmental

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values in landscapes in an environment inclusive local economic development, pro- • Are profitable. Plantations create jobs, of constantly increasing and diversifying vides effective ecosystem stewardship, and often in poor rural areas, but they have demand for forest biomass. stimulates preferential procurement and the potential to do far more than that. Scientific and technological innovations increased consumer awareness. Plantations should be a means for are core elements in developing such It is within this new paradigm that the achieving inclusive green growth, and mechanisms, as is open dialogue with all principles of the “new generation plan- the benefits should be shared with the stakeholders on appropriate governance tations” (NGP) concept (Figure 1) carry local communities who are sharing frameworks for the uptake and deployment particular significance. Well-managed tree the landscape. of approaches to raising forest productivity. plantations in the right places can help con- The NGP concept, therefore, provides a Equally important is system-wide plan- serve biodiversity and meet human needs strong, inclusive model and approach for ning and zoning, involving cross-sectoral while contributing to sustainable economic implementing sustainable intensification as cooperation to maximize the efficiency of growth and local livelihoods if they: a contributor to the functioning of socially production by all land-users while reduc- • Adopt inclusive local economic and ecologically resilient landscapes. ing competition for land and water. Any development and forestry as an An existing significant contributor to the approach must ensure that local stakehold- increasingly central theme. Engag- functioning of resilient landscapes is the ers are included in relevant planning and ing with stakeholders means far more family farmer. FAO’s The State of Food implementation processes, using tools such than carrying out consultations and and Agriculture published towards the as free, prior and informed consent. obtaining the consent of communities end of the International Year of Family affected by plantations. It is about Farming (FAO, 2014) makes a compel- THE NEW GENERATION building relationships with stake- ling case for concerted efforts to bring PLANTATIONS APPROACH holders, talking and listening to them, innovation to family farming. Five hun- To achieve the greater intensification of and empowering them to meet their dred million family farmers – managing productivity required, existing perfor- needs and achieve their aspirations. 90 percent of all farms in the world and mance standards, which were designed • Maintain ecosystem integrity and pro- occupying around 70–80 percent of farm- to manage linear, incremental change, tect high-conservation-value areas, land – produce more than 80 percent (in will not suffice. Future standards must making sure that plantations don’t dis- value terms) of the world’s food. The over- be designed to respond to the complexity rupt natural cycles – for water, nutri- arching view of FAO is that family farms of systemic transformational changes that ents, carbon and biodiversity – and must be supported “to innovate in ways comes with the highly disruptive process increasingly look beyond individual that emphasize sustainable intensification of further intensification. Such standards operations towards maintaining and must ensure a governance framework restoring ecosystems on a broader 1 that provides social safeguards, achieves landscape scale. The principles of the new generation plantations concept

Source: NGP Platform (2011).

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of production and improvements in rural land with cows and soy. The discomfort ecosystem components to be set aside for livelihoods” (FAO, 2014). Sustainable of farmers at the increasing presence of conservation from the dry mineral soils intensification can be achieved through forestry was becoming apparent in rural that were best suited for plantations and a cohesive multistakeholder innovation communities, with this competing sector where impacts on natural ecosystems system to develop new technologies and putting at risk long-established ways of would be minimal. The plantation trees practices suited to stakeholder needs and life and local cultural values. Far from were removed from the wetland side of local conditions or by overcoming barriers seeing forestry and cattle as competing the ecoboundary and the land restored to and constraints to the adaptation and adop- sectors, NGP shows how new forms of wetlands and savannah. Certification of tion of existing technologies and practices partnership can be developed that ben- forest operations provides an independent and access to relevant markets. efit both communities and companies by means of verifying the sustainability of Forestry should follow a similar route. realizing the value of actively managing forest management practices. Given that the environmental issues of synergies between sectors. In Uruguay, plantation forestry are well known and NGP participants Stora Enso, UPM and Brazil there are well-developed tools for address- Arauco are, among other things, leasing It is estimated that there are more than a ing them, multistakeholder processes are land to local cattle herders for grazing billion hectares of degraded and deforested the new frontier for evaluating process- and introducing forestry components to land worldwide (GPFLR, 2016), and land based technological advances and ensuring integrated crop–livestock systems that restoration is therefore a major global need. inclusive local economic development. improve carbon stock, diversify revenues NGP can achieve active restoration at scale These will reconcile stakeholder per- and reduce risks. while responding to the productivity chal- spectives and priorities and clarify how lenge. Brazil’s Mata Atlântica (Atlantic to bring innovation to family farmers at South Africa rainforest), a global biodiversity hotspot, the local level. Precision forestry integrates accurate has been devastated by past agricultural monitoring with measures to avoid plant- practices; today, only 8.5 percent of it CASE STUDIES ing in natural ecosystems and to protect exists in its original state (WWF, 2016), NGP is an aspirational concept for a new areas with high conservation value. often in isolated fragments. Two Brazilian era of production landscapes incorporat- Plantation companies in South Africa participants in the NGP Platform, Fibria ing sustainable intensification. It brings demarcated wetlands and riparian zones and Suzano (both pulp and paper com- a vision in which plantations contribute and removed plantations from these sensi- panies), have established partnerships positively to communities and ecosystems tive ecosystems; in so doing, they were with international and local conservation through a combination of best-available able to mitigate one of the main impacts and social non-governmental organiza- knowledge on land-use planning; preci- of plantations: water use. This is best seen tions in the Mata Atlântica. Building on sion forestry operations (e.g. silviculture); in the iSimangaliso Wetland Park World the requirements of the Brazilian Forest ecosystem protection, management and Heritage Site, where NGP participant Code, they have invested in plantation active restoration; and local community Mondi helped transform a long history development and ecosystem restoration, empowerment. Since its creation in 2007, of dispute into a successful partnership ensuring that 50 percent of their land is the NGP Platform1 has collected and shared that has minimal impact on natural eco- maintained or restored as forest ecosystems knowledge and experiences worldwide on systems. There had been bitter disputes in a mosaic landscape approach. Along how NGP principles are being integrated over the years at Lake St Lucia (in the the way, they have selectively bred tree and implemented in practice. Examples World Heritage site) between the forest clones in their nurseries and research units are given below. industry, environmentalists and local to intensify production. The productivity people because poorly sited plantations of wood-fibre production has more than Uruguay were having a negative impact on the lake doubled in 40 years through the breeding Land-use planning implies crop–livestock– and its wildlife by reducing freshwater of better-performing tree varieties and forestry integration as a precondition for flows. Mondi worked with the government, clonal selection (Gonçalves et al., 2013), innovation in agriculture, forestry and environmental non-governmental organi- and there is potential to increase yields by conservation. An example is in Uruguay, zations and the park authority to determine a further 20 percent (May and Hirsh, 2014). where cattle-ranching is deeply embedded which areas were suitable for commercial This increase in productivity significantly in the culture of rural areas. Forestry, as a plantations and which should be returned reduces the pressure on natural forests relative newcomer there, is competing for to their natural state. A 120-km-long “eco- and other land. The work by Fibria and boundary” was mapped out that divided Suzano demonstrates that by applying NGP 1 http://newgenerationplantations.org mostly wetland areas and other important principles, well-designed, well-managed

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A eucalypt plantation/Atlantic rainforest plantations can be valuable for ecosystem Historically, there has been a loss of trust in landscape mosaic – an example of a restoration while ensuring high-yield pro- Chile between smallholders and plantation new generation plantation approach duction on a minimal area of land. corporations; this is also true in Brazil and South Africa. Although progress has been responsible farming (NGP Platform, 2014) THE IMPORTANCE OF TRUST made in all three countries and others, such can restore essential ecosystem services Local community empowerment can bring as Paraguay, it is clear that restoring trust by effectively blending crops, livestock forest companies and civil society together is a long-term process and must be earned. and forestry as an integrated system in multistakeholder processes that develop Participants at the meeting heard that (Bungenstab and Almeida, 2014). System- mutual trust and lead to shared under- Fibria has turned years of conflict around wide, cross-sectoral planning and zoning in standing and collaborative approaches to in the Brazilian states of Bahia and Espirito mosaic designs is essential for maximizing sustainable forest management. In NGP, Santo, where the company and communi- the efficiency of production while reducing dialogue is the basis for exploring and rec- ties are starting to work together to achieve competition for land and water. onciling local stakeholder perspectives and common goals. In South Africa, Mondi NGP also offers the potential for a new priorities with process-based technological has developed a model for engaging and era of sustainable intensive silviculture. advances. The aim is to determine practical settling with land-claimant communities It enables robust land-use planning that ways to enable inclusive local economic and assisting them to develop sustainable dynamically integrates optimized produc- development for those sharing their land forest enterprises. Trust is a journey and, tivity in production areas through precision with production companies; for example, with NGP, the journey has begun. silviculture with the protection of high- smallholders can be supported in obtain- conservation-value forests and the active ing certification for their operations and DISCUSSION, CONCLUSIONS restoration of rezoned degraded land and thereby supply plantation companies with AND OUTLOOK forest. This creates landscapes of diverse, certified wood grown on their own land. Well-placed, well-managed plantations resilient ecological infrastructure that offer In March 2015 in Santiago, Chile, can be important components of sustain- improved prospects for the livelihoods of 130 people from 25 countries and four able landscapes, providing opportunities to local communities. Transforming conflict continents, representing governments, restore degraded land, spare natural forest into cooperation, and land claims into busi- companies, communities and civil-society and enhance local socio-economic val- ness opportunities, is part of the change organizations, gathered at the NGP annual ues while increasing productivity (WWF, envisioned in the NGP approach. meeting to debate how to make plantations 2011). Mosaics of new plantations, for- The question WWF and its partners work for people (NGP Platform, 2015). est (and other ecosystem) restoration and want to explore in the NGP Platform is:

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if innovation-driven, technology-rich, sus- the participation of all stakeholders FAO. 2014. The State of Food and Agriculture: tainable intensification is an option for and delivering benefits for all. Innovation in Family Farming. Rome the future, can we design a framework 3. Creating shared value involves (available at: www.fao.org/3/a-i4040e.pdf). to drive research in the right direction, companies working with other Godfray, H.C.J., Beddington, J.R., Crute, I.R., bring innovations to family farmers at the stakeholders in landscapes to Haddad, L., Lawrence, D., Muir, J.F., local level, and resolve the constraints on address social and environmental Pretty, J., Robinson, S., Thomas, S.M. market access? objectives while building long-term & Toulmin, C. 2010. Food security: the The fundamental challenge and oppor- business competitiveness – it is about challenge of feeding 9 billion people. tunity of our times, therefore, is to develop finding opportunities for mutual Science, 327L812. leadership in the formulation of such a socio-economic and ecological ben- GPFLR. 2016. Global Partnership on framework that masters production effi- efits. For this to happen, partners must Forest and Landscape Restoration ciency in transformative ways. Within identify shared objectives and values, (GPFLR) webpage (available at: www. this, the physical challenge is to develop thereby reinforcing trust-building forestlandscaperestoration.org/topic/map- and deploy innovations for the sustain- approaches for long-term resilience. and-analyse-restoration-potential). able intensification of forest commodity IUCN. 2015. Forest landscape restoration. production. The socio-economic challenge ACKNOWLEDGEMENTS International Union for Conservation of will be to ensure that technology reaches The author thanks NGP Platform partici- Nature (IUCN) webpage (available at: www. those who need it most. pants – the State Forest Administration iucn.org/theme/forests/our-work/forest- Production intensification in forestry can of China, the Forestry Commission of landscape-restoration). ensure that there is sufficient land for other Great Britain, Governo Estadual do Acre May, M. & Hirsh, S. 2014. Commercialization uses, such as food production for local mar- of Brazil, APSD, Arauco, CMPC, Fibria, of forestry genetic research. In W. Nikolakis kets and biodiversity conservation, while Kimberly-Clark, Masisa, Mondi, Portucel, & J. Innes, eds. Forests and globalization, also diminishing logging pressure on Stora Enso, Suzano and UPM – without pp. 130–152. Earthscan. natural forests and their associated commu- whom this work would not have been pos- NGP Platform. 2011. Bioenergy and carbon nities, ecosystem services and biodiversity. sible. In particular, he thanks Mike May, report. New Generation Plantations (NGP) For the NGP approach to be adopted Brent Corcoran, Bjorn Sundberg and Platform webpage (available at: http://new widely, the following three key findings João Augusti for their contributions. u generationplantations.org/multimedia/ of the NGP Platform will be crucial (NGP  file/1ec405a5-76ba-11e3-92fa-00505 Platform, 2015): 6986313). 1. To make plantations work for people, NGP Platform. 2014. New generation forestry companies need to work with plantations: review 2014. New Generation local communities and civil society. Plantations (NGP) Platform webpage For that to happen, trust is essential. (available at: http://newgeneration 2. However well plantations might be plantations.org/multimedia/file/12b486cb- managed at the site level, they are part ea24-11e3-9f9e-005056986313). of a wider ecological, socio-economic References NGP Platform. 2015. Plantations for people, and governance landscape. To generate 10 things we learnt at the NGP annual social and environmental benefits at Bungenstab, D.J. & Almeida, R.G. 2014. meeting in Santiago, Chile, March 2015. a meaningful scale, collaboration is Integrated crop-livestock-forestry systems: New Generation Plantations (NGP) essential at the landscape scale. Two a Brazilian experience for sustainable Platform webpage (available at: http:// key words – “resilience” and “inclu- farming. EMBRAPA. 304 pp. newgenerationplantations.org/multimedia/ sivity” – must shape any discussion of De Moraes Gonçalves, J.L., Alcarde file/704d2994- d6ef-11e4-9137-005056986313). how this can be achieved. Landscapes Alvares, C., Rioyei Higa, A., Stahl, J., WWF. 2011. WWF living forests report. need to be resilient – meaning that eco- De Barros Ferraz, S.F., De Paula Lima, W., Chapter 1: Forests for a living planet (avail- logical and socio-economic systems Santin Brancalion, P.H., Hubner, A., able at: www.wwf.se/source.php/1359561/ will continue to function and provide Bouillet, J.P., Laclau, J.P., Epron, D. & Living%20Forests%20Report_Chapter%20 the full range of ecosystem services in Nouvellon, Y. 2013. Integrating genetic 1_2011.pdf). the face of changes and shocks, such and silvicultural strategies to minimize WWF. 2016. Webpage (available at: www. as those brought about by climate abiotic and biotic constraints in Brazilian wwf.org.br/natureza_brasileira/areas_ change. And the approach needs to eucalypt plantations. Forest Ecology and prioritarias/mata_atlantica/). u be inclusive – that is, developed with Management, 301: 6–27.

Unasylva 247/248, Vol. 67, 2016/2-3 67 © GÜNTHER KAIN Insulation material made from tree bark

G. Kain, M.C. Barbu and A. Petutschnigg

Low-density bark-based he general trend towards energy- of the total yearly harvested volume composites could make an efficient buildings has increased (because the majority is used as fuel) important contribution to the the need for insulation materials. (Barbu, Irle and Reh, 2014). Considering growing market for TThere are two main types: organic and that bark comprises approximately 10 per- environmentally friendly inorganic; the first type (e.g. polystyrene) cent of any given tree, the theoretically insulation in buildings. is dominated by petroleum-based prod- available bark volume from industrial ucts and the second type by mineral wool. processing worldwide is 160 million m³ Günther Kain, Marius C. Barbu and Alexander Petutschnigg are at the Department Both these insulation material groups have per year. There is a long history of bark use of Forest Products Technology and Timber reasonably poor ecological performance in various wood-based products, but the Construction, Salzburg University of Applied because they are composed of non- primary focus has been on replacing wood Sciences, Austria. Günther Kain is also at the Technical University renewable resources and their production with cheap bark in established composites Munich, Germany. process is energy-intensive. (e.g. Volz, 1973; Nemli and Colakoglu, Marius C. Barbu is also at the Faculty of Wood Tree bark is a promising new insulation 2005; Kraft, 2007; Xing et al., 2007; Engineering, University “Transilvania” Brasov, Romania, the Department for Forestry and Wood material. Manufactured into a low-density Yemele et al., 2008). Even though tree Science at the University of Stellenbosch, South composite product, it is especially attractive bark is already used in products like bark Africa, and the Center for Renewable Carbon, because it makes use of natural “tree insula- mulch and absorbers and as raw materials University of Tennessee, Knoxville, USA. Alexander Petutschnigg is also at the Center tion”, and large quantities are potentially in tannin production and fertilizers, there for Renewable Carbon, University of Tennessee, available at a low cost (Kain et al., 2012). have been calls for alternative products Knoxville, USA, and the Department of Material Worldwide, approximately 1.6 billion m3 Sciences and Process Engineering, BOKU 1 University of Natural Resources and Life of solid wood is used industrially each year, Above: Cross-section Sciences, Vienna, Austria. although this accounts for only 43 percent of larch bark

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Untha Golling four-shaft shredder (6 ≤ x ≤ 10 mm) © GÜNTHER KAIN © GÜNTHER © GÜNTHER KAIN © GÜNTHER

Larch bark particles (diameter 6–10 mm): a resource for insulation panels

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TABLE 1. Experimental design for density and resin content (based on the with higher value added (e.g. Naundorf, oven-dried weight of bark particles) (two specimens for each combination) Wollenberg and Schubert, 2004). Target density (kg/m³) Tannin resin content (%) Mass of resinated particles (g) Bark is the boundary layer of trees, 500 15 996 protecting them from physical and bio- 10 972 logical exterior attacks (Figure 1). It has 5 948 ideal properties, therefore, as insulation, such as low density, a high concentra- 400 15 797 tion of extracts, good thermal insulation 10 778 properties, and relatively low flammability 8 770 (Fengel and Wegener, 2003). Bark not only 350 15 697 has relatively low thermal conductivity, it 10 680 also has very good heat-storage capacity – a combination that makes it especially 300 15 597 suitable for heat-storage insulation layers 250 20 510 (Kain et al., 2013). 15 498 Bark is also a promising resource eco- nomically because it is a by-product in timber manufacturing and is rarely used for products with higher value added. An analysis of the Austrian timber market showed that, in the period from January 2005 to May 2012, softwood bark was, on average, 38 percent cheaper than softwood chips and 14 percent cheaper than sawdust in quantities referred to as “loose cubic metres” (Kain, 2013). The study reported here was conducted to help understand how to produce low- density (≤ 500 kilograms per cubic metre (kg/m3)) bark panels and the most suitable design for use as a thermal insulation material (Kain et al., 2012, 2014a,b).

METHODOLOGY Larch bark (Larix decidua Mill.) was collected at a sawmill in Salzburg County, Austria. The wet bark was crushed in a four-shaft shredder (RS40 of Untha Co.; see top image on page 68) and successively sieved; only the fraction with a diameter of 6–10 mm was selected for production (see bottom image on page 68). This fraction was dried in a vacuum dryer at 60 °C and an absolute pressure of 200– 250 millibars until a final average moisture content of 10 percent was obtained. Quebracho tannin extract (Colatan GT 10

Bark panels could be used as

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Test specimen (50 × 50 × 20 mm3) for IB testing © GÜNTHER KAIN © GÜNTHER © GÜNTHER KAIN © GÜNTHER Larch bark insulation panel bonded with tannin resin (thickness = 20 mm, density = 350 kg/m3)

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of Markmann Co.), hexamethylenetetra- Höfer laboratory press for eight minutes at in the experimental process, and Table 2 mine (Merck Schuchardt Co.) and sodium a temperature of 180 °C (target thickness shows the main properties of the panels. hydroxide solution (Carl Roth Co.) were 20 mm). Table 1 shows the target charac- Variations in panel properties can be used for the resin; the resin comprised teristics of the panels produced. explained satisfactorily by a regression 50 percent (by weight) of tannin-extract Mechanical properties of the bark pan- analysis. Models had coefficients of powder mixed with 50 percent (by weight) els such as modulus of rupture (MOR), determination greater than 0.70 and were water using a mechanical stirrer at a vari- modulus of elasticity (MOE) and internal statistically highly significant (p < 0.001) able stirring rate (700–1500 revolutions bond (IB; see top image on page 70), for all properties except TC, for which the per minute). Ten percent (by weight) of and physical properties such as thermal model was very significant (p < 0.01) (Kain hexamethylenetetramine was added using conductivity (TC), thickness swell (TS) et al., 2014a). Panel density and resin con- a 33 percent solution and the pH was and water absorption (WA) after 2 and tent have a significant influence on panel adjusted to 9 with the addition of sodium 24 hours were evaluated according to properties, which is known from various hydroxide solution. Bark particles were European norms (EN 310, 1993; EN 319, studies on mechanical board properties mixed with the tannin resin in a labora- 1993; EN 317, 1993; EN 12667, 2001). (e.g. Gupta, Yang and Feng, 2011). tory ploughshare mixer. A particle mat This influence was also shown for the (240 × 350 mm2) was formed manually RESULTS investigated bark-based tannin-glued pan- out of the resinated particles (i.e. particles The bottom image on page 70 shows an els. Both density and resin content had impregnated with resin) and pressed with a example of the insulation boards produced a highly significant influence on MOR,

TABLE 2. Board characteristics (with standard deviations in brackets) Target Amount of Density MOR MOE Density IB Density TS 2 h TS 24 h WA 2 h WA 24 h density adhesive MOR/MOE IB TS/WA (kg/m³) (%) (kg/m³) (N/mm2) (N/mm2) (kg/m³) (N/mm2) (kg/m³) (%) (%) (%) (%) 500 15 565 2.94 502.02 507.65 0.32 514.87 8.41 12.83 34.95 58.69 (21.21) (0.43) (73.43) (75.70) (0.10) (61.08) (1.54) (1.12) (7.22) (8.69) 10 565 2.19 384.46 514.77 0.21 534.19 13.46 21.08 45.41 70.11 (21.21) (0.18) (33.83) (65.51) (0.08) (74.12) (2.17) (1.65) (9.24) (8.94) 5 555 1.72 254.54 533.38 0.16 535.10 20.52 27.10 56.23 77.17 (7.07) (0.12) (43.44) (23.99) (0.01) (29.50) (1.11) (1.72) (3.08) (2.96) 400 15 475 1.71 239.55 457.63 0.24 452.62 8.97 12.16 45.64 67.13 (7.07) (0.23) (10.42) (31.05) (0.02) (23.25) (1.52) (1.79) (1.99) (2.32) 10 435 1.09 165.55 402.27 0.14 408.16 12.68 16.80 52.12 79.12 (7.07) (0.21) (6.67) (58.29) (0.06) (67.69) (0.93) (2.05) (6.52) (4.57) 8 455 0.85 140.11 440.34 0.14 442.45 15.56 19.76 56.76 80.39 (7.07) (0.02) (0.28) (14.93) (0.01) (9.75) (1.27) (2.02) (1.31) (0.78) 350 15 405 0.86 149.70 384.68 0.16 386.37 10.39 14.04 51.11 78.32 (7.07) (0.11) (27.62) (22.91) (0.03) (40.10) (1.86) (2.98) (3.62) (3.62) 10 400 0.67 121.46 387.29 0.12 387.09 13.37 17.34 54.93 82.60 (14.14) (0.11) (9.59) (23.24) (0.02) (39.00) (1.10) (1.95) (3.07) (4.20) 300 15 345 0.45 67.80 340.64 0.10 325.21 10.27 12.21 57.68 83.06 (7.07) (0.04) (8.45) (28.42) (0.05) (35.79) (0.79) (1.07) (1.45) (2.62) 250 20 320 0.37 41.94 293.24 0.07 293.83 9.62 11.81 55.87 83.79 (14.14) (0.01) (6.21) (23.73) (0.03) (31.12) (1.07) (1.06) (1.82) (2.05) 15 305 0.27 46.39 293.53 0.06 282.14 8.80 12.31 59.81 85.96 (21.12) (0.01) (15.32) (29.84) (0.03) (31.50) (2.12) (3.35) (2.32) (10.24) Note: MOR = modulus of rupture, MOE = modulus of elasticity, IB = internal bond, TS = thickness swelling, WA = water absorption.

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2 Ashby chart of the internal bond strength of various insulation materials

Extruded polystyrene Bark (tannin)

Expanded polystyrene Bark (UF) ) 2 PUR foam Cork

IB (N/mm Mineral wool

Wood wool

Wood fibres

Density (kg/m3)

Source: Except for bark, data are according to Pfundstein et al. (2007).

MOE, IB and WA; TS was statistically TS after water immersion for 2 hours 250 kg/m3 had, on average, a TC of significantly influenced only by resin con- and 24 hours was statistically highly 0.069 watts per metre kelvin (W/(m*K)) tent, and TC was statistically significantly significantly influenced by resin content (SD=0.0007 W/(m*K)), and boards with influenced only by density. The influence but not by density. The highest TS was a density of 500 kg/m3 exhibited a TC of of panel density on MOR was nearly three observed for panels with a resin content 0.093 W/(m*K) (SD=0.002 W/(m*K)). times greater than the influence of resin of 5 percent – at 20.52 percent, on average content, and the same was true for MOE. (SD = 1.11 percent), after 2 hours and at DISCUSSION Average MOR ranged from 0.32 new- 27.10 percent (SD = 1.72 percent) after Low-weight bark-based panels glued with tons per square millimetre (N/mm2) 24 hours. a condensation resin (8–12 percent urea- (standard deviation [SD] = 0.06 N/mm2) WA was influenced 1.5 times more formaldehyde, based on the oven-dried for panels with a density of 250 kg/m3, to strongly by density than by resin content weight of particles) showed sufficient 2.28 N/mm2 (SD = 0.59 N/mm2) for panels after 2 hours of water immersion and mechanical strength for parameters such with a density of 500 kg/m3, and average 1.8 times more strongly after 24 hours. as MOR, IB, compressive resistance and MOE ranged between 44.2 N/mm2 (SD WA was highest for the lightest boards tensile strength, as well as sufficient TS = 9.88 N/mm2) and 380.3 N/mm2 (SD = (250 kg/m3), with 57.8 percent (SD = for insulation purposes (Kain et al., 2013, 118.08 N/mm2). 2.86 percent) after 2 hours of water immer- 2014b). The boards glued with tannin- The influence of density on IB was double sion and 84.9 percent (SD = 7.06 percent) based resin were, on the one hand, much that of resin content. Average IB ranged after 24 hours. lighter than the panels studied previously from 0.06 N/mm2 (SD = 0.03 N/mm2) for There was a very significant (p < 0.01) and, on the other, had similar properties to panels with a density of 250 kg/m3, to positive correlation between panel den- bark panels made using urea-formaldehyde 0.23 N/mm2 (SD = 0.10 N/mm2) for panels sity and TC (coefficient of determination resin (Kain et al., 2012). The investigated with a density of 500 kg/m3. = 0.82). Panels with a target density of panels had a density of 250–550 kg/m3.

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3 Ashby chart of thermal conductivity of Spruce insulation materials by comparison

Foamed clay Wood wool

Bark (UF) Wood fibres

Cork Bark (tannin) Thermal conductivity (W/(m*K))

PUR foam Mineral wool Polystyrene

Density (kg/m3)

Source: Except for bark, data are according to Pfundstein et al. (2007).

The MOR of a standard wood-fibre after 24 hours of water immersion at 20 °C phase shift in hot surroundings and thereby insulation panel with a density of 230– to 15 percent. This standard was achieved providing an excellent indoor climate in 400 kg/m3 and a thickness of more than in the bark panels examined here with res- hot weather (Kain et al., 2013). 20 mm should be more than 0.8 N/mm2 ination of 15 and 20 percent; a resination (according to EN 622-4). This require- of 10 percent resulted in an average TS of CONCLUSIONS ment was met by panels with a density 18.4 percent (SD = 0.6 percent). This study has shown that larch bark (Larix of 350 kg/m3 glued using 15 percent of Bark-based tannin-glued panels showed decidua Mill.) is a suitable raw material for tannin-based resin (average 0.86 N/mm2, the same relationship between density and the manufacture of insulation panels. Just SD = 0.11 N/mm2). The heavier boards TC as did the pine bark (Pinus sylvestris) as importantly, a natural, highly adhesive were even stronger, but the lighter boards panels pressed by Kain et al. (2012). TC was system based on tannin resin could be did not meet the requirement and their 0.069 W/(m*K) (SD = 0.00070 W/(m*K)) applied successfully to particle bonding, potential use is limited to applications for larch-bark-based panels with a density thereby enabling manufacturers to produce where they are not subject to bending. of 250 kg/m3, and 0.093 W/(m*K) (SD = insulation panels that are free of synthetic For IB (an important characteristic for 0.0021 W/(m*K)) for panels with a density resins. insulation panels because it describes the of 500 kg/m3, which was not as low as As expected, density and resin content cohesion of single particles, especially the TCs for very light insulation materials significantly influence the mechanical in the core), the studied panels showed such as polystyrene and mineral wool but properties (MOR, MOE, IB) of panels; superior properties compared with most competitive with wood wool and heavier interestingly, however, resin content other commonly available insulation panels wood-fibre materials (Figure 3). A poten- explains only one-third of the variance due to their higher density (Figure 2). tial benefit of the larch-bark-based panels is that can be explained by panel density Schwemmer (2010) developed insulation their low thermal diffusivity (ranging from and has therefore much less explanatory panels out of reed mace and limited the TS 1×10 -7 to 2×10 -7 m2/s), resulting in a high power than previously assumed. This raises

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questions about the nature of the chemical elements, as shown in Austria’s winning Kuchl (for the use of labs and equipment); bonding prevalent in the particle–resin contribution at an international competition Untha Shredding Technology in Golling matrix and whether reactive groups in the for low-energy houses in California (Solar (for chipping the bark); and Fritz Egger bark play significant roles in particle bond- Decathlon Team Austria, 2013), in which in Unterradlberg and Teubel & Kurz in ing. Further investigations are required to rooms were lined with bark-wall cladding Pischelsdorf (for screening the bark). u answer these questions. (see image above).  The heat transfer mechanisms within the Our research indicates that bark is investigated panels also require detailed a low-cost raw material with suitable study, because large cavities in the rela- properties for use in the booming insulation- tively thin panels (20 mm) are likely to manufacturing industry. Moreover, further produce poorer results for TC than those study of this natural thermal insulator could in thicker boards. The interaction between lead to improved materials for meeting particle size, panel density, particle ori- future insulation requirements and provid- entation and TC is also a worthy subject ing a means for efficient value adding to References of further research. Greater knowledge an industrial by-product. of panel structure, especially pore size Barbu, M.C., Irle, M. & Reh, R. 2014. distribution, could help in optimizing TC ACKNOWLEDGEMENTS Wood-based composites. In A. Aguilera (Kain et al., 2016a, b). The authors thank the following Austrian & P. Davim, eds. Research developments The use of bark as an insulation mate- companies for their support: Peter Graggaber in wood engineering and technology. IGI rial is promising, but it is also feasible to in Unternberg (for the larch bark); Salzburg Global Engineering Science Reference. use bark panels as decorative interior wall University of Applied Sciences – Campus Hershey.

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EN 310. 1993. Engineered wood products: 2016a. Analyzing wood bark insulation Xing, C., Zhang, S.Y., Deng, J. & Wang, S. determination of the modulus of rupture and board structure using X-ray computed 2007. Investigation of the effect of bark fiber the modulus of elasticity. Brussels, Belgium, tomography and modeling its thermal as core material and its resin content on European Committee for Standardization conductivity by means of finite difference three-layer MDF performance by response (CEN). method. Journal of Composite Materials, surface methodology. Wood Science and EN 317. 1993. Fiberboards and particleboards: 50(6): 795–806. Technology, 41: 585–595. determination of the thickness swelling after Kain, G., Güttler, V., Barbu, M.C., Yemele, M.C.N., Cloutier, A., Diouf, P.N., water storage. Brussels, Belgium, European Petutschnigg, A., Richter, K. & Tondi, G. Koubaa, A., Blanchet, P. & Stefanovic, T. Committee for Standardization (CEN). 2014a. Density related properties of bark 2008. Physical and mechanical properties EN 319. 1993. Fiberboards and particleboards: insulation boards bonded with tannin of particleboard made from extracted black determination of the internal bond. hexamine resin. European Journal of Wood spruce and trembling aspen bark. Forest Brussels, Belgium, European Committee and Wood Products, 72: 417–424. Products Journal, 58(10): 38–46. u for Standardization (CEN). Kain, G., Lienbacher, B., Barbu, M.C., EN 622–4. 1993. Fiberboards requirements: Plank, B., Klaus, R. & Petutschnigg, A. requirements for porous panels. Brussels, 2016b. Evaluation of relationships between Belgium, European Committee for particle orientation and thermal conductivity Standardization (CEN). in bark insulation board by means of CT EN 12667. 2001. Determination of the thermal and discrete modeling. Case Studies in resistance with the panel and heat flow Nondestructive Testing and Evaluation (in panel measuring device. Brussels, Belgium, press). European Committee for Standardization Kraft, R. 2007. Chemical-technical utilization (CEN). of used engineered wood products and tree Fengel, D. & Wegener, G. 2003. Wood: bark. Dissertation. Göttingen, Germany, chemistry, ultrastructure, reactions. Göttingen University (in German). Remagen, Germany, Kessel Verlag. Naundorf, W., Wollenberg, R. & Schubert, D. Gupta, M., Yang, J. & Feng, W. 2011. Effects 2004. Refinement of bark towards granular of pressing temperature and particle size on filler and insulation materials.Holz als Roh- bark board properties made from beetle- und Werkstoff, 62: 397–404 (in German). infested lodgepole pine (Pinus contorta) Nemli, G. & Colakoglu, G. 2005. Effects of barks. Forest Products Journal, 61(6): Mimosa bark usage on some properties of 478–488. particleboard. Turkish Journal of Agriculture Kain, G. 2013. Insulation materials made and Forestry, 29: 227–230. from tree barks. Saarbrücken, Germany, Pfundstein, M., Gellert, R., Spitzner, H. & Akademikerverlag (in German). Rudolphi, A. 2007. Insulation materials: Kain, G., Barbu, M.C., Hinterreiter, S., basics, materials, applications. Munich, Richter, K. & Petutschnigg, A. 2013. Germany, Department for International Using bark as a heat insulation material. Architecture Documentation Corporation Bioresources, 8(3): 3718–3731. (in German). Kain, G., Barbu, M.C., Richter, K., Schwemmer, R. 2010. Development of a Petutschnigg, A. & Plank, B. 2014b. manufacturing technology for an insulation Use of tree bark as insulation material. material out of reed mace. Vienna, Federal In Proceeding of the Third International Ministry for Association, Innovation and Conference on Processing Technologies Technology. for the Forest and Biobased Products Solar Decathlon Team Austria. 2013. Living Industries, Kuchl, pp. 352–360. inspired by sustainable innovation. Webpage Kain, G., Barbu, M.C., Teischinger, A., (available at: www.solardecathlon.at). Musso, M. & Petutschnigg, A. 2012. Accessed June 2016. Substantial bark use as insulation material. Volz, K.R. 1973. Manufacturing and properties Forest Products Journal, 62(6): 480–487. of spruce, pine and beech bark panels. Wood Kain, G., Charwat-Pessler, J., Barbu, M.C., Science and Technology, 31: 221–229 (in Plank, B., Klaus, R. & Petutschnigg, A. German).

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SPECIAL EVENTS AT THE XIV WORLD FORESTRY CONGRESS

International Forests and Water Dialogue such as mangroves, ecosystem services, participatory governance, There is increasing consensus on the important roles that trees and watershed management and integrated landscapes. forests play in the hydrological cycle. With a greater understanding The Dialogue generated ten key messages, from which the fol- of the gaps in knowledge, it is important to integrate science, practice lowing three top-level messages were distilled and presented to the and policy to inform and guide the management of forests for the XIV World Forestry Congress plenary: provision of water-related ecosystem services, including through 1. The interaction between trees, forests and water and the role economic incentives and institutional mechanisms. Land managers this plays in addressing critical issues, such as food security, and policy-makers need to manage the trade-offs between the access to quality water, climate change and landscape resil- ecosystem services provided by forests and trees and the impacts ience, deserves greater recognition at the national, regional and of forests on water availability. international levels. The International Forests and Water Dialogue, a two-day special 2. The Dialogue reaffirmed that there is a strong demand and need event held during the XIV World Forestry Congress, was conceived for, and willingness to participate in and contribute to, a newly to encourage discussion on forest–water interactions and the inte- established network of partners that will consolidate, synthesize gration of science, practice and policy, and to launch the Five-year and share knowledge, best practices and common methodolo- Forests and Water Action Plan. The Dialogue was the latest milestone gies, as well as build the capacity of scientists, practitioners and in the Forests and Water Agenda, and it represented the transition policy-makers, on the interactions between forests and water. from discourse to action. The event was co-organized by FAO, the 3. There is a need for decision-makers to allocate greater resources International Union of Forest Research Organizations (IUFRO), the for research on forest–water interactions and the translation of World Agroforestry Centre (ICRAF) and the International Network this research into policy action and practical implementation, for Bamboo and Rattan (INBAR). including at the community level. The Dialogue featured a range of speakers, breakout sessions, the The proceedings of the Forests and Water Dialogue are available launch of the Forests and Water Action Plan and a review panel. There at: www.fao.org/about/meetings/world-forestry-congress/programme/ was also a “world café”, which showcased examples of forest–water special-events/water interactions from various countries and engaged participants in an information exchange on best practices and lessons learned on topics Participants discuss a poster during the world café on forests and water © ICRAF/DAISY OUYA

Unasylva 247/248, Vol. 67, 2016/2-3 77 © FAO/DANIEL HAYDUK Zaituni Ramadhani cooks using a fuel-efficient stove More than heat! Wood energy for the future in Kiroka, United Republic of Tanzania. The stoves require much less firewood than traditional three-stone More than half of all wood produced worldwide is used for energy. stoves and have proven very successful in the area In developing countries, wood is often the only energy source for poor people in both urban and rural areas. One-third of households – mostly in developing countries – use wood as their main source of fuel for cooking, and about 765 million people use woodfuel to boil 2. Wood is a high-value product, and woodfuel may not always their drinking water. be the highest value-added end use. In some circumstances, There are many challenges to the sustainable production and however, it may be the best option for energy production. consumption of wood energy, including illegal production; indoor air 3. A comprehensive approach addressing the full value chain for pollution due to the inefficient use of woodfuel; the disproportionate fuelwood and charcoal as well as governance issues is needed burden that woodfuel collection imposes on women and children; to improve sustainability and efficiency, especially for charcoal and the cross-continental trade and large-scale use of wood pellets production and trade. for power generation and district heating in industrialized countries, 4. Special attention needs to be paid to women and children, who which has led to concerns regarding the sustainability of production. If bear most of the burden of woodfuel collection and use, includ- woodfuel becomes scarce, people may cook fewer meals or be unable ing by reducing the health risks. to sterilize drinking water, affecting human health and food security. 5. As countries embark on a sustainable development path in the The main purposes of this half-day special event at the XIV World context of the post-2015 development agenda, wood energy Forestry Congress on wood energy for the future, which featured ten should be considered as a viable, renewable alternative to fossil speakers and a wide-ranging interactive discussion, was to showcase fuels for a wide range of industrial purposes in industrialized as the potential of wood energy for sustainable development and greener well as developing countries. economies and to highlight ways of making wood energy use more 6. In sub-Saharan African countries, where a large proportion of sustainable and efficient. It produced the following six key messages: the population relies on wood energy, enhancing the sustain- 1. Wood energy is not “the poor man’s fuel”. It is a renewable, ability and efficiency of woodfuel production and consumption climate-friendly and available form of energy when produced should be a priority for development policies and strategies. sustainably and used efficiently.

A “flash mob” of young attendees at the Youth event: forests for the future XIV World Forestry Congress, International Conference Center, Durban, South Africa This event was organized by young people for young people, with the specific aim of bringing the youth perspective to the World Forestry Congress. As vital stakeholders in the process of sustainable development, participants in this special event debated the forestry issues of –– communication greatest concern to young people and generated actionable ideas, –– practical capacity building helping define the way forward for forests and forestry. The event –– critical thinking; and produced the following statement framed as a youth “vision” and >> platforms for the meaningful engagement of young people “commitment to change”. and social equity in local/national/global decision-making • Youth, as a collective, envisions forests as resources that are processes. managed in ways that enable continuous provision for the needs Additional actionable points submitted by participants in the Youth of current and future generations. We see forests that: Forum: >> are managed based on multistakeholder engagement and • Let us, the youth, be outcomes- and results-orientated. Let all acceptance; youth who attend World Forestry Congresses go with the idea >> serve people – provision of food, water, shelter, energy and that they are going to actively band together to deliver a project. employment; Let’s propel the youth to have a single, simple, medium-to-large >> are maintained as a spring of inspiration, spirituality and project that is shared, no matter which part of the world they culture; and reside in. This will provide a platform for progress from theoreti- >> protect nature and the climate, and ultimately sustain life. cal discussions to quantifiable project outcomes. • By respecting different perspectives, beliefs and cultures and • Young people should be meaningfully engaged in forestry bringing people together rather than setting them apart: platforms (e.g. programme implementation, policy formulation, >> framing actionable policies at all levels; processes, project design and formulation). >> implementing policies at the local, national and global levels; • Critical reforms are needed in the forest education sector, from >> actively engaging in our communities; theory-based to practical-based approaches, with better and >> breaking barriers and contributing to integrated solutions practical learning approaches to attract young people to the across sectors, regions and generations; concept of forestry and sustainable forest management. >> partnerships and alliances for a green economy; and • Support youth initiatives in sustainable forest management as >> leading change today for tomorrow. a way of creating livelihoods and jobs for rapidly growing young • We urge decision-makers to provide: populations. >> investment in innovative education for developing skills, • Build capacity and create mentorship programmes to enable including the young to develop skills, exposure and expertise in forestry –– social and intercultural awareness and sustainable forest management.

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Wildlife Forum 3. The role of indigenous and local communities in wildlife manage- Sustainable wildlife management practices help conserve native ment is essential and must be strengthened through participatory fauna and their natural habitats and improve the livelihoods of approaches, including in wildlife monitoring and the eradication rural communities. Wildlife resources are threatened, however, by of poaching and wildlife crime. deforestation and the conversion of forested habitats to agriculture 4. It is possible to sustainably harvest wild meat and other non-wood and other land uses; forest fragmentation and degradation; wildlife forest products, and this is compatible with conservation, improved habitat encroachment; overgrazing; human–wildlife conflict; and the livelihoods, food security and nutrition. Better understanding of the unregulated, unsustainable exploitation of wildlife and its products. causes and consequences of human–wildlife conflicts, including The first Wildlife Forum provided a unique opportunity for for- analyses of local situations, is needed in order to create models est policy-makers, managers and other stakeholders to exchange for mitigating conflicts and increasing the tolerance of indigenous information and knowledge on initiatives on the sustainable use and and local communities towards co-existence with wildlife. conservation of terrestrial and semi-terrestrial wildlife. It generated 5. Combating the illegal trade in wildlife requires: the following five key messages: >> a coordinated effort at all levels, treating such crimes as 1. The sustainable management of wildlife is an important part serious, and deploying the same tools and techniques used of integrated approaches to the multipurpose use of natural to combat other serious crimes; resources and can play a meaningful role in addressing the >> the involvement of indigenous and local communities, recog- Sustainable Development Goals. Done sustainably, wildlife nizing that basic levels of security must first be in place for management can provide benefits for food security, livelihoods, communities to benefit from the legal use of wildlife; natural heritage, and biodiversity and ecosystem conservation. >> stronger interagency and cross-border collaboration; and 2. Multidisciplinary approaches with strong community participa- >> the deployment of novel and innovative approaches and tion are needed to combine knowledge on the sustainable use tools for the monitoring of wildlife populations, use and trade, and trade of wild meat and other non-wood forest products, including new identification and traceability tools. strengthen legal frameworks and health protocols, and promote The Wildlife Forum was organized by the Collaborative Partner- law compliance, multisectoral collaboration, innovative market ship on Sustainable Wildlife Management, a voluntary partnership approaches, and best practices. Foresters should be encouraged of 13 international organizations, including FAO. to ensure that sustainable forest management takes wildlife and non-wood forest products fully into consideration. Actors in a play on human–wildlife conflicts performed during the Wildlife Forum take a well-deserved bow © FAO/GIUSEPPE CAROTENUTO

“FORESTS AND PEOPLE” PHOTO CONTEST

Sofía Alvarez Capuñay of Peru won the XIV World Forestry FAO launched the photo contest to highlight the importance Congress Forests and People photo competition. Her photo, of forests to people in the run-up to the XIV World Forestry Eres una hoja (You Are a Leaf) (above), features a woman Congress, which took place in Durban, South Africa, on standing in a Peruvian forest covering her face with a leaf. 7–11 September 2015.

“We live in a world full of traffic, buildings, smoke, factories Renowned photographer Stuart Franklin of Magnum Photos and so much noise,” Alvarez Capuñay said of her entry. “We chose six finalists from over 900 submissions received from are so focused on our daily problems that we forget that 78 countries. The six finalists were published on FAO’s Face- we are part of a whole, and we are as fragile as a leaf. We book page and received over 4 000 votes, with Alvarez should remember that we are very small compared to the Capuñay’s photo the runaway winner with over 2 100 votes. power and grandeur of nature.” She won a trip to the Congress and a portfolio review by Stuart Franklin.

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 Somennath Mukhopadhyay (India) Gathering Gold

 Tsigie Befekadu (Ethiopia) Wood for

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 Aditya Sinugraha Pamungkas (Indonesia) Small Gifts for the Earth © FAO/ADITYA SINUGRAHA PAMUNGKAS © FAO/TOLOJANAHARY RANAIVOSOA  Tolojanahary Ranaivosoa (Madagascar) Cuisson des briques au feu du bois (Firing Bricks on Woodfire)

 Liliana Vanegas (Gabon) Los ojos de Jean Pierre (Jean Pierre’s Eyes)

View more entries at: www.flickr.com/photos/faoforestry/albums/ 72157655112907678/with/19129967888

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TREEHOUSING WOOD DESIGN COMPETITION

Housing for the world’s growing urban population is a major Category 1 challenge for global sustainability. The Treehousing Wood The Grand Prize in Category 1 was shared by two entrants: Design Competition, held as part of the XIV World Forestry architecture student Ayla Harvey from South Africa for her Congress, challenged architecture students, architects and community “Jungle Gym”, which was praised by the jury for designers to develop innovative and sustainable wood- capturing the dynamic spirit of urban life; and Koura Studios housing and urban building solutions. and ARUP Seattle, in the United States of America, for their “Nkosi Market”, which the jury said showed a good under- There were two open categories: standing of South African forestry and forestry products. • Category 1 – Treehousing Durban: Tall Wood Housing • Category 2 – Treehousing Global: Affordable The Student Award in Category 1 went to STark (France/ Wood Housing. Germany) for “The Social Net Wood”, which the jury considered “entirely buildable”. More than 200 projects by teams in 60 countries were submitted to the competition, which was organized jointly by FAO and the Canada-based Design Build Research School. © FAO/AYLA HARVEY

 Ayla Harvey (South Africa) Jungle Gym

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 STark (France/ Germany) ark The Social Net

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Category 2 by the jury for its clarity and simplicity. Second prize went to In this category, applicants were challenged to design a.gor.a architects (Thailand) for “Temporary Dormitories for affordable wood housing for a site anywhere in the world. Mae Tao Clinic” in Thailand, commended for its practical The Grand Prize winner in this category was Shosholoza and affordability. Monika Wozniak (Poland) won the student prize Friends (Italy) for its design “(HOUSE)TREE(WORK)”, imagined for her “Natural Wood Skin”, a design for Hong Kong that for a sustainable rural community site in Ethiopia and praised the jury appreciated for its ambitious large-tower formats.

 Shosholoza and Friends (Italy)

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These images are also available online at: www.flickr.com/photos/faoforestry/sets/72157656081986493

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FAO FORESTRY

FAO and Slow Food launch voluntary product label factors such as the size of production, the impact on the environment, for mountain goods and the altitude at which the goods are made. FAO’s Mountain Partnership and Slow Food recently launched a new The Partnership will also oversee a verification system through voluntary label for mountain goods with the aim of improving market which an appointed expert or authorized entity will periodically monitor access for small mountain producers from developing countries and a random sample of products carrying the Mountain Partnership highlighting the quality of their products. Product label to ensure the goods continue to meet the guidelines. The new label informs buyers that the products marketed under it For a select number of products, including those in Kyrgyzstan have been manufactured in mountain areas by small producers and and the Plurinational State of Bolivia, FAO is providing additional that the purchase of those products supports local biodiversity and support. This ranges from teaching producers new ways to scale respects the cultural traditions of local communities. up and add value to their existing production – such as in the case Two pilot products were identified for the start of the Mountain of the Kyrgyz apricots – to helping start an entirely new production Partnership Products initiative: apricots grown in the remote moun- and distribution chain – such as in the case of the revival of black tainous region of Batken in Kyrgyzstan; and rare black amaranth amaranth in the Plurinational State of Bolivia. grain produced in the Bolivian Andes. A variety of other goods from The initiative merges the strengths of the Mountain Partnership in mountain areas in developing countries, such as coffee, tea and addressing highland-specific challenges through its global network with spices, will also be marketed under the new label. The label will be the experience of Slow Food in supporting traditional crops and products available free of charge to mountain producers following a review that otherwise might be at risk of disappearing, while protecting of their products and production methods. unique ecosystems and recovering traditional processing methods. The scheme is designed to ensure fair returns for producers and The collaboration is part of a three-year agreement between FAO the equitable distribution of profits along the entire value chain. and Slow Food to promote more inclusive food and agriculture sys- The mountain label is not mandatory for mountain producers, and tems at the local, national and international levels. Slow Food joined nor does it replace other labels that their products may have to carry the Mountain Partnership – the UN alliance dedicated to improving under national laws. It is an easy way in which small-scale producers mountain livelihoods and environments – in March 2016. and associations can set their wares apart in a positive way. Those More information: www.mountainpartnership.org/our-work/regional wishing to apply for the label can contact the Mountain Partnership cooperation/climate-change-and-mountain-forests/mountain-products Secretariat directly or through local Mountain Partnership focal points. Requests will be evaluated based on a set of criteria that addresses The first batch of labelled mountain products © FAO/ALESSIA VITA © FAO/ALESSIA

Participants in a workshop on forest concession Making forest concessions work systems in September 2015 visit a forest concession in the Jamari National Forest, Rondônia, Brazil FAO, in partnership with the International Tropical Timber Organi- zation, the Brazilian Forest Service, the Center for International Forestry Research and the French Agricultural Research Centre for parties (typically private companies or communities), transferring International Development, launched the Forest Concessions Initiative forest-harvesting rights in exchange for payments or the provision of in 2015 to explore the future development of tropical forest conces- management services in the areas under concession. Concessions sions and propose alternative models to (traditional) concession generally refer to rights related to the harvesting of timber or other systems. The initiative aims to promote tropical forest concessions forest products and the long-term management of forest resources. as a means of incorporating the best practices of sustainable forest The goal of the Forest Concessions Initiative is to work with gov- management (SFM) while also increasing the contributions of forests ernments and the private sector to create concession systems that to socio-economic development, biodiversity conservation and carbon are sensitive to the needs of local communities, enable operators sequestration. to obtain reasonable profits and provide stable and attractive jobs, In many countries, forest concession systems are important and maintain the integrity of forest resources. approaches to the management of public forests. They are a legal FAO estimates that 76 percent of forests worldwide are publicly instrument through which the state establishes agreements with third owned; between 1990 and 2010, the percentage of privately managed

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public forests under concessions increased from 3 percent to 15 per- The international workshop, “What Future for Forest Concessions cent. Forest concessions are adopted in all parts of the world in and Alternative Allocation Models for Managing Public Forests?”, boreal, temperate and tropical forests. In most of the developing was an intense and productive four-day event. It comprised presenta- world, however, information on the area of forest under this type of tions, discussions in working groups and plenary, and other forms of contractual arrangement is scarce and unreliable. Recent studies interaction among participants, including a field visit to the first area commissioned by FAO in selected countries in West and Central allocated as a concession in the Jamari National Forest. The work- Africa, Latin America and Southeast Asia reported at least 122 million shop proposed two actions for the work of the Forest Concessions hectares of forest concessions. In 20 selected countries, industrial Initiative: forest concessions accounted for 14 percent of all public forests 1) The creation of a community of practice or network of practitioners and 60 percent of public forests designated for production. In recent and policy-makers interested in regularly sharing experiences, years, concessions have been established with forest communities, good practices and specific actions on concessions and other especially in some countries in Latin America. public–private arrangements for managing public production If well managed, concessions have the potential to mainstream forests. SFM and provide local communities with economic, social and envi- 2) The production of updated guidelines for the effective management ronmental benefits. Small and medium-sized concessions granted to of public production forests in tropical countries through forest communities seem to work best, with wider positive repercussions concessions in the context of the 2030 Agenda for Sustainable for the livelihoods of those communities. In Brazil, for example, forest Development. The aim of the guidelines would be to advise concessions generate more than 6 000 direct and indirect jobs for policy-makers, forest entrepreneurs and forest communities on every 1 000 cubic metres of harvested logs; in the Plurinational State the management and governance of forest concessions and of Bolivia, rural families participating in the community management economic, social and environmental aspects, including good of forests increased their incomes by an average of 23 percent, much practices and innovative approaches. The guidelines would build of which was reinvested in basic community education projects, on reports already prepared as part of the initiative, the results infrastructure and health. of the workshop, and additional information and consultations As part of the Forest Concessions Initiative, a workshop was held at the regional level. in Porto Velho, Rondônia, Brazil, in September 2016 to discuss the More information: www.fao.org/forestry/sfm/92208 role of forest concessions as an important tool for SFM, especially in the tropics.

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WORLD OF FORESTRY

22nd Conference of the Parties to the “We call for all Parties to strengthen and support efforts to United Nations Framework Convention on eradicate poverty, ensure food security and to take stringent Climate Change action to deal with climate change challenges in agriculture. A statement issued by world leaders at the 22nd Conference of the “We call for urgently raising ambition and strengthening Parties (COP22) to the United Nations Framework Convention on cooperation amongst ourselves to close the gap between Climate Change, held in Marrakech, Morocco, on 7–18 November current emissions trajectories and the pathway needed to 2016, confirmed their continued support for the Paris Agreement meet the long-term temperature goals of the Paris Agreement. on climate change. “We call for an increase in the volume, flow and access to In the “Marrakech Action Proclamation for Our Climate and finance for climate projects, alongside improved capacity and Sustainable Development”, which was read to the plenary at technology, including from developed to developing countries. COP22, the heads of state, government and delegations said they “We the Developed Country Parties reaffirm our US$100 bil- welcomed the rapid entry into force of the Paris Agreement and that lion mobilization goal. “we affirm our commitment to its full implementation”. Under the Paris “The transition in our economies required to meet the Agreement, which was adopted in 2015, all nations have agreed to objectives of the Paris Agreement provides a substantial combat climate change and to unleash actions and investments positive opportunity for increased prosperity and sustainable towards a low-carbon, resilient and sustainable future. Among other development. things, the Paris Agreement formally recognizes the important role “As we now turn towards implementation and action, we of forests in addressing climate change. reiterate our resolve to inspire solidarity, hope and opportunity The Marrakech Action Proclamation contains a number of other for current and future generations.” important statements by the heads of state, government and delegations, among which are the following: Read the Marrakech Action Proclamation for Our Climate and “We call for the highest political commitment to combat Sustainable Development at: unfccc.int/files/meetings/marrakech_ climate change, as a matter of urgent priority. nov_2016/application/pdf/marrakech_action_proclamation.pdf. News “We call for strong solidarity with those countries most on other developments at COP22 is available at: newsroom.unfccc.int vulnerable to the impacts of climate change, and underscore the need to support efforts aimed to enhance their adaptive Participants in UNFCCC COP22 in Marrakech, capacity, strengthen resilience and reduce vulnerability. Morocco, show their support for implementing the Paris Agreement on climate change © UN CLIMATE CHANGE

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BOOKS

Integrating forests and other land uses Landscape restoration in Asia and the Pacific

Foresters call for action: future land management needs better integration of Forest landscape restoration for Asia-Pacific forests. S. Appanah. 2016. Bangkok, sectors. Recommendations from the XIV World Forestry Congress. Brochure. FAO and Center for People and Forests – RECOFTC. ISBN 978-92-5-109094-7. 2015. Rome, FAO. The need to restore forests is increasing in Asia and the Pacific, and The XIV World Forestry Congress delivered a strong message: there are large areas of degraded forests and lands. Forest land- global challenges require increased efforts to better manage land by scape restoration (FLR) is an innovative approach that integrates integrating forests and other land uses. Why is it essential to better forest restoration with other activities across landscapes to achieve integrate forests and other land uses? What barriers on the ground optimum productivity in both commercial and ecological terms. Many must be overcome to simultaneously increase agricultural output practitioners are not fully aware of the concepts behind the FLR and boost the productive and protective functions of forests? How approach, however. With a view to strengthening FLR in the region, can policy-makers, the private sector, stakeholders and researchers the FAO Regional Office for Asia and the Pacific and RECOFTC contribute to a more integrated and sustainable approach to land undertook a multicountry study to review the status of forest and use? This brochure explains how these questions were addressed land degradation, commonly used restoration approaches, and at the World Forestry Congress in South Africa in 2015. It aims to the policy and institutional environments capable of supporting the stimulate discussion as well as collaborative and cross-sectoral introduction of FLR. planning and action at the landscape scale. Available online: www.fao.org/3/a-i5412e.pdf Available online: www.fao.org/3/a-i5227e.pdf

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Paying for forest services in sub-Saharan Africa Woodfuel: vital for displaced people

Payments for forest environmental services in sub-Saharan Africa: a practical guide. Assessing woodfuel supply and demand in displacement settings: a technical P. Nantongo Kalunda. 2016. Accra, FAO. ISBN 978-92-5-109201-9. handbook. R. D’Annunzio, A. Gianvenuti, M. Henry & A. Thulstrup. 2016. Rome, This publication responds to calls in various regional and global FAO and the Office of the United Nations High Commissioner for Refugees. forestry forums to strengthen capacity for effectively developing ISBN 978-92-5-109284-2. and implementing payment schemes for environmental services In densely populated areas, such as those found in the context of in sub-Saharan Africa. It focuses on forest-based environmental forced displacement, ensuring access to natural resources, including services such as carbon sequestration, watershed protection and woodfuel, can be highly challenging. In protracted crises, camps for biodiversity conservation. It comes at a time when forests are at refugees and internally displaced persons are often established in the centre of global responses to the challenge of climate change locations where natural resources are already scarce and where lim- and when payment schemes for forest environmental services are i t e d r e s o u r c e a c c e s s c a n i n c r e a s e f o o d i n s e c u r i t y a n d s o c i a l c o n fl i c t s . increasingly seen as a valuable means of generating revenues for The environmental damage caused by the unsustainable extraction local economic development from sustainable forest management. and use of woodfuel can be long-lasting. The publication compiles lessons applicable in sub-Saharan The sustainability of woodfuel extraction can be evaluated by Africa generated by initiatives in the subregion and in other regions assessing: the standing woody biomass available for use as relevant to sub-Saharan Africa. It is designed as a practical refer- fuel (woodfuel supply); consumption over a given period (using ence covering all the main topics related to payment schemes woodfuel consumption as a proxy for woodfuel demand); and the for forest environmental services, from the basics of quantifying interrelationships and gaps between demand and supply. This and valuing those services to the arts of market development and evaluation method determines whether the rate at which wood is stakeholder engagement. FAO hopes that a better understanding harvested outpaces the natural or managed rate of woody regrowth of these dimensions and associated practical lessons will facilitate in nearby areas and can help identify options for improving energy the growth of payment schemes for forest environmental services, use. The manual presents a methodology for assessing woodfuel from the few existing local and small-scale initiatives to large-scale supply and demand at the level of the displacement camp through self-sustaining programmes at the national level. the collection of primary data in the field and remote sensing analy- The long-term objective of this capacity-building effort is to mobi- sis. The methodology uses a multisectoral approach to assess the lize more financial resources for sustainable forest management by energy-related needs and challenges of people in both displaced increasing the recognition and appreciation of the benefits of trees, and host communities. forests and forestry. Available online: www.fao.org/3/a-i5762e.pdf Available online: www.fao.org/3/a-i5578e.pdf

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The world’s fast-growing cities need more trees Measuring the role of forests in households

Guidelines on urban and peri-urban forestry. F. Salbitano, S. Borelli, M. Conigliaro & National socioeconomic surveys in forestry: guidance and survey modules for Y. Chen. 2016. FAO Forestry Paper No. 178. Rome, FAO. ISBN 978-92-5-109442-6. measuring the multiple roles of forests in household welfare and livelihoods. Although cities occupy only 2 percent of the planet’s surface, their R.K. Bakkegaard, A. Agrawal, I. Animon, N. Hogarth, D. Miller, L. Persha, inhabitants use 75 percent of its natural resources; by 2050, 70 per- E. Rametsteiner, S. Wunder & A. Zezza. 2016. FAO Forestry Paper No. 179. Rome, cent of the global population will live in cities and towns. Sustainable FAO, World Bank, Center for International Forestry Research and International urban development is crucial, therefore, for ensuring the quality of Forestry Resources and Institutions Research Network. ISBN 978-92-5-109438-9. life of the world’s people. Forests play an important role in the livelihoods of rural households, Forests and trees in cities, if properly managed, can make important and many of those who live in extreme poverty rely to some degree on contributions to the planning, design and management of sustain- forests for their livelihoods. Products from non-cultivated ecosystems able, resilient urban landscapes. They can help make cities more such as natural forests, woodlands, wetlands, lakes, rivers and pleasant, attractive and healthy places in which to live, as well as grasslands can be a significant income source for rural households, safer, wealthier and more diverse. providing energy, food, construction materials and medicines for both A few years ago, FAO initiated a collaborative process to develop subsistence and cash. FAO estimates that forest products contribute voluntary guidelines aimed at optimizing the contributions of forests to the shelter of at least 1.3 billion people and that about 2.4 billion and trees to sustainable urban development. Scientists, practition- people cook with woodfuel. Data on the benefits that people receive ers and public administrators from cities worldwide were brought from forests are often weak at the national level; collaborating with together to discuss the elements and key challenges of urban for- public organizations undertaking surveys to collect such data at an estry, and a smaller team of experts was assembled to distil this aggregate scale is one important way forward. vast knowledge. The primary users of this sourcebook will be national statistical This document is the ultimate result of that process. Intended for a offices responsible for the implementation of national household global audience comprising urban decision-makers, civil servants, socio-economic surveys, including their “living standards meas- policy advisors and other stakeholders, it will assist in the develop- urement studies” designed to measure household welfare and ment of urban and peri-urban forests that help meet the present and livelihoods. Interest should be especially strong among forest-rich future needs of cities for forest products and ecosystem services. developing countries that want to generate more accurate meas- These guidelines will also help increase community awareness of ures of the contributions made by forests and other non-cultivated the contributions that forests and trees can make to improving quality ecosystems to national economies. of life, and of their essential role in global sustainability. Other intended users are other government agencies, donors, Available online: www.fao.org/3/a-i6210e.pdf non-governmental organizations and research organizations interested in collecting comparable data on the use of forest and wild products by households and local communities, particularly at the national scale but also at more aggregated scales. Available online: www.fao.org/3/a-i6206e.pdf

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BOOKS

The green treasure of Maldives The challenge of pastoral land tenure

Common plants of Maldives. P. Sujanapal & K.V. Sankaran. 2016. Bangkok, FAO, Improving governance of pastoral lands: implementing the Voluntary Guidelines and Kerala, India, Kerala Forest Research Institute. ISBN 978-92-5-109295-8. on the Responsible Governance of Tenure of Land, Fisheries and Forests in the Over the past century, island biodiversity worldwide has been sub- Context of National Food Security. J. Davies, P. Herrera, J. Ruiz-Mirazo, C. Batello, jected to extreme pressures due to habitat change, overexploitation, I. Hannam, J. Mohamed-Katerere & E. Nuesri. Rome, FAO. ISBN 978-92-5-109292-7. invasion by alien species, climate change and pollution. It is common Pastoralism has been defined as extensive livestock production on knowledge that small island countries are ecologically fragile and rangelands, a broad description encompassing many herding prac- highly vulnerable to such challenges, and Maldives is no exception. tices and production systems found worldwide. It has been clearly The natural habitats and biodiversity of most tropical islands are demonstrated that the planned herding of livestock is vital for the increasingly affected by cyclones, storms and hurricanes associ- sustainable management of rangelands. Managed herd movements ated with climate change. According to recent estimates, of the are essential for sustainable pastoralism, and they also pose the 724 animal extinctions recorded worldwide in the last 400 years, single greatest challenge to securing pastoral tenure. about half were island species. Such global estimates are unavail- This technical guide presents detailed arguments for herd mobility. able for plant species, however, pointing to a significant information Herd movements can take place on very different scales, however, gap that could be crucial in coming decades. More information on from long-range nomadism to seasonal transhumance of different extinctions is essential for evaluating the risks of species losses due distances, to relatively localized herd movements and pasture rota- to environmental challenges and to reduce such risks in the face of tions. Historically, the mobility of pastoralists has been used as a present and future threats. justification for not securing their land rights: because pastoralists This book includes information on 270 species of vascular plants are constantly wandering, the argument goes, they do not lay claim to observed during surveys conducted on more than 50 islands in any particular piece of land. This argument has been used in places Maldives. It deals with the common native plants, as well as all alien where pastoralists have followed the same transhumance routes for plants now found on the islands. centuries and where there is clear evidence of their historic use and Available online: www.fao.org/3/a-i5777e.pdf management. Yet even in the most nomadic of pastoralist communities, herd movements rely on natural and human infrastructure that has been protected and maintained by pastoralists since time immemorial. Mobility is a response to the uncertainty and heterogeneity of range- land resources; communal tenure practices are another. Together, these create complex customary tenure arrangements, the uphold- ing of which requires sophisticated responses from governments and other agents. This technical guide helps generate solutions to securing pastoral governance and tenure without undermining the inherent, necessary complexity of customary arrangements. It also provides potential solutions in a rapidly changing context in which traditional practices and crucial patterns of livestock mobility are being transformed. Available online: www.fao.org/3/a-i5771e.pdf

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BOOKS

Tropical forestry in an era of climate change Empowering forest communities in the

Tropical forestry handbook. L. Pancel & M. Köhl, eds. 2016. Second edition. American tropics Berlin Heidelberg, Springer-Verlag. ISBN 978-3-642-54600-6. Desarrollo forestal empresarial por comunidades. Guía práctica para promotores This book provides a cross-section of outstanding experiences in forestales comunitarios en los trópicos americanos. J. Eke, S. Gretzinger, all fields of tropical forestry in a drastically changing environment O. Camacho, C. Sabogal & R. Arce. 2016. Santiago, FAO and Centro Agronómico induced by climate change. The book sheds light on existing knowhow, Tropical de Investigación y Enseñanza (CATIE). ISBN 978-92-5-309356-4 (FAO). presenting it concisely and efficiently for scientists and professionals The management of forest resources by indigenous or mestizo in charge of planning, implementing and evaluating forest resources. local communities is promoted worldwide as one of the best strate- The handbook provides proven and promising concepts that can be gies for developing sustainable, equitable and participatory forest applied to solve the organizational, administrative and technical chal- management. Community forestry (CF) plays a central role in forest lenges prevailing in the tropics. It presents state-of-the-art methods management in Latin America. FAO and CATIE have joined forces to in all fields related to tropical forestry, emphasizing methods adapted develop this guide to help communities overcome obstacles and limi- to – and which safeguard – environmental conditions. tations and design their own CF initiatives as business opportunities More information available at: www.springer.com/us/book/9783 with the potential for triggering economic and environmental benefits. 642546006 This is a practical guide that collects lessons learned and experiences gathered while supporting the implementation of CF initiatives in several Latin American countries. It is expected to serve as an effective reference framework, to encourage the greater exchange of experiences and knowledge, and to promote training, support and communication, taking into account the differences and challenges of various production systems. The guide is designed for communities already involved in forestry enterprises and also for those not yet engaged in such businesses but who are interested in becoming so. As well as supporting CF implementation, the guide can serve other purposes, such as: the implementation of projects; training activities for various audiences (e.g. promoters, public officials, and university and technical school teachers); the design of financial mechanisms; and the formulation of public policies and the insti- tutionalization of CF. Available online in Spanish: www.fao.org/3/a-i5984s.pdf

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