INTERNATIONAL TROPICAL TIMBER ORGANIZATION
ITTO
PROJECT PROPOSAL
MASTER PLAN FOR THE REPOSITIONING OF FOREST MANAGEMENT AS A TITLE COMPETITIVE LAND USE IN THE AGROFORESTRY LANDSCAPE OF THE NORTHERN REGION OF COSTA RICA
SERIAL NUMBER PD 781/15 Rev.3 (F)
COMMITTEE REFORESTATION AND FOREST MANAGEMENT
SUBMITTED BY GOVERNMENT OF COSTA RICA
ORIGINAL LANGUAGE SPANISH
SUMMARY Deforestation, illegal logging and poverty still prevail in the rural areas of Costa Rica. The reasons and stakeholders are numerous; however, despite the fact that small producers are also considered to be agents of change in the country's agroforestry landscape, their livelihoods are more dependent on forest goods and services. Furthermore, sustainable forest management (SFM) has emerged as a practical tool to assist in forest conservation (preventing deforestation and illegal logging) while also generating the income needed to satisfy local producers' needs (contributing to poverty alleviation).
Producers are staunchly against adopting SFM on their farms; in fact, they prefer to devote their lands to agriculture or livestock, and where there is forest on their lands, they prefer to receive the Payment for Environmental Services (PES) under the conservation mode rather than implementing SFM. Clearly, the current SFM scheme promoted by NGOs and the State Forest Administration (AFE) is not attractive enough for most producers. Although SFM is promoted as a viable alternative to improve forest competitiveness when compared with other alternative land uses, forest owners face serious problems, including compliance with AFE's legal requirements when they apply for logging permits. Furthermore, cost/benefit ratios for SFM are far from being attractive for local producers, when compared with agriculture and/or livestock, and more recently, with imported timber.
In this context, there is a need to work on forest revaluation through the design and implementation of a Master Plan that seeks to reposition SFM as a competitive type of land use in the agroforestry landscape of the Northern Region of Costa Rica.
The objective of the project is to provide a cooperation framework for action at the regional level, that deals with the ecologic, social, economic and governance aspects of SFM. To this end, the project will work on three components: first, assisting forest producers in the Northern Region to market SFM products advantageously; second, implementing an applied research program on SFM to support AFE; and third, promoting and training on SFM as an alternative to improve forest competitiveness within the agroforestry landscape. EXECUTING AGENCY: FOREST DEVELOPMENT COMMISSION ASSOCIATION OF SAN CARLOS (CODEFORSA)
COLLABORATING AGENCIES INSTITUTE FOR FOREST RESEARCH AND SERVICES (INISEFOR) AT THE NATIONAL UNIVERSITY OF COSTA RICA (UNA), FOREST FINANCE FUND (FONAFIFO)
DURATION: 36 MONTHS
APPROXIMATE STARTING DATE UPON APPROVAL
BUDGET AND PROPOSED SOURCES OF FUNDING: Source Contribution in US$
ITTO 466,893 INISEFOR-UNA 72,000 CODEFORSA 169,200
TOTAL 708,093
TABLE OF CONTENTS PART 1. PROJECT CONTEXT 5 1.1 Origin 5 1.2 Relevance 5 1.2.1 Conformity with ITTO’s objectives and priorities 5 1.2.2 Relevance to Costa Rica's policies 6 1.3 Target area 6 1.3.1 Geographic location 6 1.3.2 Social, cultural, economic and environmental aspects 7 1.3.3 The situation of the Almond Tree (logging ban) 7 1.4 Expected outcomes at project completion 8 PART 2. PROJECT RATIONALE AND OBJECTIVES 9 2.1 Rationale 9 2.1.2 Stakeholder analysis 10 Table 1. Stakeholder analysis Northern Region, Costa Rica. 11 2.1.3 Problem analysis 11 2.1.4 Objectives tree 14 2.1.5 Logical framework matrix 15 2.2 Objectives 17 2.2.1 Development objectives and impact indicators: 17 2.2.2 Specific objective and outcome indicators 17 3.1 Outputs and activities 18 3.1.1 List of activities 20 3.2 Approaches and methods 21 3.3 Work plan 21 3.4 Budget 25 3.4.1 Master budget 26 3.4.2 Consolidated budget by component 34 3.4.3 ITTO budget by component 35 3.4.4 Executing agency budget by component 36 3.5 Assumptions, risks, sustainability 36 3.5.1 Assumptions and risks 36 3.5.2 Sustainability 38 PART 4. Implementation arrangements 40 4.1. Organization structure and stakeholder involvement mechanisms. 40 4.1.1 Executing agency and partners 40 4.1.2 Project management team 40 4.1.3 Project Steering Committee 41 4.1.4 Stakeholder involvement mechanisms 42 4.3 Dissemination and mainstreaming of project experiences 46 4.3.1 Dissemination of project outcomes 46 4.3.2 Mainstreaming of project learning 46 5. References 47 Annex 1. Profile of the Executing Agency 48 Annex 2. COFALC-FAO’s recognition of excellence of CODEFORSA members 50 Annex 3: Curricula vitae of personnel provided by the executing agency 51 Annex 4. Profile of collaborating agencies 53 Annex 5. Consultation workshops – Lists of participants and images 57 Annex 6. Income generated under harvesting and non-harvesting management plans for Almendro 60 Annex 7. Response to 50th ITTO Expert Panel general assessment and specific recommendations 61 Annex 8: Response to 52nd ITTO Expert Panel general assessment and specific recommendations 63 Annex 9. Terms of reference for the key staff provided by the executing agency 64 Annex 10: Additional information on the management of the Permanent Sample Plots 68 Annex 11. Response to the general assessment and specific recommendations of the 53rd Expert Panel for the Technical Appraisal of Project Proposals 72
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LIST OF ABBREVIATIONS AND ACRONYMS
CODEFORSA Asociación Comisión de Desarrollo Forestal de San Carlos (San Carlos Forest Development Commission Association) INISEFOR Instituto de Investigación y Servicios Forestales (Institute for Forest Research and Services) UNA Universidad Nacional de Costa Rica (National University of Costa Rica) FONAFIFO Fondo de Financiamiento Forestal (Forest Finance Fund) SINAC Sistema Nacional de Áreas de Conservación (National Conservation Area System) NR Northern Region SFM Sustainable forest management PES Payment for environmental services AFE Administración Forestal del Estado (State Forest Administration) DFID Department for International Development PSP Permanent sample plot CATIE Centro Agronómico Tropical de Investigación y Enseñanza (Tropical Agricultural Center for Research and Higher Education) ONF Oficina Nacional Forestal (National Forest Office) REDD+ Reduced greenhouse gas emissions from deforestation and forest degradation PNDF Plan Nacional de Desarrollo Forestal (National Forest Development Plan) INF Inventario Nacional Forestal (National Forest Inventory) IDS Índice de Desarrollo Social (Social Development Index) COSEFORMA Cooperación de los Sectores Forestal y Maderero (Forest and Timber Sectors Cooperation) FUNDECOR Fundación para el Desarrollo de la Cordillera Volcánica Central (Foundation for the Development of the Central Volcanic Range) GMF Gerente de Manejo Forestal – AFE (AFE Forest Management Director) GTZ Deutsche GesellschaftfürTechnischeZusammenarbeit (Technical German Cooperation Agency) MINAE Ministerio de Ambiente y Energía (Ministry of the Environment and Energy) MIDEPLAN Ministerio de Planificación Nacional y Política Económica (Ministry of National Planning and Economic Policy) PMIBN Programa Manejo Integral de Bosque Natural (Integrated Management Programme for Natural Forests)
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Figure 1. Map of project area: Northern Region of Costa Rica
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PART 1. PROJECT CONTEXT
1.1 Origin
In 1991 the change of land use in Costa Rica was officially banned, and since then involved sectors have come to an agreement to improve procedures to facilitate access to forest resources. At that time, forest use was based on logging the best and most valuable trees; there was neither planning nor any technical support, and permits were granted with no control from the State; this caused forest destruction in up to 56%. There was no field experience to show which the most suitable techniques were to utilize forest resources without causing their decline. As a result, and with the intention of combating over-logging of forests at the time, several forest management projects were established in the Northern Region. The projects sought to generate data to help improve forest use regulation. One of such projects was implemented by CODEFORSA in 1991-1998 with financial support from the UK's Department of International Development (DFID), to establish ten forest management and demonstration units and 34 permanent sample plots (PSP). Forest census and topographic surveys were carried out in these units as planning tools, while various levels of intensity of use were trialled; all these activities were validated in the field through PSP experiments (Méndez, 2003). Also, CODEFORSA, with support from academic institutions such as the Tropical Agricultural Centre for Research and Education (CATIE), used their research units to apply post-harvest silvicultural treatments; the practical outcome of these activities was the guide to diagnostic sampling and silvicultural treatment prescription, published in 1994. As the various development projects progressed, some weaknesses in the current management system were corrected. Procedures for pre-harvest inventory and performance regulation were strengthened in order to minimise the impact of forest utilisation and to prevent excessive logging of more valuable species. Another achievement was the change from a whole-of-stand base (60% of trade volume above the minimum logging diameter) to a species base (60% of trade volume for each species above the minimum logging diameter) (Magines et al., 1998). A minimum logging cycle of 15 years was also set. These and other changes led to the Sustainable Forest Management (SFM) platform currently in force in the country.
However, the current SFM platform has not been attractive enough to be adopted voluntarily by small producers. As a matter of fact, already in 2000 as a result of the cancellation of payments for environmental services (PES) made with respect to forest management, the Costa Rican forest sector brought to the political discussion table the fact that the SFM scheme was extremely unattractive to forest owners. Subsequently in 2006, this observation was validated by the results of a study on the apparent timber consumption published by the National Forest Office (Oficina Nacional Forestal - ONF). The ONF was able to show that there was a drastic reduction in the timber sourced from SFM, down to 6% of the national total, and that in the short term there would be a deficit that would exceed 60% of apparent timber consumption. This has been the case in spite of the fact that the country has restored its forest cover to 53%, which assumes that there are at least 1,600,000 hectares of privately owned (primary and secondary) forests with potential for sustainable timber production. This situation has led to the premise that distortions are at play which prevent SFM from recovering its significant role in the supply of timber, simultaneously generating improved livelihoods for the local communities; therefore, the forest sector considers this project as an alternative to reposition SFM, after validating the pros and cons of SFM implementation at a regional scale, so that in the future it may be extended to the national level.
1.2 Relevance
1.2.1 Conformity with ITTO’s objectives and priorities
Project actions are consistent with the ITTO Policy Guidelines on Gender Equity and Empowering Women (GEEW). Since the formulation of the project, quantitative sex-disaggregated information and data have been incorporated as far as possible. The project will promote the consolidation of the forest product market in the Northern Region, where both male and female landowners and buyers will do business in a transparent manner. This will generate information on the current status of women in various forest sector environments and specific cultural contexts within forest value chains. At the same time, existing inequalities between men and women at the social, economic and technological levels will be identified for each link in the chain. In order to ensure equal opportunities for men and women in stakeholder consultations and decision-making processes during project formulation, implementation and evaluation, it has been established that project benefits will be equally shared by both men and women.
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The project is consistent with Article 1 (ITTO objectives 2006) in that it seeks to provide a cooperation framework for regional action, and deals with ecologic, social, economic and governance aspects associated with SFM, and to promote sustainable forest management for timber producing forests. At the same time, the project seeks to contribute to the generation of empirical data in support of ITTO's objectives c, f, k, m, n, and r.
Every output and outcome of the project is directly related to one or more ITTO objectives, for example:
Output 1 will contribute to sustainable development and the alleviation of poverty through the identification of value chains and the revaluation of timber. To this end, the project will promote improved market conditions to ensure that producers are able to receive a fair price for their timber, especially through the promotion of consumer awareness.
Furthermore, Output 2 seeks to promote and support research and development with a view to improving forest management by capacity building to conserve and strengthen other forest values in tropical timber producing forests. With this in mind, the project will revive past SFM research efforts which had stagnated for lack of funding, and it will provide AFE with new scientific knowledge that it can apply to the approval of logging permits and information for the REDD+ strategy.
Output 3 seeks to achieve sustainable forest management and, therefore, the project will promote and provide training on SFM to male and female forest owners, forest regents, and public servants, among others, as an alternative to improving the competitiveness of forests within the agroforestry sector, by making forests more competitive with regard to other land uses.
1.2.2 Relevance to Costa Rica's policies
The country's REDD+ strategies, the Plan Nacional de Desarrollo Forestal (National Forest Development Plan, PNDF), the Inventario Nacional Forestal (National Forest Inventory, INF), and Costa Rica Carbono Neutral en 2021 (Carbon Neutral Costa Rica 2021), seek to implement a set of policies and programmes to confront the causes of deforestation and/or forest degradation, and optimise the role of forests in climate change mitigation and alleviation of poverty. For example, the PNDF Strategic Objective 7.1 provides that SFM should be promoted as a key component in the adaptation as well as mitigation strategy associated with carbon neutrality. Agreement 36-2012 MINAET, C-Neutral Country Programme, states that sources of compensation should be encouraged because they are crucial for eco-competitive, low-emission development.
1.3 Target area
1.3.1 Geographic location
The Northern Region is situated in the North of the Republic of Costa Rica, between the Central Volcanic Range, Aguacate Mountains, the Guanacaste Volcanic Range and the border with Nicaragua. In the North the Region borders with Nicaragua, in the South with the Provinces of Guanacaste and part of Alajuela, in the East with the Province of Limón and in the West with Guanacaste (Figure 2).
This region covers 9,803 km2 or 18% of the national area. Its distribution by canton is the following: San Carlos 3,347.98 km2, Upala 1,580.67km2, Los Chiles 1,358.86 km2, Guatuso 758.32 km2, Sarapiquí 2,140.54 km2, Peñas Blancas (San Ramón) 249.9 km2, District of Río Cuarto de Grecia 254.2 km2, and Sarapiquí 112.9 km2.
Figure 2: Work area by shires. Source: Taken from http://www.elfinancierocr.com 6
1.3.2 Social, cultural, economic and environmental aspects
The Northern Region (NR) has a tropical climate (dry and rainy seasons), with winter going from May to January or February and the dry season from March to May, with some sporadic rainfall brought on by cold northerly fronts. Rainfall is variable, with the average ranging from 2,000 mm/year on the Guatuso, Upala and Los Chiles plains, up to 5,000 mm/year on volcanic ranges.
In general, the landscape is undulating with higher sections such as the Congo and Platanar peaks and the Arenal, Tenorio, Miravalles and Rincón de la Vieja volcanoes, and lower very flat flood and swampy plains such as Llanos de Caño Negro, Llanuras de Los Chiles, La Vega and the Guatuso and Upala plains. The land climbs from the lowlands to the higher peaks in large very fertile terraces that are easily workable with machinery.
The region is part of the Atlantic coast flood plains and it is mostly flat from the alluvial landfill with volcanic material. The profile shows hills of up to 382 metres above sea level, terraces with altitudes between 50 and 100 metres above sea level and alluvial plains. Rivers flowing in the West include Peñas Blancas, San Lorenzo, La Tigra, Fortuna and Javillos, which flow into the great San Carlos River. In the East is the Sarapiquí River which joins the Tigre and Sucio Rivers, the latter of which has many tributaries. The La Vieja, Peje, Aguas Zarcas, Caño Negro, Toro Amarillo, Cuarto and Tres Amigos Rivers are located in the South. And the Frío, Zapote, Pizote, Higuerón, Medio Queso, Sabogal, Pocosol and San Juan Rivers are found in the North. The main lakes in the region include Laguna de Arenal, Cote, Río Cuarto and Lagunas de Caño Negro.
Furthermore, according to details from the preliminary study carried out by the National Forest Inventory (INF) in 2014, the NR is covered by important production forests (at least some 200,000 hectares or 15% of the total available) to supply part of the raw material that the country needs. However, there is in this region a direct link between the abundance of forests and the poorest shires in the country. Some of the poorest shires in the country are found in this Northern Region. Furthermore, the Social Development Index (IDS) 2013, calculated by the Ministry of National Planning and Economic Policy (MIDEPLAN) to measure social development in the country's shires, has shown that of 81, Los Chiles is in the 80th place, Sarapiquí (78), Upala (76), Guatuso (75) – very close to its previous place – and then San Carlos (53) in the highest position in the NR.
Another noteworthy aspect is the forest culture found in the Northern Region regarding the implementation of SFM in tropical forests. This is due to a significant number of successful experiences implemented by national and international SFM projects that strengthened local technical capacity. For example, in 1990 COSEFORMA (Cooperación de los Sectores Forestal y Maderero, or Cooperation of Forest and Timber Sectors) established a vast inter-institutional cooperation network which operated until 2001. The project targeted a wide range of groups such as forest owners, farmers, forest industries and timber producers, including their forest workers, and sawmill workers. Another project, “Promotion of Reforestation and Natural Forest Management in the Huetar Norte Region”, executed between 1990 and 1995, aimed to generate specific information, standards, methods and the experience required to manage the main types of virgin forest and natural forest in the NR. This project established ten demonstration areas with Permanent Sample Plots (PSPs) to launch SFM monitoring and set the first guidelines for low impact logging.
As a result of this cooperation, it can be said today that the Northern Region has significant local technical capacity to resume past experiences and apply them to new SFM concepts that are closer to REDD+, while contributing to local livelihoods. This is clear from the fact that the NR is undergoing the second harvest from those forests that had been logged at the time under CODEFORSA management plans.
1.3.3 The situation of the Almond Tree (logging ban)
In 1997, the green macaw (Ara ambigua) was declared an endangered species and the main source of food of this species are the seeds of the almond tree (Dipterryxpanamensis). Because of pressure exerted by some sectors of society, the State imposed logging restrictions on almond tree species. Despite the fact that there has never been a legal logging ban (executive decree, administrative resolution, etc.) declared on this species, the truth of the matter is that after Ruling 2008-13426 of the Fourth Chamber, any type of harvesting of this species was strictly prohibited throughout the whole national territory, including standing trees, naturally fallen
7 timber or residues from previous harvesting operations, until such time as studies were carried out to demonstrate that this was not an endangered species.
Forestry Law No. 7575 (Costa Rica, 1999), under Article 92 of its Regulations, states that:
“A ban declaration as well as any restriction on the use of endangered forest species, or species that may endanger other flora and fauna species, shall only be decreed by the Ministry of the Environment and Energy after the implementation of a study confirming the imperative need of the ban. These scientific studies shall be carried out and endorsed by institutions with recognized technical capability and must clearly demonstrate the existence of the problem, as well as its location and solution, and must be accompanied by the relevant census data”.
In view of this, the project seeks to undertake the necessary studies, in cooperation with INISEFOR-UNA, to try to remove the restrictions that are currently in place on the almond tree species and therefore, it is important to carry out a study on the distribution and abundance of this species in the Northern Region (NR). The study will analyze the population structure of the species and will quantify the economic impact that forest owners have suffered as a result of the logging bans or restrictions.
According to “The Plant List (2010-07-14), Dipteryx panamensis (Pittier) is synonymous with Dipteryx oleifera (Benth); however, there is currently no rule in place to determine what should be the official reference that must be used in the documentation. This project is interested in the almond tree because of the ban imposed on the species and because it is a valuable species in terms of SFM. Furthermore, Zamora (2012) states that the official taxonomy of Costa Rica’s species is governed by accepted taxonomic concepts and, therefore, when we talk about the almond tree species we must determine whether we are referring to D. panamensis or D. oleifera.
In relation to the expected income from a Management Plan, Annex 5 contains an estimate of the income levels based on a Management Plan that both includes and excludes the harvesting of almond trees, which shows a 31% increase in income if this species is harvested.
1.4 Expected outcomes at project completion
Required technical and policy grounds will be set to reposition SFM as a competitive land use in the Northern Region's agroforestry landscape. At project completion, the following outcomes are expected:
The forest products market is consolidated in the Northern Region where forest owners and buyers do business transparently through binding agreements between owners and industrialists, adding value to timber sourced from forests under SFM. The profitability of forests under SMF is known. Public institutions of the Northern Region promote the use of timber sourced from forests under SFM, thus increasing the consumption of this timber. Forest regents and forest owners of the Northern Region have been trained in the formulation of management plans and in marketing timber sourced from forests under SFM. Actions are taken to promote the management of secondary forests and secondary harvests and to generate income for forest owners, thus giving value added to their forests and reducing land-use change activities and illegal logging. Scientific information has been generated from the PSP network and from existing and future forest management demonstration units, so as to facilitate decision-making on SFM and the information has been documented using technical factsheets, which will be made available to all users. The consumption of timber will have increased due to the promotion of SFM and of the products produced by forests. The AFE will have reduced the time required to process management plans. A forest land registry has been established with historical records of forests under SFM in the Northern Region. Studies have been implemented to facilitate the SFM decision-making process on the “Almendro” (almond tree) species. A SFM promotion and training program will have been developed and implemented, thus achieving an improvement in the competitiveness of forests vis-à-vis other land use practices.
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PART 2. PROJECT RATIONALE AND OBJECTIVES
2.1 Rationale
2.1.1 Justification and institutional set-up and organizational issues
The change of the Central Government in 1999 resulted in a reform in national priorities with regard to the management of natural resources in the country. Thus, from the year 2000 onwards, the State began applying excessive regulations to management plans leading to an SFM administrative ban which is reflected, for example, in the fact that in 2006 timber production from native forests fell drastically, accounting for only 6% of national timber consumption (Barrantes A, 2007). This situation had not changed by 2014 and both Barrantes and Ugalde (2014) report that timber production from natural forests only accounts for 2% of national timber consumption. This represents a significant change in the figures provided by Pedroni, the author of Costa Rica’s 1992 Forest Diagnosis, who reported that during that year 100% of the timber supply in the country was sourced from native forests.
In addition to the reduction of the proportion of timber sourced from natural forests, waiting times and red tape formalities for the approval of management plans for harvesting operations can vary from one Conservation Area to another, and they can even vary within the same Conservation Area from one Regional Office to another. This lack of homogeneity in application requirements has increased waiting times which, in some cases, can reach up to two years. Furthermore, in 2002, and in open contradiction with the provisions of the Forest Law 7575, payment for environmental services (PES) to SFM was suspended with the signature of an executive decree, alleging that if forest owners received income from the sale of their timber they were not entitled to receive PES; no consideration was given to the implications of AFE's decisions, which have reduced SFM competitiveness in comparison with other land uses.
In this context, it has been mentioned often that Costa Rica does not have a government entity with the operational capacity to effectively combat the causes of the lack of competitiveness of SFM as a type of land use. This is despite the fact that the Forest Management Authority (Gerencia de Fomento Forestal - GFF) is part of the National Conservation Area System (Sistema Nacional de Áreas de Conservación - SINAC) attached to the Ministry of Environment and Energy (MINAE), the body in charge of providing guidance and implementing corrective actions to improve such competitiveness. The GFF is practically invisible within SINAC. Furthermore, from the ideological point of view, SFM has succumbed to the environmentalist wave prevailing in SINAC. Also, the lack of support for SFM is obvious comments made by directors of certain Conservation Areas who have mentioned openly and publicly that they will not provide any kind of support for SFM. In practical terms this is reflected in limited or no specialized professional personnel assigned to process forest management plans.
Organizational arrangements for the approval of a Management Plan
The approval process for a Forest Management Plan in Costa Rica is governed by Executive Decree No. 34559-MINAE of 16 June 2008, which established official standards, a code of practice and an Administrative Procedural Manual for Polycyclic Management of Natural Forests in Costa Rica.
Figure 3 shows the management plan approval process by MINAE (State Forest Administration - AFE).
1. AFE receives the management plan documentation and assigns it to a forest officer. 2. The forest professional reviews the technical information. 3. The forest professional carries out a field inspection. 4. AFE approves the management plan and grants a timber harvesting permit.
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With the support of CODEFORSA, the project will ensure that the Management Plan is technically viable. It will be developed by CODEFORSA’s technical staff following the Administrative Procedural Manual for Polycyclic Management of Natural Forests in Costa Rica so as to guarantee a positive response from AFE in each stage of the management plan approval process.
CODEFORSA will support forest owners throughout the management plan approval process for each Forest Management Unit.
2.1.2 Stakeholder analysis
With the accession of Costa Rica to ITTO in 2013, in January 2014 the focal point in the country launched a national consultation process to identify priority work areas, and to ensure that such areas are within the agreed objectives of the National Forest Development Plan (PNDF) and that they can be recipients of funds from this organization. The Forest Development Commission of San Carlos (CODEFORSA), INISEFOR-UNA and FONAFIFO are some of the active participants in the process implemented by the Costa Rican focal point. As a result, these bodies obtained and processed the main outcomes of the national process to date, in order to validate them in a series of regional workshops.
The combination of both processes (national and regional) showed that the factors that have an impact on the decision to adopt SFM at the national level carry different weight according to the type of stakeholder. Also, while in the Region there is a will to increase the number of sustainable timber producing forests, there is opposition to SFM in other Conservation Areas. Therefore, the conclusion reached was that in order to make a real contribution to the national effort to reposition SFM, there is a need to implement analytical monitoring of the process, firstly at the regional level (in the Northern Region), validating pros and cons of implementing SFM promotion actions, to later reach a more complex context (at the national scale).
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Table 1. Stakeholder analysis Northern Region, Costa Rica.
Stakeholder Problems, needs Relationship with Characteristics Strengths group and interests the project Primary stakeholders Forest owners Lack of capital to Experience interested in Direct beneficiaries Local producers invest in red tape with SFM in receiving income of the project formalities their properties from SFM Indirect Local farmers Owners of labour Need sources of Knowledge of beneficiaries of the without forests force employment forest activities project Direct Will to confront the AFE, Arenal beneficiaries, administrative ban Huetar Norte Approve logging Power to could define against SFM, Conservation permits promote SFM policies according prevailing in Area to SINAC recommendations Specialist community Research and Lack of funds to forestry Will be involved in INISEFOR-UNA higher education support processes research and project activities center development center Economic and Government Lack of Members of the administrative ONF, institutions in agreements to consultative resources to FONAFIFO charge of forest reach forest committee and support the sector development producers ITTO focal group forest sector Secondary stakeholders Implement technical Red tape Professionals who Technical and recommendations formalities and Forest develop and specialised in the field, and waiting times for managers implement knowledge of can mentor logging permits management plans SFM producers along limit their capacity value chain phases The flow of timber Can reward Improved prices to Timber industry Timber buyers from SFM is timber sourced producers unstable from SFM
2.1.3 Problem analysis
A change was implemented at the beginning of the 1990s in Costa Rica which enabled the country to transition from the destructive exploitation of forests to the effective implementation of forest management systems, through the incorporation of stock inventories and topographic surveys as additional planning requirements, as well as by restricting harvesting activities to only 60% of the commercial volume of trees over the minimum diameter of 60 cm DBH. All of these changes were based on sustainability principles, criteria and indicators, developed for our country and supported with government forest management incentives (Maginnis et al, 1998).
As part of this political strategy, the State changed its national natural resource management priorities and began to implement excessive additional regulations to management plans, which led to a virtual administrative SFM ban. In addition, from 2002 onwards, the State decided to eliminate economic incentives for forest management, which were later reinstated in 2010. The objective of the aforementioned measures was to ensure that the country would support forest conservation.
These regulations forced the private sector to bring its concerns to the attention of AFE about the problems that would have to be faced in the near future because of the projected lack of timber supplies in the country. In order to mitigate this situation, in 2007 AFE implemented the “AFE
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Contingency Plan” comprising four basic components: Reforestation Development; Sustainable Forest Management; Industrial Development; and Illegal Logging Control. This resulted in the reactivation of SFM activities in Costa Rica, particularly in relation to second harvests and forests vulnerable to deforestation, with the support of the Payment for Environmental Services (PES) Program sponsored by FONAFIFO for SFM activities (SINAC, 2007).
According to Pedroni (1992), the author of Costa Rica’s 1992 Forest Diagnosis, 100% of the timber supply consumed in the country that year was sourced from native forests. By 2014, the situation had radically changed. For example, Barrantes and Ugalde (2014) estimated that native forests only contributed 20,640 m3-r to Costa Rica’s primary processing industries that year, which only accounts for 2% of total consumption.
These timber volumes are mainly sourced from the Northern Region of Costa Rica, where there are large areas of natural forests. At least one timber harvesting operation has been undertaken in these forests with the technical assistance of CODEFORSA, and soon it will be time to implement a second forest harvesting operation.
In view of the above, consultation workshops have been organized and implemented with relevant stakeholders (see Annex 5), including forest owners, AFE, universities, forest regents and industrialists, among others, so as to identify the problems, causes and effects of the reduction of forest management operations in Costa Rica, which are mapped in Figure 3.
These consultations have concluded that the main problem found was that the forests in the Northern Region are not being managed so as to improve income levels for producers and ensure forest sustainability. The main reasons for this include: limited support provided to forest owners for the marketing of timber; Lack of follow-up of previous experiences in natural forests; and lack of SFM promotion as a viable alternative for forest owners.
At the regional level, producers, timber industry representatives and forest regents agreed that excessive red tape and the long waiting times for permit approval, have resulted in higher transaction costs. For example, they mentioned instances where to obtain approval for a logging permit, there was a need: to organize meetings with the people living close to the forest, to submit an environmental viability study, to wait up to two years for its approval, plus all the implications of the management plan formalities. All of the above discourages legality in forest procedures.
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Figure 4. Consolidated Problem Tree including national and regional consultations
Forest There is a Loss of Consumers Owners do Forests do Few regents Low Long and timber is perception Low per forest prefer timber not not fulfil their prepare price Illegal costly AFE EFFECT capita devalued that SFM cover substitutes implement CO2 forest of logging procedures S is not consumption (change of such as PVC SFM in their sequestration management forest for processing profitable of timber land use) boards or forests role plans timber management purlings plans
FORESTS IN THE NORTHERN REGION ARE NOT BEING MANAGED TO IMPROVE PROBLEM PRODUCER INCOME AND ENSURE FOREST SUSTAINABILITY
Limited support for owners in No follow-up of experiences Lack of promotion of SFM as an
CAUSES timber marketing generated in natural forests alternative for forest owners
Marketing No monitoring of the No technical and administrative weaknesses of network of permanent capacity regents and owners sample plots in the Northern Region No dissemination or promotion of SFM in the public and private Distortions in timber No new SFM sectors marketing demonstration areas are being established
Owners are not aware of the No record of production value of their forests experiences and no SUB-CAUSES No secondary forest management historical records of SFM No provision for providing regents, AFE officials and No information on SFM owners with updates on SFM Limited profitability of within the REDD+ techniques SFM process Wrong concept of conservation No information on the management of The State and the building "almendro" sector do not promote domestic timber consumption 13
2.1.4 Objectives tree
A problem tree was structured on the basis of the results of the consultations and workshops, where it was possible to identify the main problem affecting the forest sector in the Northern Region and how this problem originated, including causes, sub-causes or roots of the problem. In addition, it was possible to identify the effect this problem is having on the primary and secondary stakeholders of this sector.
The objectives tree allows us to identify the possible solutions to this problem, analyzing each situation in the problem tree with an outlook for the future and giving a solution to these problems.
To this end, we have formulated the negative conditions that appear in the problem tree as positive and desired outcomes that are possible to achieve both in terms of viability and feasibility.
Forests Regents Timber Consumers Changed Increased per fulfil their focus on the Reduced produced Land use use timber Owners perception capita CO2 preparation Improved Reduced management Outcomes under change is products implement that SFM is consumption seques- of prices for illegal plan SFM is avoided derived from SFM in their profitable of timber tration management forest timber logging processing valued SFM systems forests role plans time by AFE
Increase the number of forests under sustainable Specific management in the Northern Region of Costa Rica in objective the 2017-2018 period, thus improving producers’ income levels and ensuring their sustainability
Promotion of and training on SFM as an Forest producers are Follow-up of natural forests alternative to improve forest competitiveness supported in the marketing Outputs experiences within the agroforestry landscape thus of timber from their forests benefitting forest owners
The monitoring of the Training program in the network of permanent The technical and administrative capacity marketing area for regents sample plots in the of the stakeholders involved in SFM is and owners Northern Region is increased resumed
SFM is disseminated and promoted in the Actions to reduce distortions public and private sectors in timber marketing 10 new SFM demonstration Activities units will be established
Awareness raising on the production value of forests among forest owners Development of management system for secondary forests to make SFM experiences will be them profitable documented and historical records will be kept Updated information on SFM techniques is provided to regents, AFE officers and owners
Improvement of SFM Information on SFM within profitability. the REDD+ process is The right concept of conservation is compiled disseminated
Studies on almendro The State and the building sector promote management are carried domestic timber consumption out
Figure 4. Objectives Tree
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2.1.5 Logical framework matrix Table 2. Project logical framework
Intervention strategy Measurable indicators Means of verification Key assumptions
Development objective: To - After project Records of timber Sustainability link the various technical and completion, the prices before and after assumptions: policy elements associated knowledge and the project. 1. The Costa Rican with the repositioning of foundations for fair Marketing protocol for State maintains a policy sustainable forest trade in SFM timber forest timber. in favour of SFM. management within a from second-harvest Record of institutions 2. Forest owners are cooperation framework for and secondary forests and/or researchers that willing to adopt SFM action at the regional level. have been received the scientific as a land use for their strengthened, achieving information generated properties. a 2% to 5% increase in by the project. 3. SINAC implements owners’ income. Timber volumes actions in support of approved under SFM. - After project management plans for 4. Both buyers and completion, the the Northern Region as sellers of timber scientific information compared to timber adopt the project’s derived from 33 PSPs, volumes approved for recommendations in studies on D. the rest of the country. their marketing panamensis and procedures. secondary forest surveys is made available as the basis for forest management at the national level.
- After project completion, the Northern Region has become a focal point for sustainable forest management development, with an annual 10% increase in the number of hectares brought under SFM.
Specific objective: Increase Outcome indicators: SINAC certification of Development the number of forests under -By the end of the project, management plans hypotheses: 1. SINAC sustainable management in at least 600 hectares of approved or being facilitates SFM in the the Northern Region of Costa forests are sustainably processed, training Northern Region. Rica in the 2019-2021 managed each year and attendance lists, 2. AFE promotes SFM period, thus improving included in the Forest photographs of at the national level producers’ income levels Land Registry. completed activities, based on project and ensuring their -By the end of the project, notes or reports of outcomes. sustainability. 10 new demonstration completed activities. 3. Cooperation units have been Agreements. Number of channels are established, and the PSP timber purchase established between Network in the Northern contracts between research institutions Region has been producers and to disseminate the restored. government institutions. scientific information -By the end of the project, Number of SF permits generated by the two government approved by AFE. project. institutions in the Northern Reports, timber sale Region are using timber contracts, databases sourced from SFM. with updated information -By the end of the project, from PSPs. 3 secondary forests are Analysis of almendro supplying timber to the population structure market. and economic impact 15
- By the end of the of logging ban on project, promotion owners’ income. campaigns have been Research study on SFM carried out and 100 in secondary forests; stakeholders have been promotion campaign and trained on SFM. lists of participants; - By the end of the publications; forest land project, the scientific registry database. information generated by the project has been documented. - By the end of the project, at least 6 second-harvest forest owners are marketing their timber with project support, thus improving their income. - By the end of the project, a population analysis of Dypterix panamensis has been carried out to assess its SFM and economic impact on harvesting.
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2.2 Objectives
2.2.1 Development objectives and impact indicators:
To link the various technical and policy elements associated with the repositioning of sustainable forest management within a cooperation framework for action at the regional level.
Impact indicators:
1. There is a 2 to 5% increase in owner income. 2. There is a 10% increase in the number of farms brought under SFM. 3. Red tape formalities and waiting times for logging permit approval have been reduced by 25% as a result of the training program. 4. The training provided helps improve SFM repositioning in the Northern Region. 5. There is up-to-date scientific information available from PSPs, the national forest inventory and management plans, all linked within the Regional Forest Land Registry, to inform AFE decisions. 6. Priority actions to be implemented for SFM repositioning are agreed by the various stakeholders in a work plan for the 2019-2021 period. 7. There is a 50% increase in the area of secondary forests that are managed according to monocyclic management standards. 8. A research programme is implemented to validate or reject the ban imposed on Almendro (almond tree). 9. 50% of trainees will be women.
2.2.2 Specific objective and outcome indicators
Increase the number of forests under sustainable management in the Northern Region of Costa Rica in the 2017-2018 period, thus improving producers’ income levels and ensuring their sustainability.
Outcome indicators:
1. At least 600 hectares of forest are sustainably managed each year and included in the Forest Land Registry. Out of this total, 50% will be owned by women. 2. By 2019-2021, 30 owners have received training and their farms have been brought under SFM, in addition to 70 SINAC stakeholders, including regents and officers, involved in SFM. 15 forest farms will be owned by women. 3. By 2021, 10 new demonstration units with permanent sample plots (PSPs) have been established, and the existing 10 PSPs are re-measured. 50% of these will be owned by women. 4. By the end of the project, 3 secondary forest owners carry out SFM activities to improve their income. One of these will be owned by women. 5. By 2021, the scientific information generated by the project has been documented and is available to the REDD+ process in Costa Rica. 6. By 2018, a population analysis of Almendro and an assessment of the economic impact of the Almendro logging ban have been carried out. 7. By 2020, there is information on the potential timber supply volumes originating from SFM each year for the 2019-2021 period. 8. By 2021, 6 producers have established a process to link them to the timber industry and have reached agreements with two government institutions for the purchasing of timber produced under SFM. 50% of these will be female forest owners. 9. By 2019-2020, a SFM promotion campaign has had an impact on the government institutions in the Northern Region, which now use timber sourced from SFM. 10. By 2021, there are updated studies on the linkages and profitability of timber produced under SFM.
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PART 3: Description of project interventions
3.1 Outputs and activities
Table 3. Project outputs and activities
Outputs Output indicators Means of verification Operational assumptions 1. Forest producers A training program on Timber sale contracts. OA: There is a market for are supported in the marketing is Number of timber forest products. marketing of timber implemented for regents purchase contracts AA: Owners and regents from their forests. and owners through one between producers and are interested in being annual activity. government institutions. trained in timber marketing. Three successful SFM Attendance lists for AA: Owners and experiences are visited. training events, industrialists are interested To reduce marketing photographs of in networking under clear distortions, by the end of completed activities, rules for timber purchases the first year of the reports on completed and sales. project, 6 producers activities AA: Government institutions have established links use timber produced under with the timber industry SFM. by negotiating the AA: There are secondary purchase and sale of forest owners interested in timber on the basis of SFM. clear rules developed by the project and by the second year, two agreements have been concluded with government institutions to promote the use of timber in their calls for bids. Three (3) pilot SFM areas are established in secondary forests. A manual on secondary forests is developed on the basis of the current legislation. By the end of the project, there is a profitability study on forests under SFM. 2. The experiences By the end of the second Photographs of new OA: Owners are still generated in natural year of the project, 33 demarcation work. interested in SFM. forests are adequately PSPs are re-demarcated Field data collected per AA: There are owners followed up. and measured. plot. interested in signing By the end of the second Documents of technical agreements for the year of the project, there factsheets produced. establishment of new are 10 new 50-hectare Copies of receipts for demonstration areas. demonstration units. information delivered to AA: AFE allocates SFM experiences are REED. resources for the ongoing documented through two List of approved SFM update of the Forest Land factsheets (one factsheet projects for ACAHN SF Registry. per year). AA: Information generated Historical data records by the project is required by are kept at the forest the National REDD+ land registry for the Strategy monitoring of SFM in the Northern Region. SFM information is
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collected within the REDD+ program to make it available to users. By the end of the second year of the project, there is an analysis on Almendro and an assessment of the economic impact of the Almendro logging ban. 3. SFM training provided The technical and Copies of advertising OA: There is a demand for with SFM promoted as administrative capacity campaigns and television forest timber. an alternative to improve of SFM stakeholders in programmes. Copy of AA: AFE undertakes a forest competitiveness increased, reducing by printed advertisements. commitment to facilitate within the agroforestry up to 25% the time Reports and SFM. landscape, thus taken by AFE to approve photographs of AA: Stakeholders are benefitting forest management plans. participation in events interested in participating owners. Campaign and activities. in SFM dissemination and implemented for public Study of profitability is promotion activities. and private institutions completed. Comparison to promote the use of tables on current timber produced under approval times (within SFM. the life of the project) Field days to show the with past approval times production value of (before the project). forests to the public, private and production sectors. Survey of regents, AFE officers and forest owners to assess the need to update SFM skills as an input for training and promotion actions. Training provided to regents, AFE officers and forest owners in SFM techniques. The right conservation concept is disseminated in SFM timber promotion and training activities. The use of timber produced under SFM is promoted at a general level through posters, brochures, technical factsheets, advertising, and radio and TV spots.
Note: AA = Administrative assumptions; OA: Operational assumptions.
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3.1.1 List of activities
Output 1: Forest producers are supported in the marketing of timber from their forests.
Activities: Training program on marketing implemented for male and female regents and forest owners through one annual activity. Three successful SFM experiences will be visited. To reduce marketing distortions, by the end of the third year of the project, 6 producers (inc. both men and women) have established links with the timber industry by negotiating the purchase and sale of timber on the basis of clear rules developed by the project. By the third year, two agreements have been concluded with government institutions to promote the use of timber in their calls for bids. Three (3) pilot SFM areas will be established in secondary forests. A manual on secondary forests will be developed on the basis of current legislation.
Output 2: SFM experiences generated in natural forests are adequately followed up.
Activities: By the end of the second year of the project, 33 PSPs are re-demarcated and measured. By the end of the second year of the project, there are 10 new 50-hectare demonstration units. SFM experiences are documented through two factsheets (one factsheet per year). Historical data records are kept at the forest land registry for the monitoring of SFM in the Northern Region. SFM information is collected within the REDD+ program to make it available to users. By the end of the second year of the project, there is an analysis on Almendro and an assessment of the economic impact of the Almendro logging ban. By the end of the third year of the project, 33 PSPs are re-demarcated and measured. By the end of the third year of the project, there are 10 new 50-hectare demonstration units.
Output 3: SFM training provided with SFM promoted as an alternative to improve forest competitiveness within the agroforestry landscape, thus benefitting forest owners.
Activities: The technical and administrative capacity of SFM stakeholders in increased, reducing by up to 25% the time taken by AFE to approve management plans. Campaign implemented for public and private institutions to promote the use of timber produced under SFM. Field days to show the production value of forests to the public, private and production sectors. Survey of male and female regents, AFE officers and forest owners to assess the need to update SFM skills as an input for training and promotion actions. Training provided to male and female regents, AFE officers and forest owners in SFM techniques. The right conservation concept is disseminated in SFM timber promotion and training activities. The use of timber produced under SFM is promoted at a general level through posters, brochures, technical factsheets, advertising, and radio and TV spots.
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3.2 Approaches and methods
The project will work, in the first instance, with its closest collaborators, i.e. FONAFIFO, INISEFOR and UNA, as indicated above, but mainly with small and medium forest owners who implement forest management to link the various technical and policy elements relating to forest management and marketing in the Northern Region of Costa Rica. Management model: Participatory workshops will be used to work with producer groups, AFE authorities, forest regents, timber industrialists, and public institutions involved in SFM, to achieve a joint vision of the forest management model (technical proposal), and an increase in the area under management in the Northern Region, thus providing AFE with new scientific knowledge to facilitate its approval of forest logging permits. Business rounds will be organized with small and medium forest owners, administrators and timber industry representatives to establish links and manage forest businesses, promoting higher income from forest management products. At project completion, these impacts have been generated among the project's target beneficiaries and in the forest sector in general in the Northern Region and throughout the country.
3.3 Work plan
The project proposal will be implemented over 36 months.
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Table 4. Project work plan
YEAR 1 YEAR 2 YEAR 3 OUTPUTS AND ACTIVITIES Responsible party QUARTER QUARTER QUARTER I II III IV I II III IV I II III IV
Output 1: Forest producers are supported in the marketing of timber from their forests.
1.1.1 Implement a marketing training program for regents and forest - Forest Marketing Expert from owners implemented through an annual activity. CODEFORSA staff - Project Director 1.1.2. Showcase successful marketing experiences to forest owners; - Forest Marketing Expert from at least 3 successful projects of this nature will be visited. CODEFORSA staff - Forest Eng. in charge of the Technical Dept of CODEFORSA
1.2.1 Consolidate the forest product market in the Northern - Forest Marketing Expert from Region, where forest owners and buyers do business in a CODEFORSA staff transparent manner. - Forest Eng. in charge of the Technical Dept of CODEFORSA
1.2.2 Promote links between owners and the industry; at least 6 - Project Director producers will be involved in this process - Forest Marketing Expert from CODEFORSA staff 1.2.3 Define clear rules for the purchase and sale of timber in the - Forest Marketing Expert from Northern Region, making them available to buyers and sellers. CODEFORSA staff 1.2.4 Conclude two agreements with public institutions to promote the - Project Director use of timber in their calls for bids. - Forest Marketing Expert from CODEFORSA staff 1.3.1 Establish 3 pilot areas for secondary forest management, thus - Forest Expert 1 from generating income for their owners CODEFORSA staff - Forest Eng. in charge of the Technical Dept of CODEFORSA 1.3.2 Based on the current legislation, develop a secondary forest - Forest Management Expert from management manual for forest owners, regents and public officers. CODEFORSA staff - Forest Researcher from INISEFOR-UNA staff 1.4.1 Carry out a profitability study for forests under SFM. - Forest Expert 1 from CODEFORSA staff - Forest Researcher from INISEFOR-UNA staff
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YEAR 1 YEAR 2 YEAR 3 OUTPUTS AND ACTIVITIES Responsible party QUARTER QUARTER QUARTER I II III IV I II III IV I II III IV Output 2: SFM experiences generated in natural forests are adequately followed up.
2.1.1 Re-demarcate and measure 33 PSPs established by - Forest Management Expert from CODEFORSA since 1990 in the Northern Region CODEFORSA staff - Forest Researcher from INISEFOR-UNA staff - Forest Eng. in charge of the Technical Dept of CODEFORSA 2.2.1 Establish 10 SFM demonstration units, at least 50 ha each - Forest Expert 1 from CODEFORSA staff - Forest Management Expert from CODEFORSA staff - Project Director 2.3.1 Document SFM experiences through two technical factsheets - Forest Extension Officer from on SFM in the Northern Region CODEFORSA staff - Forest Researcher from INISEFOR-UNA staff
2.3.2 Keep historical data records on logged-over forests at the - GIS Forester from CODEFORSA Forest Land Registry as a tool to monitor SFM in the Northern staff Region
2.4.1 Collect SFM information within the REDD+ program to make it - Forest Extension Officer from available to users CODEFORSA staff 2.5.A los dos años del proyecto, se tiene un análisis poblacional NOT APPLICABLE del impacto económico de la veda del Almendro.
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YEAR 1 YEAR 2 YEAR 3 OUTPUTS AND ACTIVITIES Responsible party QUARTER QUARTER QUARTER I II III IV I II III IV I II III IV
Output 3: SFM training provided with SFM promoted as an alternative to improve forest competitiveness within the agroforestry landscape, thus benefitting forest owners.
3.1 Implement workshops, field days and promotional meetings - Forest Extension Officer from on SFM so as to strengthen the technical and administrative CODEFORSA staff skills of stakeholders involved in SFM. - Project Director 3.2 Implement workshops, field days and meetings with public and - Forest Extension Officer from private institutions to promote the use of timber produced under SFM CODEFORSA staff - Forest Eng. in charge of the Technical Dept of CODEFORSA 3.3 Show the production value of forests to the public and - Forest Marketing Expert from private sectors and producers through two field days CODEFORSA staff 3.4.1 Carry out a survey of regents, AFE officers and forest owners to - Forest Extension Officer from assess the need to update SFM skills as an input for training and CODEFORSA staff promotion actions - Forest Management Expert from CODEFORSA staff - Forest Eng. in charge of the Technical Dept of CODEFORSA 3.4.2 Provide training to regents, AFE officers and forest owners - Forest Extension Officer from based on the results of the survey CODEFORSA staff - Forest Management Expert from CODEFORSA staff - Forest Eng. in charge of the Technical Dept of CODEFORSA 3.5 Disseminate the right conservation concept in SFM timber - Forest Extension Officer from promotion and training activities CODEFORSA staff 3.6 Promote the use of timber produced under SFM at a general - Forest Marketing Expert from level through posters, brochures, technical factsheets, CODEFORSA staff advertising, and radio and TV spots in the Northern Region - Project Director
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3.4 Budget
The implementation of the project proposal requires a contribution from ITTO of $466,893.00. The counterpart contribution will be $241,200.00. The budget breakdown by activity is presented hereunder.
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3.4.1 Master budget
Outputs Quantity and/or Description Budget item Unit Unit cost Total cost ITTO CODEFORSA UNA activities Year 1 Year 2 Year 3 Year 1 Year 2 Year 3 Year1 Year 2 Year 3 Year 1 Year 2 Year 3
Output 1. Forest producers are supported in the marketing of timber from their forests.
1.1 Training program on marketing for regents and forest owners implemented Implement a 11.3 marketing 2 2 2 Days 154 924 308 308 308 training program 12.1 for regents and 2 2 2 Days 59 354 118 118 118
forest owners 54 implemented 25 25 25 Refreshments 9 675 225 225 225 through an 61 annual activity. l. 1 1 1 venue rental 200 600 200 200 200 Showcase successful 11.3 marketing 1 1 1 Events 220 660 220 220 220 experiences to 33 forest owners; at 2 2 2 Days 140 840 280 280 280 Refreshments least 3 54 successful 15 15 15 & meals 29 1,305 435 435 435 projects of this nature will be 61 visited 1 1 1 transfers 250 750 250 250 250
1.2 Activities to reduce distortions in timber marketing
Consolidate the 11.3 forest product 20 20 20 Days 154 9,240 3,080 3,080 3,080 market in the Northern Region, where forest
owners and 12.1 20 20 20 Days 59 3,540 1,180 1,180 1,180 buyers do business in a transparent manner Promote links 11.3 between owners 20 20 20 Days 154 9,240 3,080 3,080 3,080 and the industry; 12.1 at least 6 4 4 4 Days 59 708 236 236 236 producers will be involved in this 33 process 10 10 10 Days 140 4,200 1,400 1,400 1,400 Define clear rules 11.3 Days for the purchase 20 10 10 154 6,160 3,080 1,540 1,540 and sale of 12.1 Days timber in the 20 10 10 59 2,360 1,180 590 590 Northern Region, making them available to 61 buyers and sellers. 20 10 10 Various 50 2,000 1,000 500 500
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Outputs Quantity and/or Description Budget item Unit Unit cost Total cost ITTO CODEFORSA UNA activities Year 1 Year 2 Year 3 Year 1 Year 2 Year 3 Year1 Year 2 Year 3 Year 1 Year 2 Year 3 Conclude two 11.3 9 9 0 Days 154 2,772 1,386 1,386 0 agreements with public 12.1 Days 5 5 0 59 590 295 295 0 institutions to 33 Days promote the use 3 3 0 140 840 420 420 0 of timber in their 31 calls for bids 3 3 0 Days 30 180 90 90 0
1.3 Development of management system for secondary forests to ensure their profitability
Establish 3 pilot 11.2 areas for 3 3 3 Days 154 1,386 462 462 462 secondary forest 12.1 management, 1 1 1 Days 59 177 59 59 59 thus generating income for their 31 owners 3 3 3 Days 30 270 90 90 90 Based on the 11.3 current 0 2 0 Days 154 308 0 308 0 legislation, 12.1 develop a 0 2 0 Days 59 118 0 118 0 secondary forest
management manual for forest 31 owners, regents and public officers 0 1 0 Days 30 30 0 30 0 1.4 SFM profitability is improved
11.2 Carry out a 0 10 10 Days 154 3,080 0 1,540 1,540 profitability 12.1 study for forests 0 5 5 Days 59 590 0 295 295 under SFM 31 0 10 10 Days 30 600 0 300 300 Sub-total - Component 1 54,497 19,074 19,035 16,388 0 0 0 0 0 0
Output 2. SFM experiences generated in natural forests are adequately followed up 2.1 The monitoring of the Northern Region Permanent Sample Plot Network is resumed
11.3 45 45 45 Days 154 20,790 6,930 6,930 6,930 12.2 65 65 65 Days 64 12,480 4,160 4,160 4,160 Re-demarcate 12.2 and measure 33 80 80 80 Days 25 6,011 2,004 2,004 2,004 PSPs established 54.1 by CODEFORSA 8 8 8 Plots 400 9,600 3,200 3,200 3,200 since 1990 in the 12.1 Northern Region 20 20 20 Days 59 3,540 1,180 1,180 1,180
33 40 40 40 Days 140 16,800 5,600 5,600 5,600 31 100 100 100 Days 30 9,000 3,000 3,000 3,000
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Outputs Quantity and/or Description Budget item Unit Unit cost Total cost ITTO CODEFORSA UNA activities Year 1 Year 2 Year 3 Year 1 Year 2 Year 3 Year1 Year 2 Year 3 Year 1 Year 2 Year 3
11.3 15 15 15 days 154 6,930 2,310 2,310 2,310 50 tapes,
2GPS, Vertex 4995 2056 2056 883
2.2 Establishment of 10 SFM demonstration units
11.2 4 3 3 days 154 1,540 616 462 462 12.1 4 3 3 days 59 590 236 177 177 33 50 50 50 days 140 21,000 7,000 7,000 7,000 11.3 113 113 114 days 154 52,360 17,402 17,402 17,556 12.2 Establish 10 SFM 150 150 150 days 25 11,271 3,757 3,757 3,757 demonstration 31 units, at least 50 150 150 150 days 30 13,500 4,500 4,500 4,500 ha each 54.1 4 3 3 per farm 600 6,000 2,400 1,800 1,800 12.2 100 100 100 days 64 19,200 6,400 6,400 6,400
61 10 10 10 visits 350 10,500 3,500 3,500 3,500 12.1 7 7 6 days 59 1,180 413 413 354 12.2 18 17 17 days 64 3,328 1,152 1,088 1,088
2.3 Documenting SFM experiences and keeping historical data records
Document SFM experiences 11.3 through two 2 4 2 days 154 1,232 308 616 308 technical 12.1 factsheets on 4 6 4 days 59 826 236 354 236 SFM in the 54.1 Northern Region 50 100 150 copies 3 900 150 300 450 days Keep historical 11.3 data records on 15 15 20 154 7,700 2,310 2,310 3,080 logged-over 12.1 days 5 5 5 59 885 295 295 295 forests at the Forest Land 33 days 8 8 9 140 3,500 1,120 1,120 1,260 Registry as a tool 31 days to monitor SFM 8 8 9 30 750 240 240 270 in the Northern Region 44.1 1 1 1 computer 1,200 3,600 1,200 1,200 1,200
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Outputs Quantity and/or Description Budget item Unit Unit cost Total cost ITTO CODEFORSA UNA activities Year 1 Year 2 Year 3 Year 1 Year 2 Year 3 Year1 Year 2 Year 3 Year 1 Year 2 Year 3
2.4 Collection of SFM information within the REDD+ program
Collection of 11.3 SFM information 0 5 5 days 154 1,540 770 770 within the REDD+ program to make it 33 available to users 0 5 5 days 140 1,400 700 700 Sub-total - Output 2 252,948 83,675 84,844 84,430 0 0 0 0 0 0
Output 3: SFM training provided with SFM promoted as an alternative to improve forest competitiveness within the agroforestry landscape, thus benefitting forest owners 3.1 The technical and administrative skills of SFM stakeholders are improved
Advertising in 51 local radio 2 2 2 ads 200 1,200 400 400 400
stations: twice a 61 year 2 2 2 months 500 3,000 1,000 1,000 1,000 11.3 2 2 2 days 154 924 308 308 308 A TV program per year in local 33 2 2 2 days 140 840 280 280 280 media 61 1 1 1 programs 1,000 3,000 1,000 1,000 1,000 Publication of 11.3 2 2 2 days 154 924 308 308 308 three posters (100 copies each) 51 100 100 100 copies 1 300 100 100 100 and two 12.1 information 2 2 2 days 59 354 118 118 118 brochures (500 51 copies each) 400 300 300 copies 1 1,000 400 300 300 Annual calendar 11.3 2 2 2 days 154 924 308 308 308 with tree and forest 51 1 1 1 calendars 60 180 60 60 60 management images 51 200 200 100 copies 2 1,000 400 400 200 Development of 51 stickers to 1 1 1 stickers 100 300 100 100 100 promote the use
of forest timber 51 and avoid illegal logging 200 200 200 copies 1 600 200 200 200 51 1 0 0 stand 1,000 1,000 1,000 0 0 Participation in national and 61 1 1 0 events 200 400 200 200 0 regional fairs and 33 events to 8 7 0 days 140 2,100 1,120 980 0 promote SFM 31 5 5 0 days 30 300 150 150 0 29
Outputs Quantity and/or Description Budget item Unit Unit cost Total cost ITTO CODEFORSA UNA activities Year 1 Year 2 Year 3 Year 1 Year 2 Year 3 Year1 Year 2 Year 3 Year 1 Year 2 Year 3
11.3 2 2 0 days 154 616 308 308 0 32 2 2 2 m/m 1,667 10,002 3,334 3,334 3,334 31 2 2 2 days 64 384 128 128 128 51 100 100 100 caps 6 1,800 600 600 600 External 51 promotion 100 100 100 key-rings 1 300 100 100 100 materials (caps, 51 key rings, pens, 200 200 200 pens 1 600 200 200 200 etc.) 51 100 100 100 t-shirts 14 4,200 1,400 1,400 1,400 11.3 7 7 0 days 154 2,156 1,078 1,078 0 Two field days 12.1 3 3 0 days 59 354 177 177 0 on SFM to promote best 33 7 7 0 days 140 1,960 980 980 0 management 54 practices 37 38 0 refreshments 9 675 333 342 0 54 37 38 0 meals 20 1,500 740 760 0
3.2. SFM is promoted and disseminated in the public and private sectors
11.3 days 1 1 1 154 462 154 154 154 Posters on days 12.1 timber use 2 2 2 59 354 118 118 118 51 250 200 200 unit 1 650 250 200 200 11.3 Banners on 1 1 1 days 154 462 154 154 154
timber use 54.1 1 1 1 banners 700 2,100 700 700 700
54.1 1 1 1 ads 200 600 200 200 200 Radio and TV 61 ads 1 1 1 months 400 1,200 400 400 400 61 1 1 1 announc. 1,000 3,000 1,000 1,000 1,000 Posters on the 11.3 days 1 1 1 154 462 154 154 154 benefits of using 12.1 days timber instead of 1 1 1 59 177 59 59 59 other substitute 51 products 250 250 250 unit 1 750 250 250 250 Participation in 11.3 talk back 2 2 2 days 154 924 308 308 308 programs on the use of timber and 61 other materials 1 1 1 months 400 1,200 400 400 400
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Outputs Quantity and/or Description Budget item Unit Unit cost Total cost ITTO CODEFORSA UNA activities Year 1 Year 2 Year 3 Year 1 Year 2 Year 3 Year1 Year 2 Year 3 Year 1 Year 2 Year 3
11.3 3 3 3 days 154 1,386 462 462 462 Two briefings on 12.1 timber 3 3 3 days 59 531 177 177 177 management and 33 two briefings on 2 2 2 days 140 840 280 280 280 the use of the 54 template 30 15 15 refreshments 9 540 270 135 135 54 30 15 15 meals 20 1,200 600 300 300
3.3 Showing the production value of forests to their owners
Show the 11.3 2 2 0 days 154 616 308 308 0 production value 12.1 of forests to the 2 2 0 days 59 236 118 118 0 public and 33 private sectors 2 2 0 days 140 560 280 280 0 and producers 54 through two field 30 30 0 refreshments 9 540 270 270 0 days 54 30 30 0 meals 20 1,200 600 600 0
3.4 Updating regents, AFE officers and forest owners on SFM techniques
Carry out a 12.1 survey of 2 2 2 days 59 354 118 118 118 regents, AFE officers and forest owners to assess the need to update SFM 11.3 2 2 2 days 154 924 308 308 308 skills as an input for training and promotion actions Training 12.1 provided to 2 2 2 days 59 354 118 118 118 regents, AFE officers and
forest owners 11.3 924 308 308 308 based on the results of the survey 2 2 2 days 154 3.5. Disseminating the right conservation concept
Posters 11.3 days explaining that 2 2 2 154 924 308 308 308 SFM is not 12.1 days destructive – e.g. 2 2 2 59 354 118 118 118 SFM is the best way to conserve 51 our forests. 200 200 194 unit 1 594 200 200 194
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Outputs Quantity and/or Description Budget item Unit Unit cost Total cost ITTO CODEFORSA UNA activities Year 1 Year 2 Year 3 Year 1 Year 2 Year 3 Year1 Year 2 Year 3 Year 1 Year 2 Year 3 Banners and 11.3 radio ads on 1 1 1 days 154 462 154 154 154 Conserve by producing. SFM is the best way to 54.1 conserve our forests. 1 1 1 banners 700 2,100 700 700 700
3.6. Arrangements with the government and the construction sector to promote the use of domestic timber
Field days, workshops and 11.3 meetings with public sector 2 2 2 days 154 924 308 308 308 decision-makers 12.1 and 1 1 1 days 59 177 59 59 59 entrepreneurs to 33 promote the 2 2 2 days 140 840 280 280 280 benefits of using 61 0 miscell. 0 0 0 0 timber produced under SFM 54 30 30 30 m/m 29 2,610 870 870 870
Sub-total - Output 3 74,424 28,191 26,495 19,738
Total for 3 Outputs 381,869 130,940 130,374 120,556
Management costs
Office rental 41 12 12 12 months 500 18,000 6,000 6,000 6,000
Project Director 11.1 12 12 12 months 2,000 72,000 24,000 24,000 24,000 Project administrator 11.4 12 12 12 months 700 25,200 8,400 8,400 8,400 Forest Eng. in charge of the Technical Dept 11.1 12 12 12 months 1,500 54,000 18,000 18,000 18,000 Forest Researcher 11.3 12 12 12 months 2,000 72,000 24,000 24,000 24,000 Sub-total – Management costs 241,200 0 0 0 56,400 56,400 56,400 24,000 24,000 24,000
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Outputs Quantity and/or Description Budget item Unit Unit cost Total cost ITTO CODEFORSA UNA activities Year 1 Year 2 Year 3 Year 1 Year 2 Year 3 Year1 Year 2 Year 3 Year 1 Year 2 Year 3
Monitoring & evaluation ITTO monitoring & review 81 20,000 10,000 10,000 Ex-post evaluation costs 82 15,000 15,000 Programme support costs 83 50,024 56,846
Sub-total 85,024 66,846 25,000 GRAND TOTAL 708,093 197,785 155,374 120,556 56,400 56,400 56,400 24,000 24,000 24,000
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3.4.2 Consolidated budget by component
Table 6. Consolidated budget by component Item Description Total Year 1 Year 2 Year 3
10 Project personnel 11.1 Project director $72,000 $24,000 $24,000 $24,000 Forest engineer in charge of the Technical 11.1 Department $54,000 $18,000 $18,000 $18,000 11.2 Forest expert 1 $6,006 $1,078 $2,464 $2,464 $12,232 $10,692 11.3 Forest marketing expert $31,922 $8,998 11.3 Forest management expert $80,814 $26,950 $27,258 $26,606 11.3 Forest extension officer $12,936 $4,158 $5,236 $3,542 11.3 GIS forest expert $7,700 $2,310 $2,310 $3,080 11.3 Forest researcher $72,000 $24,000 $24,000 $24,000 11.4 Project administrator $25,200 $8,400 $8,400 $8,400 12.1 Secretary $18,703 $6,608 $6,490 $5,605 12.2 Field assistant $35,008 $11,712 $11,648 $11,648 12.2 Workers $17,282 $5,761 $5,761 $5,761 19 Component Total $433,571 $145,209 $146,259 $142,104 30 Travel 31 DSA $25,014 $8,198 $8,528 $8,288 32 International travel $10,000 $5,000 $5,000 $0 33 Local transport costs $55,720 $19,040 $19,600 $17,080 39 Component Total $90,734 $32,238 $33,128 $25,368 40 Capital items 41 Equipped office $18,000 $6,000 $6,000 $6,000 44.1 Computer equipment $3,600 $1,200 $1,200 $1,200 44.2 Forestry equipment $4,995 $2,056 $2,056 $883 49 Component Total $26,595 $9,256 $9,256 $8,083 50 Consumable items 51 Promotion $15,874 $6,060 $5,060 $4,754 54 Meals $10,245 $4,343 $3,937 $1,965 54.1 Materials $20,400 $7,200 $6,600 $6,600 59 Component Total $46,519 $17,603 $15,597 $13,319 60 Miscellaneous 61 Sundry $25,650 $8,950 $8,450 $8,250 69 Component Total $25,650 $8,950 $8,450 $8,250 80 Monitoring & supervision costs 82 ITTO monitoring and review $20,000,00 $10,000,00 $10,000,00 $0,00 84 Ex-post evaluation costs $15,000,00 $15,000,00 $0,00 85 ITTO programme support costs $50,024,00 $56,845,68 $0,00 89 Component Total $85,024 $66,845,68 $25,000,00 $0,00 GRAND TOTAL $708,093 $280,101 $237,690 $197,124
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3.4.3 ITTO budget by component
Table 7. ITTO budget by component Item Description TOTAL YEAR 1 YEAR 2 YEAR 3
10 Project personnel 11.2 Forest expert1 $6,006 $1,078 $2,464 $2,464 11.3 Forest marketing expert $31,922 $12,232 $10,692 $8,998 11.3 Forest management expert $80,814 $26,950 $27,258 $26,606 11.3 Forest extension expert $12,936 $4,158 $5,236 $3,542 11.3 GIS forest expert $7,700 $2,310 $2,310 $3,080 12.1 Secretary $18,703 $6,608 $6,490 $5,605 12.2 Field assistant $35,008 $11,712 $11,648 $11,648 12.2 Workers $17,282 $5,761 $5,761 $5,761 19 Component Total $210,371 $70,809 $71,859 $67,704 30 Travel 31 DSA $25,014 $8,198 $8,528 $8,288 32 International travel $10,000 $5,000 $5,000 $0 33 Local transport costs $55,720 $19,040 $19,600 $17,080 39 Component Total $90,734 $32,238 $33,128 $25,368 40 Capital items 44.1 Computer equipment $3,600 $1,200 $1,200 $1,200 44.2 Forestry equipment $4,995 $2,056 $2,056 $883 49 Component Total $8,595 $3,256 $3,256 $2,083 50 Consumable items 51 Promotion $15,874 $6,060 $5,060 $4,754 54 Meals $10,245 $4,343 $3,937 $1,965 54.1 Materials $20,400 $7,200 $6,600 $6,600 59 Component Total $46,519 $17,603 $15,597 $13,319 60 Miscellaneous 61 Sundry $25,650 $8,950 $8,450 $8,250 69 Component Total $25,650 $8,950 $8,450 $8,250 80 Monitoring & administration 81 ITTO monitoring and review $20,000 $10,000 $10,000 $0 84 ITTO ex-post evaluation $15,000 $15,000 $0 83 Programme support costs (12%) $50,024 $56,846 $0 89 Component Total $85,024 $66,846 $25,000 $0 GRAND TOTAL $466,893 $199,701 $157,290 $116,724
Please note that the high percentage quoted for experts under the Project Personnel component is not 75.8% but 58.7%, which is justified because the forest experts include several engineers specialized in various fields as indicated below:
All the personnel proposed for the project are part of CODEFORSA’s staff.
1. Forest engineer 2. Forest engineer specialized in forest marketing 3. Forest engineer specialized in forest management 4. Forest engineer specialized in forest extension 5. Forest engineer specialized in GIS as reflected in table 6 under item 3.4.2 and table 7 under item 3.4.3.
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3.4.4 Executing agency budget by component
Table 8. Executing agency budget by component
Item Description Total Year 1 Year 2 Year 3
10 Project Personnel 11,1 Project director $72,000 $24,000 $24,000 $24,000 11,1 Forest engineer in charge of the Technical Dept $54,000 $18,000 $18,000 $18,000 11,4 Project administrator $25,200 $8,400 $8,400 $8,400 19 Component Total $151,200 $50,400 $50,400 $50,400
40 Capital Items 41 Equipped office $18,000 $6,000 $6,000 $6,000 49 Component Total $18,000 $6,000 $6,000 $6,000 GRAND TOTAL $169,200 $56,400 $56,400 $56,400
INISEFOR-UNA contribution by component Item Description Total Year 1 Year 2 Year 3
10 Project personnel 11.3 Forest Researcher $72,000 $24,000 $24,000 $24,000 19 Component Total $72,000 $24,000 $24,000 $24,000 GRAND TOTAL $72,000 $24,000 $24,000 $24,000
3.5 Assumptions, risks, sustainability
3.5.1 Assumptions and risks
It is a well-known fact that the Northern Region of the country has a large area of forests with potential for sustainable timber production, but that these areas are in the hands of various owners, many of whom are not aware of the advantages that forest management can bring, while others have a misguided idea of forest management. The project, therefore, will implement a set of activities to encourage owners' interest in managing their forests sustainably, such as field days, dissemination material, offering facilities for timber logging permit formalities, improved timber market conditions, etc.
Another risk is the Government's policy regarding forest utilization, which in the first years of this millennium used to be very restrictive and unclear regarding forest management; however, the last few administrations have become aware that this is a resource that can be managed sustainably, and there are policies that encourage forest management, such as the National Forest Plan, and the Forest Law that allows forest logging according to the second harvest manual. Despite these efforts, obtaining logging permits is a slow, requirement-dense formality, so the project hopes to collaborate with AFE to produce a streamlined permit approval system with the implementation of the Forest Land Registry to facilitate future procedures.
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Table 9. Risks and mitigating factors and measures
Key assumption Risk associated to Mitigating factors assumption
The government of Costa A change in government CODEFORSA maintains a Rica, through AFE, policy discourages SFM or close relationship with AFE maintains a policy that does not authorize the and with forest sector promotes and supports harvesting of standing organizations in Costa Rica, SFM. timber in second harvest so as to promote the forests or secondary significance of this project forests. for the NR and the importance of promoting SFM as a national strategy to implement the policies of the National Forest Plan 2011-2021 and to achieve the Carbon Neutral Target by 2021.
Forest owners in the NR are Approval times for The activities to be willing to implement SFM harvesting permits issued implemented by the project on their forest lands as an by AFE and the costs include coordinating efforts income generating involved in obtaining these with AFE so as to ensure alternative in addition to permits discourage forest that the necessary their agricultural and cattle owners to implement SFM measures are taken, raising activities. in their forests. including having suitable and trained personnel in SINAC offices to process the approval of management plans submitted to the regional offices. They should also be appropriately trained so as to ensure that the review process is implemented in accordance with the current legislation.
The project will have the resources required to support forest owners in financing their management plans.
Timber buyers and sellers The market conditions are Regional and/or national comply with the not suitable to ensure that agreements will be recommendations to in a fair market producers concluded with government establish a fair timber can obtain a higher price for institutions so as to market for timber sourced their standing timber or for promote the use of from natural forests. timber delivered to the nationally sourced timber in sawmill yards, or can government institutions and reduce payment times in give preference to timber the sale of their timber. sourced from forests under SFM.
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Key assumption Risk associated to Mitigating factors assumption
The decision-making There is a lack of interest in From the beginning, the process for national the information generated project will hold meetings policies related to SFM, by this project and it is not with AFE’s Forest REDD + strategy, Carbon taken into account in the Management Director Neutrality and carbon decision making processes (Gerente de Manejo Forestal reservoirs, requires on SFM and other related – GMF) and administrator to technical information from issues. ensure appropriate reliable sources, which is coordination of the now provided by the information to be produced existing PSPs and those to and of the PSP network be established by the sites that will be reactivated project in the NR. or established by the project.
3.5.2 Sustainability
The Northern Region of Costa Rica is characterized for being a forest development pole and particularly for having developed and improved SFM techniques in the region through different projects implemented in the area. One of these projects, financed by DFID, was the “Project for integrated natural forest management 1993-1998” which provided for the establishment of 10 Forest Management Units with PSPs and, through the research carried out, it established the intensity of harvesting operations, expressed as a percentage, for all production forests in the country, in addition to implementing research on the implementation of silvicultural treatments and on the profitability of forest management.
Another project that had a major impact on the Northern Region was the COSEFORMA project (Forest and Timber Sector Cooperation) financed by GTZ from Germany, which was implemented from 1991 to 2000. This project carried out several research activities and generated a great deal of information from both natural forests and forest plantations as well as the forest industry.
This project will give continuity to the sustainable forest management (SFM) activities that are being implemented in the region, will strengthen the timber market so as to ensure that it will be a truly fair market, and will set the foundations for a more efficient permit approval procedure. The project will also generate technical information to assist in the improvement of forest management activities, thus ensuring the subsequent implementation of forest management in the areas that were not included in this project.
Demonstration areas with sample plots established by the project (PSP) will require ongoing monitoring; to this end, contracts will be concluded with the owners so that they can keep collecting data in the future. This activity will be funded with other resources, after project completion.
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The project will strengthen the areas of marketing of forest products and public-private partnerships aimed at capacity building activities for forest owners, industrialists, forest regents and organizations working in the region, so as to reposition the forest sector in the Northern Region and lay the foundations for other forest sector related initiatives for both second harvest forests and secondary forests.
Figure 6: Number of hectares under SFM from 1994 to 2016, implemented by CODEFORSA
As can be seen in Figure 6, from 1994 to 1999, CODEFORSA processed SFM plans to cover from 2,000 to 5,000 hectare. From 2007 onwards, SFM actions were reinstated but did not take off as planned. It is expected that this project will promote SFM and reach a target of at least 2,000 hectares per year.
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PART 4. Implementation arrangements
4.1. Organization structure and stakeholder involvement mechanisms.
4.1.1 Executing agency and partners
The highest authority in charge of the project will be the Board of Directors of CODEFORSA; the Board is appointed by the Members' Annual Meeting which delegates project progress and outcome control and accountability to the Board.
The project will be implemented by the San Carlos Forest Development Commission (Asociación Comisión de Desarrollo Forestal de San Carlos - CODEFORSA), founded in 1983. CODEFORSA is a not-for-profit nongovernmental organization, whose main activities include: performing Payment for Environmental Services formalities before FONAFIFO, in the Reforestation, Agroforestry and Forest Protection modes; it has a forest nursery, develops and processes Forest Management Plans before AFE, implements an Environmental education programme and together with its partners, operates the Timber Marketing Unit. CODEFORSA has implemented several projects with international institutions such as AID, DIFD, Costa Rica – The Netherlands Agreement, all of which have been successful. CODEFORSA's immediate target area is mainly the Northern Region.
CODEFORSA has offices in Ciudad Quesada, canton of San Carlos, province of Alajuela, with office furniture and basic services to implement the project. It has professional technical personnel in the forest area as well as in the administration area.
To implement the project, CODEFORSA envisages the conclusion of agreements with government institutions such as ONF, INISEFOR-UNA and AFE and with forest research and education institutions. CODEFORSA will contribute the necessary infrastructure and means to implement the project, and will be accountable for the appropriate use of funds that will be made available and for achieving the objectives of the project.
4.1.2 Project management team
A Project Director will be appointed to be in charge of the project and represent it before financial and institutional coordination bodies.
A General Coordinator will be appointed to supervise the work of the project’s technical and administrative staff. To ensure the successful performance of his/her role, the Coordinator will be supported by a Consultative Committee consisting of representatives of the different institutions that will make contributions to the project: ONF, INISEFOR-UNA, FONAFIFO, SINAC and representatives of the small and medium forest owners partnered with CODEFORSA. Figure 6 shows the flowchart of the project organizational structure.
For the accounting and administration aspects of the project, there will be a bank account used exclusively for the implementation of the project; cheques issued to cover expenses will be signed by the Chairperson and the Treasurer of the Board of Directors and the Project Director. The project will have its own exclusive bookkeeping and administration instruments, according to the strictest procedures determined by the Auditors.
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CODEFORSA
Steering Committee Project Director
Consultative General Coordinator Committee
Technical personnel Administrative personnel
Figure 7. Project organizational structure
4.1.3 Project Steering Committee
As the project executing agency, CODEFORSA will be supported by a Steering Committee, which will be mainly in charge of supervising the project to ensure smooth project implementation, as well as approving monitoring mechanisms to monitor the execution of the project budget and project administration.
Coordination between the Project Director and the Steering Committee will be essential to ensure smooth project implementation, with the assistance of the General Coordinator in the planning of project activities within the budget allocated to each of these activities and addressing any adjustments that may need to be requested and approved.
The Steering Committee should be thoroughly familiar with the logical framework and work plan of the project and, at its meetings, it will request progress reports from the general coordinator and from the project technical and administrative teams as required.
The Steering Committee will be made up as follows:
Table 10. Project Steering Committee
Committee member Role Funded by ITTO evaluators Ex-post evaluation of project implementation ITTO Chair of CODEFORSA Highest authority as executing agency CODEFORSA Board of Directors Coordinating and planning all project activities. Project Director CODEFORSA Chair of the committee Supporting the Project Director in the General Coordinator CODEFORSA implementation of activities INISEFOR- INISEFOR-UNA officer Direct project collaborator UNA ITTO focal point in Liaising with ITTO FONAFIFO Costa Rica AFE Providing support to the project MINAE
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4.1.4 Stakeholder involvement mechanisms
Stakeholders have been involved in the project since the formulation of the proposal and the identification of problems faced by the forest sector in the Northern Region. Consultation workshops were implemented with the participation of stakeholders from the public sector, as represented by government institutions, and the private sector, as represented by forest owners, industrialists and subcontractors involved in harvesting operations. At the external level, meetings were held with officers from key institutions such as ONF, FONAFIFO, INISEFOR- UNA and SINAC. In these meetings, it was possible to collect all necessary information to develop a problem tree and on that basis, design a project proposal to meet the primary needs of the forest sector and SFM requirements in the Northern Region.
After the formulation and submission of the project, the representatives of these institutions will actively participate as members of the Consultative Committee, with INISEFOR-UNA as a direct stakeholder, together with CODEFORSA, in the implementation of the project. Other institutions such as ONF, FONAFIFO, AFE through GMF and SINAC, through the Arenal Huetar Norte Conservation Area grouping small and medium forest producers in the NR, will all be, together with CODEFORSA, members of the Project Consultative Committee and direct collaborators in the implementation of activities. As such, they will be able to request and receive information on the project, and through this committee, these stakeholders will have access to the Steering Committee and will have a voice in the project´s decision-making process.
The institutions involved in the project include:
San Carlos Forest Development Commission Association (Asociación Comisión de Desarrollo Forestal de San Carlos - CODEFORSA): project executing agency and in charge of coordinating project activities and providing technical and administration continuity to the project, as well as producing training material for:
Small and medium forest owners: Families that own farms within the project target area will be in charge of allocating part of their farms to sustainable forest management. These small and medium producers are male and female members of CODEFORSA and will therefore be direct project stakeholders and beneficiaries of the activities to be implemented, in addition to having access to the information generated by the project.
Institute for Forest Research and Services (Instituto de Investigaciones y Servicios Forestales - INISEFOR): The Institute for Forest Research and Services, INISEFOR, is an academic unit of the Faculty of Earth and Marine Sciences of the National University; it was founded on 23 July 1992 and since then it has focused on applied research to make a substantial contribution to the forest sector.
Its work follows two strategic streams: integrated management of natural forest ecosystems (forests) and integrated management of plantation forests. Additionally, since 2010 INISEFOR has offered a Degree in Integrated Farm Management jointly with the Sarapiquí Academic Programme, in the Northern Huetar Region (NR) of the country. Researchers, teachers and extension workers carry out field projects as diverse as in vitro reproduction of forest species, forest ecosystem monitoring, conservation and propagation of endangered forest species, agroforestry systems, efficient timber growing, forest soils, genetic improvement and timber logging and processing. See Annex 3.
National Forest Office (Oficina Nacional Forestal - ONF): Established by Forest Law No. 7575 in 1996, as a non-governmental public body with its own legal capacity, to promote forest activities and the use of timber as a valid formula to conserve and harvest this resource, thus generating significant environmental, social and economic benefits nationally and globally. At the national level, ONF consists of 40 organizations. This makes it a private forest sector discussion and coordination forum with strong involvement in the management of national forest policy.
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National Forest Finance Fund (Fondo Nacional de Financiamiento Forestal - FONAFIFO): The National Fund for Forest Finance is a public body in charge of funding small and medium forest goods and services producers through the management and administration of nationally and internationally sourced finance to support the development of the forest sector.
State Forest Administration (Administración Forestal del Estado – AFE): Article 5 of Forestry Law No. 7575 states that “The Ministry of the Environment and Energy shall govern the sector and shall undertake the functions of the State Forest Administration in accordance with this law and its regulations. The organizational structure of the State Forest Administration shall be set out in the regulations of this law. This Administration shall be regionalized and to this end, the country will be divided into Forest Regions”.
National System of Conservation Areas (Sistema Nacional de Áreas de Conservación - SINAC): The National System of Conservation Areas is an agency of the Ministry of the Environment and Energy, created by Section 22 of the Biodiversity Law N. 7788, in 1998. SINAC is a holistic conservation concept offering the possibility of exercising responsible public governance with the State, civil society, private business and each and every person in the country with an interest in, and committed to building a healthy and ecologically balanced environment.
The consultative committee will work ad honorem and the project will cover the administration costs of consultation meetings to be held during its implementation. As part of its counterpart contribution, CODEFORSA will provide the venues for the meetings as well as technical equipment for projections and transport in the case of meetings or visits to be held outside CODEFORSA´s facilities. The Consultative Committee will be made up as follows:
Table 11. Project Consultative Committee
Representatives from: National Forest Office (ONF) Small and medium forest owners, members of CODEFORSA Institute for Forest Research and Services (INISEFOR) National Forest Finance Fund (FONAFIFO) State Forest Administration (AFE): National System for Conservation Areas (SINAC) General Coordinator of the Project
The Project´s General Coordinator will chair this committee; small and medium forest owners may have more than one representative.
4.2. Reporting, review and evaluation.
All the reports to be submitted to ITTO will be consistent with the yearly plans of operation presented to the Organization, which will detail the project's operating objectives; therefore, the indicators and assumptions of the project must be implemented and monitored through the outlining of project outcomes in project reports.
Within one month of project start-up, a project inception report will be submitted. This report will detail the names of the project team members, from the selected Project Director down to the field technical personnel and administrative staff. This inception report will establish a baseline for the execution of both technical and administrative activities as required to ensure smooth project implementation.
A yearly plan of operation (YPO) for the first year of the project will be submitted together with the inception report. The YPO1 will comprise a schedule of the work plan activities that are to be implemented during the first year of the project, including the responsible parties and budget allocations for each of the activities.
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The project progress reports will be submitted in accordance with ITTO requirements i.e. every six months. An annual report will be submitted by the end of each yearly plan of operation in preparation for ITTO´s monitoring visits. These reports will contain information on the outcomes of implemented activities, and an analysis of estimated assumptions indicating whether the risks involved were mitigated, as well as an assessment of all means of verification for implemented activities and their evaluation by the stakeholders involved. The reports will also include the proceedings of meetings of the consultative and steering committees on project progress, making sure that no scheduled activity is left undone and that no interest group in the project target area is neglected.
The following table shows the project's monitoring and reporting schedule for progress reports:
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Table 12. Schedule of project monitoring and reporting
Project technical and administrative monitoring Activities Month 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 Inception X report YPO X X X
Submission of progress X X X X X reports
ITTO’s monitoring X X visit Completion X report
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4.3 Dissemination and mainstreaming of project experiences
4.3.1 Dissemination of project outcomes
Several activities will serve to disseminate project outcomes, including:
1. Local radio advertising to explain the objectives of the project and the outcomes expected; 2. An annual one-hour programme on local television, detailing project scope and activities; 3. Publication of three posters (1,000 copies of each) and two information brochures (500 units of each), to be distributed in the Region; 4. Annual calendar with images of trees and of forest management; 5. Stickers on forest timber consumption and prevention of illegal logging; 6. Involvement in national and regional fairs and events to promote SFM; 7. External promotion items (caps, key-rings, pens, etc.); 8. An annual workshop to promote SFM and standardize criteria; 9. An annual field day with male and female regents and owners on SFM techniques.
4.3.2 Mainstreaming of project learning
As a result of mainstreaming of project learning:
1. The State of Costa Rica has a policy that is favourable to forest management in the Northern Region, and the model used is implemented nationally. 2. In the Northern Region, the forest activity coordination body is the SINAC, which implements actions to promote SFM. 3. The forest land registry is institutionalized in the Northern Region, and there is an inventory of forests with potential for polycyclic management. 4. At least 600 hectares of forests are sustainably managed every year in the Northern Region. 5. Secondary forest management standards are applied in the Northern Region 6. There is more knowledge on almond tree and its potential for SFM.
As a result of project learnings:
7. The Forest Land Registry is operational and AFE formalities take less time. 8. 30 forest owners have been trained in SFM and apply their knowledge on their farms. 9. There is information available on SFM profitability in Northern Region forests and key factors such as almond tree harvesting, access to PES, use of waste, etc. 10. There is scientific information on SFM available to forest owners, AFE, ONF, institutions, universities and the general public.
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5. References
BARRANTES, A. 2007. La excesiva regulación sobre el aprovechamiento forestal. Boletín electrónico # 05- 2007. Oficina Nacional Forestal. Miércoles 7 de noviembre 2007. http://www.oficinaforestalcr.org/boletin/05-2007.php.
BARRANTES, A., UGALDE, S. 2014. Informe de usos y aportes de la madera en Costa Rica. Estadísticas del 2013. Oficina Nacional Forestal, San José, Costa Rica. CGR, 2015.
MAGINNIS, S.; MÉNDEZ, J. y DAVIES, J. 1998. Manual para el manejo de bloques pequeños de bosque húmedo tropical (con especial referencia a la zona norte de Costa Rica). Editorial Lara Segura y Asoc. San José, Costa Rica. 208 p.
MÉNDEZ, J. 2003. El Manejo Impacto Reducido en el Bosque Húmedo Tropical de Costa Rica. XII Congreso Forestal Mundial. Québec, Canadá, del 21 al 28 de Setiembre del 2003.
PEDRONI, 1992. Diagnostico Forestal de Costa Rica. Informe de IC y UICN/ Orca para la Cooperación Suiza para el Desarrollo (COSUDE), San José, Costa Rica, agosto de 1992.
SINAC. 2007. Plan para la Sostenibilidad de la producción Forestal en Costa Rica periodo 2006-2010. Enero 2007. Ministerio de Ambiente y Energía; Sistema Nacional de Áreas de Conservación. San José; Costa Rica. Enero, 2007. 36 pag.
ZAMORA, N. 2010. FABACEAE PP. 395-775 EN, HAMMEL, B.E., M. H. GRAYUM, C. HERRERA & N. ZAMORA (EDS.).2010. Manual de Plantas de Costa Rica. Vol V. Dicotiledóneas (Clusiaceae--Gunneraceae). Monogr. Syst. Bot. Missouri Bot. Gard. 119: 1–970.
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Annex 1. Profile of the Executing Agency
CODEFORSA PROFILE
The San Carlos Forest Development Commission (Comisión de Desarrollo Forestal de San Carlos - CODEFORSA) was established in July 1983 as a non-profit nongovernmental organization with the aim of working towards sustainable development and providing services in the forest field. It has more than 300 members from different areas: farmers (small, medium and large scale), timber transport operators, forest harvesting companies, forest owners, forest industries and reforestation operators.
Its structure comprises a General Assembly as the highest authority of the organization; a Board of Directors made up of 7 members appointed by the General Assembly; and a Comptroller’s Office, which is responsible for ensuring compliance with the Organization’s by-laws and policies.
CODEFORSA operates through a Technical Department, made up of forest engineers and field assistants, who are responsible for providing technical assistance; and an Administrative Department, which is in charge of the development of administrative and financial mechanisms as a necessary element to support institutional activities.
Target area
CODEFORSA's main direct target area is the Northern Region of Costa Rica. The area is covered in tropical lowland rainforests and accounts for approximately 20% of the national territory.
Mission
We are a leading NGO in the promotion of sustainable forest development, contributing to improved living standards among the Huetar Norte Region residents.
Vision
To be a sound organization that promotes forest production processes to achieve the social and economic growth of its partners and collaborators, thus contributing to the forest development of the country.
Services provided by CODEFORSA
Forests o Production (Forest Management) o Protection (PES procedures) Forest plantations (PES procedures) Agroforestry (PES procedures) Environmental education and extension Forest nurseries Seed collection and sale Certificates of origin for plantations Forest inventories in pasturelands Forest regency Consultancies Plantation establishment Plantation maintenance Plantation marketing
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As shown in Figure 1, from 1994 to 1999, CODEFORSA was the leading forest organization in Costa Rica for the promotion of forest management. Since 2010, it has actively worked towards increasing forest management practices in the production of timber in the country. The response has been slow; therefore, additional inputs are required to promote forest management.
6000 5686
5000
4024 4000 3791 3462
3000
2076 2000 1131 965 845 926 1000 723 484 444 350 200 248 173 0 0 0 0 0 64 0 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015
Figure 1. Number of hectares brought under management plans by CODEFORSA between 1994 and 2015
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Annex 2. COFALC-FAO’s recognition of excellence of CODEFORSA members in the implementation of sustainable forest management practices and processes and their contribution to forest sustainability in the Region
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Annex 3: Curricula vitae of personnel provided by the executing agency
Jhonny A. Méndez Gamboa
Jhonny Alberto MÉNDEZ GAMBOA has a Forester degree from the Institute of Technology of Costa Rica (ITCR), and a Master’s in Integrated Management of Natural Resources from the Tropical Agricultural Centre for Research and Education (CATIE), with specialisation in Natural Forest Management and Forestry.
He has attended a variety of courses including a Forest use course delivered by COSEFORMA, Sustainable development funding, by INCAE, and Project design and evaluation for the agricultural and forest sectors, by ICEP.
He has participated in numerous workshops and conferences in his professional life and has been a member of the jury for 10 theses for the Forester degree or for Master's degrees.
He has been a consultant in Nicaragua and Honduras for RECURSOS NATURALES TROPICALES (RNT SA); in Ecuador for WILDLIFE CONSERVATION SOCIETY (WCS), CARE-ECUADOR and for the OIKOS Foundation; in Mexico for the Chiapas cloud forest conservation project; and for the Department for International Development (DFID).
He has published several documents including the book Manual para el manejo de bloques pequeños de bosque húmedo tropical (con especial referencia a la Zona Norte de Costa Rica) as well as several articles in the Revista Forestal Centroamericana and in Central American and national forest congresses, as well as CODEFORSA's technical collection on natural forest management: Colección Técnica Manejo de Bosque Natural.
He has been a member of the Board of Directors of National Forest Finance Fund (FONAFIFO), National Forest Office (ONF), Regional Council of the Arenal Huetar Norte Conservation Area (CORAC-HN), Forest Council of the Arenal Huetar Norte Conservation Area, Standing Forestry Commision of the Society of Agronomists of Costa Rica (CIAgro), and other bodies.
Since August 1999 he is the Executive Director of the Forest Development Commission of San Carlos (CODEFORSA)
Víctor Meza Picado
Víctor Hugo MEZA PICADO is an INISEFOR-UNA official; he has a forester degree from National University of Costa Rica (UNA) and a Master's degree in Environmental socio economics from Tropical Agricultural Centre for Research and Education (CATIE). Currently he is completing his doctorate studies at Freiburg University in Germany. He has been working for 15 years at the Environmental Sciences School, UNA, providing support and delivering courses in the Forester studies, including: Dasometrics, Epidometrics, Forest Valuation and Forest Use, Forest Current Events. In 2001 he moved to INISEFOR to work as a researcher in the Natural forests and forest plantations management programme, where he has been involved in a diversity of projects including: Limiting factors for forest plantations, Dynamics of natural forests after logging, and Network of permanent sample plots. He has been the Coordinator of the Natural forest integrated management area. He is one of the founders of the Red nacional para el monitoreo de los ecosistemas forestales (National monitoring network for forest ecosystems), an initiative that he coordinated for four years, and which gathers institutions that are implementing long-term monitoring in permanent sample plots in Costa Rica. He has been in charge of one of the components of the project Permanent sample plot establishment in the Monteverde cloud forest continental transect. He has published over 20 magazine articles nationally and internationally, and has participated as speaker in more than 25 national and international events.
Mr Meza has been the representative of National University before the National Commission for Forest Sustainability of Costa Rica (Comisión Nacional de Sostenibilidad Forestal de Costa Rica), a member of the Executive Committee of the Programa de Monitoreo Ecológico de las Áreas Protegidas y Corredores Biológicos de Costa Rica (Programme for Ecological Monitoring of Protected Areas and Biological Corridors of Costa Rica, PROMEC-CR), and a member of the Board of Directors of Asociación Costarricense para el Estudio de Especies Forestales Nativas (Costa Rican Association for the Study of Native Forest Species, ACEN).
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Luis Fernando Pérez Obando
Luis Fernando PÉREZ OBANDO has a Forester degree from the Institute of Technology of Costa Rica; he has been a CODEFORSA official for over 24 years, where he has provided technical assistance in reforestation, forest management, agroforestry systems, and forest use projects. Mr Pérez Obando has been involved in projects such as REFORMA that was financed by AID, forest extension projects financed by the Fondo Canje Costa Rica Canadá (Costa Rica - Canada Debt Swap Fund). He has completed training in Forest management, Reforestation, Forest pest management, Project formulation, GIS systems at UNA, Plantation evaluation, Weed control, Agroforestry systems, Forest certification, Forest regencies, Environmental impact assessment, and currently holds "Regent" accreditation from the College of Agronomists and the Secretaría Técnica Nacional (National Technical Secretariat, SETENA), and is a member of the Consejo Forestal del Área de Conservación Arenal Huetar Norte.
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Annex 4. Profile of collaborating agencies
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Annex 5. Consultation workshops – Lists of participants and images
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Annex 6. Income generated under harvesting and non-harvesting management plans for Almendro
Standing timber price NAME No. of trees Volume (stp) Expected income Expected income Alcantarilla 7 35,99 100 ₡1.042.270,40 ₡1.042.270,40 Almendro 85 434,688 500 ₡0,00 ₡62.942.822,40 Areno 92 409,53 100 ₡11.859.988,80 ₡11.859.988,80 Baco 42 104,59 100 ₡3.028.926,40 ₡3.028.926,40 Botarrama Blanco 218 1412,11 100 ₡40.894.705,60 ₡40.894.705,60 Botarrama Rojo 108 463,03 100 ₡13.409.348,80 ₡13.409.348,80 Caobilla 85 568,7 100 ₡16.469.552,00 ₡16.469.552,00 Carey 43 164,85 100 ₡4.774.056,00 ₡4.774.056,00 Cedro María 11 42,64 100 ₡1.234.854,40 ₡1.234.854,40 Cocobolo 39 252,56 100 ₡7.314.137,60 ₡7.314.137,60 Cucaracho 45 185,17 100 ₡5.362.523,20 ₡5.362.523,20 Cuero de Sapo 3 8,12 100 ₡235.155,20 ₡235.155,20 Fruta Dorada 22 92,67 100 ₡2.683.723,20 ₡2.683.723,20 Gavilan 45 170,8 100 ₡4.946.368,00 ₡4.946.368,00 Guanacaste 34 174,36 100 ₡5.049.465,60 ₡5.049.465,60 Nispero 46 244,76 100 ₡7.088.249,60 ₡7.088.249,60 Piedra 12 43,42 100 ₡1.257.443,20 ₡1.257.443,20 Piedrilla 23 88,07 100 ₡2.550.507,20 ₡2.550.507,20 Poponjoche 7 33,82 100 ₡979.427,20 ₡979.427,20 Querosen 17 57,5 100 ₡1.665.200,00 ₡1.665.200,00 Tamarindo 52 167,98 100 ₡4.864.700,80 ₡4.864.700,80 Zapotillo 7 18,56 100 ₡537.497,60 ₡537.497,60 958 5173,918 ₡137.248.100,80 ₡200.190.923,20
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Annex 7. Response to 50th ITTO Expert Panel general assessment and specific recommendations
Expert Panel recommendation Modifications 1. Reconsider the scope and the whole structure of 1. Both the modifications indicated under the 10 the project proposal. The approach toward the bullets in this table and those marked in bold achievement of the development objective may be and underlined throughout the text are part of the revision of the project and its divided into 2-3 stages based on the problem objectives to address the Expert Panel’s analysis, and focus the first project proposal on the recommendations. area which requires prior actions. On the basis of the above, add in-depth analysis of problems concerned and formulate a problem tree and an objective tree (Sub-section 2.1.3), elaborate specific objective, outcomes and associated activities (Sub- sections 2.2.1 and 2.2.2, and Section 3.1), develop logical framework matrix with realistic indicators (Sub-section 2.1.4), and identify expected outcomes (Section 1.4). Other parts, including the weak section on assumptions, risks, sustainability (Section 3.5), need to be amended, re-developed or further improved accordingly. 2. Provide the following components which are 2. The components that were missing in the currently missing in the proposal in accordance with original proposal in accordance with the ITTO the ITTO Manual for Project Formulation: Manual for Project Formulation are described below:
i. objective tree (Sub-section 2.1.3); i. The objectives tree is included in section 2.1.4
ii. outputs with their associated indicators, means of verification and ii. The outputs with their associated indicators, key assumptions in the logical means of verification and key assumptions in the framework matrix (Sub-section 2.1.4); logical framework matrix are included in sub-section 2.1.5.
iii. a list of activities (Sub-section 3.1.2); iii. The list of activities is included in sub-section 3.1.1
iv. a table to analyze assumptions, risks iv. A table with an analysis of assumptions, risks and and alternative solutions (Sub-section alternative solutions was updated in sub-section 3.5.1); 3.5.1, and sub-section 3.5.2 on “sustainability” was included.
v. organizational structure chart (Sub- v. The organizational chart is included in Figure 6, section 4.1.1); under sub-section 4.1.2.
vi. profiles of the collaborating agencies vi. The profiles of the collaborating agencies are (ONF and INISEFOR-UNA) (Annex); included in Annex 4.
vii. TOR for key project personnel vii. The TOR are included in Annex 3. (Annex).
3. Complete the list of abbreviations and acronyms. 3. The list of abbreviations and acronyms was completed (page 2) 4. Provide reference details about cited literature 4. Reference details about cited literature were (Sections 1.1, 1.2 and 1.3). included in Section 5 – References.
5. Explain what the objectives are for the work on 5. The objectives for the work on Dipteryx Dipteryx panamensis, which is now named D. panamensis, which is now named D. oleifera oleifera (Section 1.1, Sub-section 1.3.4 and/or Sub- are described in sub-section 1.3.3. section 2.1.3).
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6. Include monitoring and review cost (US$ 10,000 6. Monitoring and review costs (US$10,000 per per year), ex-post evaluation cost (US$ 15,000) and year), ex-post evaluation cost (US$15,000) and ITTO programme support cost (12%) in the ITTO ITTO programme support costs (12%) were budget table (Sub-section 3.4.3). ITTO programme included in the ITTO budget table (sub-section support cost will be US$ 50,755 and the total 3.4.3). ITTO programme support costs amount to amount available for the actual implementation of US$50,755 as shown in tables 5, 6 and 7 under the project proposal will be US$ 387,959. In sub-section 3.4.2. consideration of the high percentage of personnel cost in the ITTO budget in the current proposal, Please note that the high percentage quoted which is 75.8% excluding ITTO programme support for experts under the Project Personnel cost, monitoring and review cost and ex-post component is not 75.8% but 58.7%, which is evaluation cost, consider reducing the personnel justified because the forest experts include cost, including by utilizing internal experts, thereby several engineers specialized in various moving the cost of hiring external experts to the fields as indicated below: Executing Agency budget. 1. Forest engineer 2. Forest engineer specialized in forest marketing 3. Forest engineer specialized in forest management 4. Forest engineer specialized in forest extension 5. Forest engineer specialized in GIS
as reflected in item 3.4.2 and table 7 under item 3.4.3.
7. Consider including duty travel cost, consumable 7. Duty travel costs, consumable items and item cost and miscellaneous cost, including final miscellaneous costs, as well as final audit audit cost, in the Executing Agency budget table costs, were included in the executing agency (Sub-section 3.4.4). Also reconsider the high unit budget table (sub-section 3.4.4). The high cost of Project Coordinator which is US$ 4,000 per unit cost for the Project Coordinator in tables month. 5, 6 and 7 was revised to $4000 per month.
8. Specify Steering Committee members, including 8. The members of the Steering Committee representatives from the Executing Agency, ITTO include representatives of the executing and donors (Sub-section 4.1.3). agency, ITTO and donors as shown in Table 10 under sub-section 4.1.3. 9. Describe a mechanism to inform and involve 9. The mechanism to inform and involve stakeholders, including local producers, local stakeholders, including local producers, local farmers, forest managers, timber industry and farmers, forest managers, timber industry others as listed in the stakeholder analysis, in and others is included in sub-section 4.1.4. project implementation referring to the ITTO Manual for project formulation (Sub-section 4.1.4).
10. Note that project progress report is submitted 10. A schedule for the six-monthly submission of biannually (Section 4.2).. project progress reports is included in sub- section 4.2 and Table 10. 11. Include an Annex that shows the responses to 11. Annex 7 contains the responses to the 50th the above overall assessment and specific Expert Panel’s general assessment and recommendations of the 50th panel and respective specific recommendations. modifications in tabular form. Modifications should also be highlighted (bold and underlined) in the text.
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Annex 8: Response to 52nd ITTO Expert Panel general assessment and specific recommendations
Expert Panel recommendations Modifications made 1. Provide TORs for each of key project Annex 9 shows the terms of reference for the personnel who will receive ITTO funds; project’s key staff, including personnel financed by ITTO and by the project counterpart contribution. 2. Provide more information on the management Annex 10 includes further information on the of permanent sample plots in the project site; management of permanent sample plots.
3. Clarify the proposed study on “Almendro” In order to avoid any disruptions, the study on (almond tree) species and a management plan Almendro has been excluded. The inclusion of this that includes the harvesting of this species. species in the list of harvestable species will be dealt with at the national level through other media and on Consider dropping this study as it would be the basis of research to be carried out by local important for the national CITES Scientific universities. Thus, all text related to the Almendro Authority to conduct such a study; study has been crossed out in the project document. 4. Redefine the outcome indicators as the Regarding this indicator, CODEFORSA develops indicator with at least 800 ha of sustainable forest management plans for an average of 900 ha forest management area by the end of the per year; therefore, an indicator of 800 ha for the duration of the project was considered to be project looks too ambitious; acceptable. However, we have addressed the recommendation of reducing this indicator and the revised proposal now includes an indicator of 600 ha (-25%) for the area under sustainable forest management to be achieved by the end of the project. 5. Amend the budget presentation tables in The budget tables have been amended according to accordance with the standard formats (master ITTO’s standard formats. budget, budget by component – ITTO and EA) provided in the ITTO Manual for Project Formulation (3 rd Edition);
6. Recalculate the ITTO Programme Support ITTO’s programme support costs have been Costs (Sub-component 83) specified in the recalculated at the rate of 12% of the total ITTO budget so as to conform with standard rate of project costs. 12% of the total ITTO project costs (on budget items 10 to 82); and
7. Include an annex that shows the Annex 8 includes this table with the modifications recommendations of the 52nd Expert Panel requested by the 52nd Expert Panel for the Technical and the respective modifications in tabular Evaluation of Project Proposals. form. Modifications should also be highlighted (bold and underline) in the text.
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Annex 9. Terms of reference for the key staff provided by the executing agency
1. Project Director (CODEFORSA staff)
Requirements: - Gender: Male or female. - University degree in the forestry field, with a specialization in natural resource management or a related discipline. - 10 or more years of experience in the fields of forestry and forest management. - Experience in administration and personnel management. - Knowledge of the current forest legislation and other related regulations. - Leadership skills with ability to coordinate and work in a team. - Good command of computer packages. - Ability to negotiate with forest sector policy-makers.
Duties: - Facilitate the annual planning, organization and supervision of the implementation of project activities. - Supervise the execution of the project budget. - Participate in the selection of project personnel. - In cooperation with each of the project experts, develop training programs, tasks and research work to be carried out during the implementation of the project. - Establish guidelines for the performance evaluation of the personnel under his/her supervision. - Revise reports and technical documents. - Develop and submit project progress reports. - Coordinate with ITTO management for all matters related to project implementation. - Coordinate actions with SINAC authorities and other primary and secondary stakeholders in the region.
2. Project Administrator (CODEFORSA staff)
Requirements: Gender: Male or female. University degree in business administration with accounting expertise. 10 years experience in business administration and/or accounting, ideally in the forestry field. Good command of computer packages.
Duties: Manage the personnel recruited for the project. Manage the project accounts in compliance with national regulations and ITTO procedures. Assist the Project Director in monitoring the use of project funds. Prepare financial reports according to the formats established by ITTO and national legislation.
3. Forest engineer in charge of the Technical Department (CODEFORSA staff)
Requirements: Gender: Male or female. University degree in the forestry field with expertise in sustainable forest management. 8 or more years of experience in the forestry field and forest management. Registered with the Society of Agricultural Engineers. Knowledge of the current forest legislation and related regulations in Costa Rica. Ability to coordinate and work in a team. Good command of the MS OFFICE computer suite and relevant software for the plotting of forest maps.
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Ability to negotiate with primary and secondary forest sector stakeholders.
Duties: Monitor project activities in coordination with the Project Director. Assist and support the project implementation. Assist the Project Director in the preparation of documents, activities, workshops, reports and processing and analysis of field information. Coordinate the administrative aspects of the project, management of expenditures and accounting information in cooperation with the Project Administrator.
4. Forest researcher (INISEFOR-UNA staff)
Requirements: Gender: Male or female. University degree in the forestry field with expertise in sustainable forest management. Arrange the publication of at least two research works. Staff member of a university offering a course in forest engineering. 8 or more years of experience in the forestry field and forest management. Registered with the Society of Agricultural Engineers. Knowledge of the current forest legislation and related regulations in Costa Rica. Ability to plan research work in the forestry field.
Duties: Assist and support the project implementation. Monitor project research activities in coordination with the Project Director. Contribute to the processing of data and the analysis of field information related to research activities. Coordinate with the officer in charge of the Technical Department for the implementation of research activities approved by the project.
TERMS OF REFERENCE FOR THE PERSONNEL AND CONSULTANTS FINANCED BY ITTO
The following personnel are part of CODEFORSA’s permanent staff
1. Forest Expert 1
Requirements: Gender: Male or female. University degree in the forestry field with expertise in sustainable forest management. Years of experience in the forest management field and the implementation of forest management plans. Registered with the Society of Agricultural Engineers. Knowledge of the current forest legislation and related regulations in Costa Rica. Good command of the MS OFFICE computer suite and relevant software for the plotting of forest maps. Ability to negotiate with primary and secondary forest sector stakeholders. Duration of contract: 5 months.
Duties: Support the implementation of the project. Support the preparation of project reports. Coordinate with the officer in charge of the Project’s Technical Department for the implementation of relevant activities. Manage the information collected in the field and forward it to the officer in charge of data processing and analysis. Any other duties required by the officer in charge of the Project’s Technical Department and/or the Project Director.
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2. Forest Marketing Expert
Requirements: Gender: Male or female. University degree in the forestry field with expertise in marketing. Years of experience in the forest management field and forest product marketing activities. Registered with the Society of Agricultural Engineers. Knowledge of the current forest legislation and related regulations in Costa Rica. Good command of the MS OFFICE computer suite. Duration of contract: 14 months.
Duties: Support the implementation of the project. Coordinate with the officer in charge of the Project’s Technical Department for the implementation of relevant activities. Any other duties required by the officer in charge of the Project’s Technical Department and/or the Project Director.
3. Forest Management Expert
Requirements: Gender: Male or female. University degree in the forestry field with expertise in sustainable forest management. Years of experience in the forest management field and the implementation of forest management plans. Registered with the Society of Agricultural Engineers. Knowledge of the current forest legislation and related regulations in Costa Rica. Good command of the MS OFFICE computer suite and relevant software for the plotting of forest maps. Duration of contract: 24 months.
Duties: Support the implementation of the project. Support the preparation of project reports. Coordinate with the officer in charge of the Project’s Technical Department for the implementation of relevant activities. Manage the information collected in the field and forward it to the officer in charge of data processing and analysis. Any other duties required by the officer in charge of the Project’s Technical Department and/or the Project Director.
4. Forest Extension Officer
Requirements: Gender: Male or female. University degree in the forestry field with expertise in forest extension. Years of experience in forest management and in dissemination, awareness-raising and training activities for producers. Registered with the Society of Agricultural Engineers. Knowledge of the current forest legislation and related regulations in Costa Rica. Good command of the MS OFFICE computer suite. Duration of contract: 3 months.
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Duties: Support the implementation of the project. Coordinate with the officer in charge of the Project’s Technical Department for the implementation of relevant activities. Any other duties required by the officer in charge of the Project’s Technical Department and/or the Project Director.
5. Forest GIS Expert.
Requirements: Gender: Male or female. University degree in the forestry field with expertise in Geographic Information Systems. Years of experience in forest management and in the management of GIS software. Registered with the Society of Agricultural Engineers. Knowledge of the current forest legislation and related regulations in Costa Rica. Good command of the MS OFFICE computer suite and GIS software. Duration of contract: 2.5 months.
Duties: Support the implementation of the project. Coordinate with the officer in charge of the Project’s Technical Department for the implementation of relevant activities. Any other duties required by the officer in charge of the Project’s Technical Department and/or the Project Director.
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Annex 10: Additional information on the management of the Permanent Sample Plots
The Permanent Sample Plots (PSP) are situated in the North Huetar region of Costa Rica, which borders with Nicaragua to the north and with the provinces of Guanacaste, Alajuela and Heredia to the south. The plots are located in the tropical moist lowland forests of North Huetar, and more precisely in the San Carlos, Guatuso and Los Chiles plains area (Map 1).
Map 1. Location of Permanent Sample Plots (PSPs)
Site selection:
CODEFORSA carried out the selection and measurement of the PSPs with the objective of including the most important and representative forest stands of the North Huetar region in the study. All the forests where the plots are located have been harvested at least once. The plots are part of a Permanent Sample Plot Project established by CODEFORSA in 1992 and have been measured on a regular basis up to 2010.
All the plots are square-shaped (100 m long x 100 m wide). Each plot was subdivided into 100 sub- plots of 10 m x 10 m, which were numbered from 00 to 99. The plots were demarcated by placing markers every 10 m until the subdivision of the plot was completed. There is a total of 6 one-hectare plots and 27 1/4-hectare plots. All of these plots are square shaped and were demarcated following the same aforementioned procedure. In the localities of Hogar de Ancianos, San Jorge and Hiloba, there are one-hectare plots, but these were only measured in 1992 and 1995.
Management unit # of PSP PSP size (ha) La Legua 1 1.0 ha Hogar de Ancianos++ 9 0.25 ha San Jorge ++ 9 0.25 ha Hiloba ++ 9 0.25 ha Octubre 78 1 1.0 ha La Montura 1 1.0 ha El Jardín 1 1.0 ha Elky María 1 1.0 ha Samen 1 1.0 ha Total 12.75 ha
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All the trees in the PSPs with diameters over 10 cm are numbered and measured. Within their respective sub-plots of 10 m x 10 m, each individual tree is numbered using the number of the sub- plot where the tree is located and adding a consecutive number for each individual. The numbers are directly painted onto the tree and are also engraved on a metal plate that is nailed to the stem to prevent the paint from fading. Ninety per cent (90%) of tree species were directly identified in the field and for the remaining trees where there was a doubt about their taxonomy, a herbarium specimen was collected and later identified through comparison in the Herbarium of the National Biodiversity Institute (INBIO).
Work sites and experimental design of silvicultural treatments
Between 1992 and 1993, CODEFORSA implemented three silvicultural treatment trials in Permanent Sample Plots (PSPs) established in the regions of Boca Tapada, Pital de San Carlos and Alajuela, Costa Rica. The plots were 50 m x 50 m in size and were divided into 25 subplots of 10 m x 10 m.
The silvicultural treatment trials were implemented in Forest Management Units (FMU) belonging to members of the Organization, in the localities of Hiloba, San Jorge and Hogar de Ancianos. Professor Juvenal Valerio Garita of the Institute of Technology of Costa Rica (ITCR) collaborated with the implementation of these trials. Periodic measurements have been made in the PSPs since their establishment and up to 20101.
A reduced impact logging operation was carried out in each of the FMUs. In 1990, 50 ha were harvested in Hiloba, 53 ha in San Jorge in 1992 and 53 ha in Hogar de Ancianos also in 1992 (Mendez, 2009). Silvicultural treatments were applied to the harvested areas as follows: 35 ha were treated in Hiloba, 37 ha in San Jorge and 10 ha in Hogar de Ancianos; all of these treatments were applied in 1993. Mendez (2006) as cited by Centeno (2010) indicated that the silvicultural treatments applied were aimed at promoting the establishment and regeneration of timber species and at reducing competition so as to promote the growth of trees that had been selected for the next harvest.
It is clear that the silvicultural methodology used was to implement the treatments in the post- harvest phase and that these were applied to unwanted vegetation with diameters ≥ 10 cm, as this size of vegetation is already established and has greater management benefits. Another silvicultural method used was to treat a maximum of 40% of the original basal area with DBH ≥ 10 cm.
According to Mendez (2009), the trials implemented in the different PSPs are distributed as follows:
Hiloba:
Gamboa (1992) established a total of nine plots. Liberation treatments were applied to three plots, systematic liberation treatments were applied to another three plots and the remaining three plots were left as control plots. This management unit was harvested in 1990, with treatments applied three years after the harvesting operations.
According to Quesada (1997), a medium-intensity harvest was performed on all plots, extracting an average of 8 trees per hectare with a reduction of 17.3% of the basal area.
1 Méndez, J: Quiros D; Centeno, F Morales, 2016. Evaluación de la aplicación de tratamientos silviculturales en bosques naturales de la Región Huetar Norte de Costa Rica. Quesada City, Costa Rica.70 pp.
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Figure 2. Map of the Hiloba Forest Management Unit and location of the PSPs in Boca Tapada, Pital and San Carlos, Costa Rica
San Jorge: According to Fernández (1993), in the San Jorge FMU liberation treatments were applied to three plots, refining treatments were applied to 4 plots and two plots were left as control plots, amounting to a total of nine plots in this FMU. (See Figure 3)
A low-impact logging operation was carried out in 1992 and silvicultural treatments were applied in 1993.
Figure 3. Map of the San Jorge Forest Management Unit and location of the PSPs in Boca, Tapada, Pital, and San Carlos, Costa Rica
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Hogar de Ancianos: According to Sanabria (1993), this FMU had a total of nine plots. Refining treatments were applied to five of the plots and the remaining four plots were left as control plots. (See Figure 4)
Hogar de Ancianos was harvested in 1992 and the silvicultural treatment was applied in 1993. According to Quiros and Mendez (1999), the refining treatment involved the elimination of non- commercial tree species with diameters between 10 cm and 40 cm, which are generally located in the middle canopy layer. The treatment involved the girdling of trees over an area of 10 hectares, accounting to 20% of the total area under management. The unwanted trees were eliminated by girdling and no arboricides were used in the process.
Figure 4. Map of the Hogar de Ancianos Forest Management Unit and location of the PSPs in Boca Tapada, Pital and San Carlos, Costa Rica
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Annex 11. Response to the general assessment and specific recommendations of the 53rd Expert Panel for the Technical Appraisal of Project Proposals
Expert Panel’s recommendations Modifications made 1. Briefly describe the relevance of the project The project relevance to gender-related issues and to the ITTO Strategic Action Plan for 2013-2018, ITTO Guidelines has been elaborated on and the ITTO Voluntary Guidelines for the Sustainable amended in section 1.2.1 of the project document. Management of Tropical Forests and the ITTO Guidelines on Gender Equality and Women’s Empowerment in Section 1.2.1 (Conformity with ITTO’s objectives and priorities);
2. Provide more information on major More information is provided in section 2.1.1 of the institutions such as Forest Management Authority project document on the main institutions involved involved in forest management in the Northern in forest management in the Northern Region of Costa Rica, their respective tasks and Region of Costa Rica, their respective tasks and responsibilities, and their level of coordination. responsibilities as well as level of their coordination in Section 2.1.1 (Institutional set-up and organizational issues);
3. Clarify the project activity for re-demarcation Based on the experts’ recommendation, the project and measurement of 33 PSPs established by duration was extended to three years so as to CODEFORSA to ensure the completion of the ensure that all 33 PSPs can be re-demarcated and measured in the field. proposed work within a two-year time framework;
4. Consider extending the project duration to a The timeline of project activities was adjusted to three-year or thirty-month time framework without three years as recommended by the 53rd Expert increasing ITTO’s budget. Use “quarter” instead of Panel.
“semester” planning segment in the work plan; The information contained in the Work Plan (Table 4), Budget (Tables 5 to 8) and Schedule of Activities (Table 12) has been adjusted to three years, using “quarters” in Table 4.
With the extension of the project duration from 2 to 3 years, the counterpart contributions of CODEFORSA and INISEFOR-UNA have been increased, unlike ITTO’s contribution, which has remained unchanged.
5. Consider reducing the number of national The project document explains that the aim of this experts in the implementation of project activities. project is to provide tools and strengthen Refine the TORs for the personnel and consultants CODEFORSA’s capacities to carry out forest management activities, which have been stalled financed by ITTO by describing their specific tasks. due to the lack of support and budget, and thus Clarify the requirement of consultants/experts achieve the objective of repositioning forest relating to registered with the Society of Agriculture management in the Northern Region. The project Engineers; team will be made up of CODEFORSA staff members who have the skills required to implement the proposed project activities. In addition, the project will receive support from INISEFOR-UNA in the research field. The term “expert” was used in the budget in accordance with the terminology suggested in the standard ITTO budget tables for project proposals. In short, the project team will be made up of current staff from CODEFORSA plus a researcher provided by INISEFOR-UNA.
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6. Correctly calculate the ITTO Programme ITTO Programme Support Costs have been Support Costs (sub-item 83) so as to conform with recalculated at 12% of total project costs to be standard rate of 12% of the total ITTO project costs contributed by ITTO.
(on budget items 10 to 82), and adjust the total ITTO budget accordingly; and
7. Include an Annex that shows the overall Annex 11 includes this table with the modifications assessment and specific recommendations of the requested by the 53rd Expert Panel for the 53rd Expert Panel and respective modifications in Technical Appraisal of Project Proposals. tabular form. Modifications should also be highlighted (bold and underline) in the text.
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