CGIAR Research Program 6 Forests, Trees and Agroforestry: Livelihoods, Landscapes and Governance Proposal February 2011 CGIAR Research Program 6 Forests, Trees and Agroforestry: Livelihoods, Landscapes and Governance Proposal February 2011 Table of Contents Abbreviations vi Acknowledgements xvi Executive Summary xvii 1. Introduction 1 1.1 Setting the scene 1 1.2 Conceptual framework 7 1.3 The challenges 10 1.4 Vision of success 15 1.5 Strategy for impact 17 1.6 Innovation 20 1.7 Comparative advantage of CGIAR centers in leading this effort 22 1.8 Proposal road map 23 2. Research Portfolio 25 2.1 Component 1: Smallholder production systems and markets 28 2.2 Component 2: Management and conservation of forest and tree resources 60 2.3 Component 3: Landscape management for environmental services, biodiversity conservation and livelihoods 91 2.4 Component 4: Climate change adaptation and mitigation 120 2.5 Component 5: Impacts of trade and investment on forests and people 160 3. Cross-cutting Themes 189 3.1 Gender 189 3.2 Partnerships 200 3.3 Capacity strengthening 208 4. Program Support 215 4.1 Communications and knowledge sharing in CRP6 215 4.2 Monitoring and evaluation for impact 224 4.3 Program management 230 5. Budget 241 5.1 Overview 241 5.2 Assumptions and basis of projections 243 5.3 Composition 247 5.4 Resource allocation 248 Annexes 251 Annex 1. Descriptions of CGIAR centers 251 Annex 2. Consultation process 253 Annex 3. Linkages with other CRPs 255 Annex 4. Sentinel landscapes 262 Annex 5. Assumptions and evidence used to develop 10-year impact projections 274 Annex 6 Statements of Support 279 Annex 7. Inception milestones 291 Annex 8. Budget detail 292 List of figures, tables and boxes Figures 2.1 CRP6 components along the forest and land use transition curve 25 2.2 Impact pathways for Component 1 54 2.3 Impact pathways for Component 2 85 2.4 Driver–state–response framework 95 2.5 Impact pathways for Component 3 114 2.6. Ecosystem-based mitigation opportunities in terms of Carbon Biomass density and deforestation 124 2.7 Adaptation needs: The climate poverty density index 124 2.8 Articulation of the three foci in Component 4 126 2.9 The areas most affected by drought and flood, in terms of mortality or economic losses 127 2.10 Impact pathways for Component 4 145 2.11 Links between Component 4 and the other components of CRP6 155 2.12 Links between Component 4 and CRP7 157 2.13 International trade in tropical wood (2008) 162 2.14 Impact pathways for Component 5 183 3.1 Illustrative impact pathways for addressing gender issues through research and action 199 4.1 Knowledge sharing for impact 216 4.2 Organizational chart for CRP6 232 5.1 CRP6 budget allocation by center 242 5.2 Regional distribution of the budget 243 5.3 CRP6 budget 2011, 2012 and 2013 245 5.4 Comparison between “business as usual” and “what-it-takes” CRP6 budgets 247 A2.1 Number of words of feedback and number of respondents per component 253 Tables 2.1 Illustrative list of policy and knowledge-sharing partners for Component 1 58 2.2 Illustrative list of policy and knowledge-sharing partners for Component 2 89 2.3 Illustrative list of policy and knowledge-sharing partners for Component 3 118 2.4 Illustrative list of policy and knowledge-sharing partners for Component 4 152 2.5 Links between Component 4 and CRP7 158 2.6 List of selected countries by region 169 2.7 Illustrative list of policy and knowledge-sharing partners for Component 5 186 3.1 Consideration of gender differentials and equality across the research components 192 3.2 Synergies between CRP6 components and themes and FORDA’s RPI 203 3.3 Illustrative list of potential partners for CRP6 205 3.4 CRP6 capacity-strengthening outputs, outcomes and impacts 212 4.1 Summary of risks facing CRP6 229 5.1 Main budget components for the first three years of CRP6 (2011-2013) 241 5.2 “What it takes” budgets for 2012 and 2013 246 A8.1 Consolidated CRP6 Budget for years 2011–2013 by Component 292 A8.2 Consolidated CRP6 Budget for years 2011-2013 by Center 293 iv A8.3 Consolidated CRP6 Component 1 budget for years 2011-2013 294 A8.4 Consolidated CRP6 Component 2 budget for years 2011-2013 295 A8.5 Consolidated CRP6 Component 3 budget for years 2011-2013 296 A8.6 Consolidated CRP6 Component 4 budget for years 2011-2013 297 A8.7 Consolidated CRP6 Component 5 budget for years 2011-2013 298 A8.8 Consolidated CRP6 budgets by Center for 2011 299 A8.9 CRP6 budgets by Natural Classification for years 2011-2013 300 A8.10 Bioversity CRP6 budget for years 2011-2013 301 A8.11 CIAT CRP6 budget for years 2011-2013 302 A8.12 CIFOR CRP6 budget for years 2011-2013 303 A8.13 World Agroforestry CRP6 budget for years 2011-2013 304 A8.14 Program Co-ordination and Communications budget for CRP6 years 2011-2013 305 A8.15 Sentinel Landscapes budget for CRP6 years 2011-2013 306 A8.16 “What it takes” CRP6 budgets for years 2012-2013 307 A8.17 CRP6 Scientific projections for “what it takes” by Center, years 2012-2013 308 Boxes 2.1 Example of potential impact: The Novella Africa Initiative to upscale smallholder production and incomes from Allanblackia 52 2.2 Developing a global strategy for the conservation and use of cocoa genetic resources 71 2.3 The benefits of better managed production forests 84 2.4 Payments and rewards for environmental services 103 2.5 CIFOR and World Agroforestry Centre landscape research methodologies 104 2.6 Examples of potential impacts of Component 3 115 2.7 Tenure in Component 4 121 2.8 Broad hypotheses underpinning Component 4 research 125 2.9 Example of methods: Emissions associated with peatland conversion in Jambi, Indonesia 130 2.10 The role of biofuels in adaptation and mitigation 140 2.11 Climate change mitigation: A quantified impact example 146 2.12 Contribution of adaptation funding to local livelihoods 147 2.13 Example of partnerships (and the role of partners in impact pathways): The CCB standards 153 2.14 Financial sector reform to reduce forest crime 165 2.15 Advocacy influences on pulp and paper industry practices 182 2.16 Illustrative expected outcomes related to illegal logging and timber markets 184 3.1 Gender-responsive participatory research 194 3.2 Anatomy of a gender-based research and action partnership in Uganda 195 3.3 Impact pathways: An illustration from Uganda 197 3.4 Types of partners 201 3.5 Forestry research capacity building in the DRC 209 3.6 Filling capacity gaps in the management of forest genetic resources 210 3.7 Mainstreaming agroforestry into agriculture and natural resources training 211 4.1 A modern research conference: A marriage of the old and the new 218 A2.1 Current long-term landscape-scale sites or networks where CRP6 centers are already working, and which could be candidate sites for a future CRP6 Sentinel Landscape network 268 A2.2 Questions to be addressed at the proposed CRP sentinel landscapes network conceptual and design workshop 273 v Abbreviations ADB Asian Development Bank AERC African Economic Research Consortium AF Kyoto Protocol Adaptation Fund AFAWI Alliance for African Women Initiative AfDB African Development Bank AFF African Forest Forum AFOLU Agriculture, forestry and land use AFORNET African Forest Research Network AFP Asia Forest Partnership AFTP Agroforestry tree product AfSIS African Soil Information Service AGRA Alliance for a Green Revolution in Africa AGTER Améliorer la gouvernance de la terre, de l’eau et des ressources naturelles AIT Asian Institute of Technology ANAFE African Network for Agriculture, Agroforestry and Natural Resources Education ANAFOR National Forestry Development Agency (Cameroon) APAFRI Asia Pacific Association of Forestry Research Institutions APFORGEN Asia Pacific Forest Genetic Resources Programme ARI Advanced research institute ASARECA Association for Strengthening Agricultural Research in Eastern and Central Africa AU African Union AU-NEPAD African Union, New Partnership for Africa’s Development BACI Before–after, control–impact BAU Business as usual BFW Austrian Federal Research and Training Centre for Forests, Natural Hazards and Landscape BIC Bank Information Center BNDES Brazilian Development Bank BOKU University of Natural Resources and Life Sciences BRIC Brazil, Russia, India, China C Carbon vi CAAS Chinese Academy of Agricultural Sciences CAF Chinese Academy of Forestry CAMCORE Central American and Mexico Coniferous Resources Cooperative CAN Andean Community of Nations CANGIS CacaoNet Germplasm Information System CARPE Central African Regional Program for the Environment CATIE Tropical Agriculture Research and Higher Education Center CBD Convention on Biological Diversity CBFE Community-based forest enterprise CBFP Congo Basin Forest Partnership CBO Community-based organization CCBA Climate, Community and Carbon Alliance CCI Cocoa Coconut Institute (PNG) CDM Clean Development Mechanism CEB Council of Europe Development Bank CEDLA Center for Latin American Research and Documentation CEEAC Economic Community of Central African States CEESP IUCN Commission on Environmental, Economic and Social Policy CENAREST National Center for Scientific and Technologic Research (Gabon) CEPLAC Comissão Executiva de Planejamento da Lavoura Cacaueira (Brazil) CGIAR Consultative Group on International Agricultural Research CI Conservation International CIAT International Center for Tropical Agriculture CICY Centro de Investigación Científica de Yucatán CIFOR Center for International Forestry Research CILSS Comité Permanent Inter-etats pour la Lutte Contre la Sécheresse au Sahel (Permanent Inter-State Committee for