a review of tropical forestry and agroforestry (wp-05n)

8/3/2019 A Review of Tropical Forestry and Agroforestry (WP-05n)

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WORKING PAPER NO. 5

Oct 1994

A Review of Tropical Forestry and Agroforestry

Problem Areas and Policy Research Needs and the

Planned Response of the CGIAR System

J. Spears, P. Oram, N. Byron, S. Scherr and A.M. Izac

Summary

Recognizing that policy research would become a high priorityforCGIAR related forestry andagroforestry research, it was decided in 1990 to sponsor a series of forestry andagroforestiy policy

workshops involving national forest policy and research institution leaders, representatives oflocal and

international NGOs and donor agencies. The objective was to obtain a better understanding ofthe main

problem areas that could benefit from a CGIAR strategic research input.

The key issues that emerged from the five workshops are summarized in this report. Tropical forestry

and agroforestry problem areas and policy research needs are reviewed in Part I and Annex 3 ofthereport. Based on the discussion in Part I, Part II introduces the policy research programs ofthe CGIAR

Centres, focusing on CIFOR, ICRAF and IFPRI, and presents the research priority setting and planned

responses of these CGIAR Centres to each of the identified five problem areas.

The program ofintercentre collaboration and possible research activities outlined in the report is

based on unconstrained resources which would ensure that CIFOR, ICRAF and IFPRI are allocated theresources requested in their Medium Term Plans. Thus, the Workshop series and this final report should

not only be viewed as a research agenda which will trigger immediate responses but also as a useful

mechanismfor formulating the CGIAR Centres' long-term policy research direction and research needs

to be addressed by national research institutions.

In Collaboration with

CENTER FOR INTERNATIONAL FORESTRY RESEARCH

Jalan Gunung Batu 5 Bogor 1600 1 Indonesiatel.: +62(25 1) 34-3652 fax: +62(25 1) 32-6433

ICRAF email: [email protected]


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The CGIAR System,The Consultative Group on International A gricultural Research (CG IAR) is an informal association of41 public and private sector donors th at supports a network of sixteen international agriculturalresearch centers, CIFO R being the newest of these centers. The Group was established in 1971. T heCGIA R centers are part of a global agricultural research system w hich endeavor to apply internationalscientific capacity to solution of the problems of the worlds disad vantaged people.CIFORCIFOR was established u nder the CGIAR system in response to global concerns about the social,environmental and economic consequences of loss and degradation of forests. It operates through aseries of highly decentralized partnerships with key institutions and/or individuals throughou t thedeveloping and industrialized w orlds. The nature and duration of these partnerships are determined bythe specific research problem s being addressed . This research agen da is under cons tant review and issubject to change as the partners recognize new opportunities and problems.


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CONTENTS

Executive Summary 1

Part I: A Review of Tropical Forestry and Agroforestry Problem Areas and

Research Needs

10

Introduction

The Policy Workshops

The Global Workshop

The Asia WorkshopThe Africa Workshop

The Latin American Workshop

10

11

11121418

Discussion of Predominant Common Themes 20

Forestry and Agroforestry Policy Research Methodology and Institutional Capacity 21

Part II: The Forestry and Agroforestry Policy Research Programs of the CGIAR Centers 22

(a) Criteria for the Selection of Problem Areas and Research Needs that would be most

appropriate for CGIAR Support22

(b) Emphasis on Forestry and Agroforestry Policy Research in the Medium Term Plans

of CIFOR, ICRAF and IFPRI23

(i) Center for International Forestry Research (CIFOR) 23

(ii) International Centre for Research in Agroforestry (ICRAF) 23

(iii) International Food Policy Research Institute (IFPRI) 23

(c) The CGIAR s Planned Response to the Recommendations of the RegionalForest Policy Workshops

24

Problem Area I: Policies to Contain inappropriate Tropical Deforestation

Problem Area 2: Valuation of Forest and Tree BenefitsProblem Area 3: Local ParticipationProblem Area 4: The Role of Trees and Forests in Rural WelfareProblem Area 5: Policy Options for Improving the Efficiency of Forest Industries

and Productivity of Forest Management

25

26

27

2829

(d) Alternative Modes of Intercentre Collaboration 29

(i) Containment of Deforestation in the Brazilian Amazon: the Global

Alternatives to Slash and Burn Project30

(ii) Testing of Alternative Institutional approaches to Forest Management 32

(e) Phasing of the CGIAR Centres Forestry and Agroforestry Policy Research Activities 34

Annex 1: Priorities for Forestry and Agroforestry Policy Research 35

Annex 2: Synthesis of Main Problem Areas and Research Needs 38


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A Review of Tropical Forestry and Agroforestry Problem Areas and

Policy Research Needs and the Planned Response of the

CGIAR System

J. Spears1, P. Oram2, N. Byron3, S. Scherr2 and A.M. Izac4

Background

The idea of holding an international workshop on priorities for forestry/agroforestry policy researchstemmed from discussions among a number of concerned scientists, some of whom (Hans Gregersen,Peter Oram, John Spears) had been involved in TAC, CGIAR, IUFRO, and other discussions oninternational research needs for the forestry sector, the potential role of the CGIAR and what IFPRIscontribution might be within this larger framework. IUFRO and USAID offered to fund such aworkshop, and it was agreed to hold it in Washington with IFPRI as the operational focus and host.

A key recommendation of this workshop was to follow up with similar workshops in each of themajor geographical regions where tropical forestry is important, and IFPRI was asked to pursue this.The aim was to delineate more specifically the problems and priority areas for research, and to identifythose researchable issues common to several countries, the results of which would have broadapplicability; as well as where international action might be needed when problems transcendednational boundaries or presented difficult methodological challenges.

IFPRI agreed to take on this task, and Peter Oram, who had the primary responsibility fororganizing the international workshop, was designated by IFPRI as task manager. John Spears andHans Gregersen played an important advisory role, and John participated in the Asian and Africanworkshops. Sara Scherr, who had been present at the international workshop and who joined IFPRI in1991, participated in the Asian, African, and Latin American Workshops; Manuel Paveri of FAO alsoparticipated in the Asian, African, and Latin American workshops and provided a valuable link withFAOs Forest Policy Program. Marc de Montalambert, Director, Forest Policy and Planning Division

in FAO, also attended the International and Asian workshops, and FAO was the lead agency managingthe joint FAO/IFPRI Asian workshop in Bangkok. Ronnie de Camino was the main partner in theLatin American initiative. Peter Oram played the leading role in raising funds, organising all of theworkshops jointly with IFPRIs partners in Asia (FAO), Africa (ICRAF), and Latin America (IICA),running the three regional meetings, and writing the reports. He, John Spears, Sara Scherr and Ann-Marie Izac participated in the Bogor workshop and contributed to the draft report. Neil Byronconvened and organised this last meeting and also attended the Washington and Asian workshops.

Executive Summary

The key issues that emerged from regionalworkshops are summarised in this report. It was

recognized from the outset that the range of

problem areas and policy research topics likelyto emerge from this exercise would far exceedthe capacity of the CGIAR system to respond.Nevertheless, it was considered useful informulating research agendas, to carry out abroadly based review of this subject working in

close collaboration with IUFRO and FAO.PART I of this report provides regional andglobal overviews of key problem areas, common

themes and research topics, based on interactionwith a wide range of national and internationalpolicy leaders, scientists, FAO, NGOs and donor

agency representatives. PART II of the reportsummarises the planned responses of the CGIARCentres.

Discussion of Predominant Common

Themes

An analysis of the main problem areas and highpriority research needs emerging from the

1. Formerly with CGIAR Secretariat in Washington, D.C.

2. International Food Policy Research Institute, 1200 Seventeenth Street N.W. Washington, D.C.20036-3006, USA.

3. Center for International Forestry Research, P.O.Box. 6596, JKPWB, Jakarta 10065, Indonesia.4. International Centre for Research in Agroforestry, United Nations Avenue, PO Box. 30677,

Nairobi, Kenya.


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2 ClFOR Working Paper No. 5: Review of Policy Research Needs

workshops suggests that five broad problemareas appear to be of common concern to policyleaders in the Asia, Africa and Latin American

regions. They are:

l Th e impact of tropical deforestation onhuman welfare as well as on both local andglobal environments; the need for improved

understanding of the main underlyingcauses of deforestation; and policy reformsthat could most effectively contribute to itscontainment.

l The uses of the forests, and their economicand environmental values and benefits are

poorly understood an d frequently

underestimated. This has had a negativeeffect on national government, aid agencyand private sector resource allocations and

investment priorities relating toconservation and management of forestresources.

l Past policies that have placed strongemphasis on centralised decision making,ownership and control of forest resources,have deterred involvement of local peoplein their management. These policies havebeen partly responsible for past failures to

protect forests and for the extensivedegradation of forest lands in many parts ofthe tropics.

As natural forests throughout thedeveloping world have been depleted anddegraded, local populations haveincreasingly turned to remnant patches ofopen woodlands, forest fallows and otheragroforestry farming systems for supplyingtheir essential forest product needs and forinputs required to maintain agriculturalproductivity.

This evolution of supply sources of treeproducts from natural forest/gathered orharvested products to products that areobtained from domesticated on-farm orcommunity wood-lot trees or plantations,has led to many new policy challenges.Because the interactions between crops,livestock and trees are not well understood,government agroforestry incentive andextension policies are frequently ineffectiveand wasteful of scarce resources.

l The countries of South East Asia, West

Africa and Latin America with abundanttropical timber have in the past, or stil doto a significant degree, depend on timberharvesting and forest product exports for

generating revenues that support economicdevelopment.A combination of political pressures to

accelerate harvesting, corruption, theweakness of government forestadministrations, inappropriate concessionlicense allocation and timber taxationsystems, and the negative impact ofmacroeconomi c trade, exchange rate andstructural adjustment policies, have led towasteful use of resources and failure tocapture economic rental values.The i nt rod uc tio n o f accelerated

industrialisation policies has, in somesituations, exacerbated poor forest

management and been costly in terms of jobcreation, loss of potential revenues, lack ofpreservation of the environmental benefitsof forests and loss of agricultural

sustainability.

Environmental concerns to protectrainforests for global benefit and to protectthe way of life of forest dwellingcommunities have led to pressures onsouthern governments to restrict timberexports, to the introduction of tropicaltimber import restrictions and to other

interventions. The impact of theseinterventions on local people, on economicgrowth prospects and on the possibilities forimproved conservation and management offorest resources is poorly understood.

Annex 2 of this report summarises high priorityresearch needs for addressing the five problemareas outlined above, based on the conclusionsand recommendations of this series of PolicyWorkshops.

Planned Forestry and Agroforestry

Policy Research Programs of the

CGIAR Centres

In responding to the above problems, theCGIAR Centres are giving high priority toresearch topics that fit with the CGIAR s

Mission Statement which requires the Centresto focus on:

International research and related activities inpartnership with national research institutions

that will contribute to sustainable improvements

in the productivity of agriculture, forestry and


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3

fisheries in developing countries in ways that

enhance nutrition and well being, especially of

low income people."

Working within this framework, the CGIAR

system is well placed to make a significantcontribution to tackling many of the key aspectsof the five problem areas summarised above.

Center for International Forestry Research

(CIFOR)

In broad terms, CIFOR will concentrate its mainpolicy research effort on tackling underlyingcauses of tropical deforestation; on improvedunderstanding of policies and incentives toensure increased productivity and sustainable

management of natural forests and reforestationof degraded lands; on researching systemsaimed at valuation and more equitabledistribution of the benefits of forest goods andservices (with a special focus on non-timberforest products); on alternative institutionaloptions for involving local people in forestmanagement and on policies that will help toimprove the quantification, preservation andmonitoring of the environmental benefits oftropical forests (including the biodiversity oftropical forest ecosystems and their carbon

sequestration potential). CIFORs PolicyResearch Program will embrace five main areasof activity:

. Policies and Incentives for SustainableForest Management. (IFPRI)

. Valuation and Equity of Benefits and Costsof Forest Goods and Services.

. Adoption of Policy Change.

. Employment and Income from Forests andWoodlands.

. Future Supplies and Demands for ForestGoods and Services.

International Centre for Research in

Agroforestry (ICRAF)

ICRAFs policy related research will continuethe strong emphasis that ICRAF has given over

the last 15 years to farm level research aimed atimproved understanding of household level andcommunity perceptions of the value and uses ofon-farm trees and remnant woodlands,particularly from the perspective of the role that

they play in contributing to agricultural

sustainability and food security, and to thefarmers welfare.

ICRAF is also spearheading the Global Alternatives to Slash and Burn Projectthrough which a consortium of national and

international research institutions isimplementing a research program aimed attackling one of the main contributors to tropicaldeforestation, i.e. shifting cultivation insituations of increasing population pressure,shortening fallow periods, declining crop yieldsand ecological degradation. ICRAFs MediumTerm Plan defines three main areas ofagroforestry policy research. They are:

. Agroecosystem characterisation of priorityenvironments and land use systems to

identify constraints and opportunities foragroforestry research and to delineateextrapolation domaines.

. Development of an understanding of howselected policies constrain or support theadoption of agroforestry technologies anddesign of adoption mechanisms for policyimplementation.

. Impact assessment, the objectives of whichare to measure the ecological, economicand social impacts of key agroforestrytechnologies on agricultural sustainability,

rural poverty, farmers welfare,environmental preservation and climatechange.

International Food Policy Research Institute

IFPRIs main contribution will be implementedby IFPRIs recently established Environmentand Production Technology Division,particularly through two projects that will focuson Forest Margins and Fragile Lands. Theseprojects will incorporate case studies ofinstitutional arrangements for promotingsustainable resource use; marketing studiesfocussing particularly on forest and non-foresttree products; methodologies for assessing theinterrelationships among soil degradation andfarm level resource management decisions(especially forest conversion); participatorycommunity monitoring systems to assess theeffect of policies on natural resourcemanagement (including forests and trees). AlsoIFPRI will continue to work on howmacroeconomic and structural adjustmentpolicies affect agricultural productivity, equity,


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4 CIFOR Working Paper No. 5: Review of Policy Research Needs

trade and the environment (areas in which . The importance of close st possibleIFPRIs past research experience could be of collaboration with NARs. These wereconsiderable relevance to the forestry sector). defined in a broad context to include a

IFPRI will also play a role in the range of different local institutions such associoeconomic policy research dimensions of national forestry research institutions,the Global Alternatives to Slash and Burn universities, specialised policy researchProject. Five main areas of agroforestry and institutes, NGOs and government policyforestry policy related research to be undertaken researchers and decision makers located inby IFPRI include: various different ministries.

. Arresting deforestation and resourcedegradation in the forest margins of thehumid tropics.

. Sustainable development in fragile forestlands.

. Property rights and communal action forforest resource management.

. Tree product markets.

. Macroeconomic policy, trade and theenvironment.

. The role of the CGIAR Centres in PolicyResearch Training.

The CGIARS Planned Response to

the Recommendations of the Regional

Forest Policy Workshops

In response to the recommendations of theRegional Forest Policy Workshops, CIFORhosted a Forest Policy Workshop in Bogor,Indonesia in February 1994. Representativesfrom four Centres - CIFOR, ICRAF, IFPRI andCIAT - participated in that Workshop. The twomain objectives of this Workshop were:

. Selection of problem areas and researchneeds that tit well with the various CGIARCentre mandates, in execution of which theCGIAR would have some comparativeadvantage and which, in terms of CGIARgoals are deserving of highest priority.

. Possible modes of intercentre collaborationthat would exploit the complementarystrengths of different Centres.

These three latter points (and particularly therole of the NARs) will be a major focus of thefollow up discussions that the three individualCentres are now in the process of implementingwithin the various geographic regions in whichthey will be concentrating their policy relatedresearch activities. Because these regionalinteractions with NARs are still ongoing, andbecause further time is needed to develop morespecific proposals on the CGIAR Centrespossible contribution to policy research training,this report only summarises the conclusions and

recommendations of the Bogor Workshopemerging from discussions of the two mainobjectives of the meeting. Table 1 at the end ofthis Executive Summary lists the research topics

emerging from the Bogor Workshop discussionsthat were regarded as being of high priority forCGIAR support and that fit well with theresearch agendas already defined in the MediumTerm Plans of CIFOR, ICRAF and IFPRI,which cover the period 1994-1998. Theseinclude 28 of the 40 different research topicsidentified by the Regional Workshops. Table 1also indicates the research areas of particularinterest to CIFOR, ICRAF and IFPRI.

The main problem areas and research needsdiscussed were those identified by the RegionalWorkshop participants as summarised aboveand in Annex 2 of this report. In addition to thetwo main objectives of the meeting, theWorkshop also briefly discussed:

More detailed discussion of the preciseareas of research that will be pursued by these

three Centres is the main subject of Part II ofthis report. In discussing this question theWorkshop was particularly concerned that thecomplementary areas of interest and researchexpertise which they possess are used to the bestadvantage.

. Preliminary identification of geographicsituations where CGIAR field research sitesmight be located.

In addition to the planned forestry andagroforestry policy related research activities ofthese three Centres, the CGIAR designatedecoregional Centres such as CentroInternational de Agricultura Tropical (CIAT)in Latin and Central America, The International

Institute of Tropical Agriculture (IITA) in WestAfrica, The International Crops Research


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5

Institute for the Semi Arid Tropics (ICRISAT)

in the arid zones of South Asia and Africa, TheInternational Rice Research Institute (IRRI)working in the humid tropics of South EastAsia, and the International Centre for

Agricultural Research in Dry Areas (ICARDA)in the Middle East will also be playing asignificant role in natural resource relatedresearch in the ecoregional zones that fallwithin their geographic mandates.

Of these other ecoregional Centres, onlyCIAT was represented at this Workshop. Thecontribution of the CGIAR ecoregional Centresto forestry and agroforestry research will also bea focus of the follow up discussions andresearch activities that CIFOR, ICRAF andIFPRI have already initiated, or which they now

plan to undertake within the regions. For thatreason no attempt has been made in this report

to cover the likely research agendas of theseCentres.

Modes of Intercentre Collaboration

and Complementary Research

A major thrust of the Workshop discussionsfocussed on the interdependency and

interlinkages between many of the 28 researchtopics that appear to be most appropriate forCGIAR support, and on how the Centres couldmost effectively collaborate so as to addressthese research topics in an integrated way. It isthe CGIARs intention to combine the biologicaland socioeconomic scientific expertise ofvarious CGIAR Centres to take into accounttheir comparative strengths and complementaryresearch mandates.

To tackle major globally importantenvironmental problems (such as the negative

impact on human welfare and the globalenvironment of slash and burn agriculture intropical forests), some of the five problem areasidentified in Part I of this report might mosteffectively be addressed by establishing anecoregional network of CGIAR Centres,national research institutions and specialisedresearch agencies working collaboratively inpreselected sites in each of the three major

geographic regions (Asia, Latin America andAfrica).

There would be advantages in appointing a

"Convening Centre the function of whichwould be to orchestrate and ensure the creation

of effective coordination mechanisms for suchglobal research programs. This is the model thathas been followed in setting up the GlobalAlternatives to Slash and Burn (ASB) Projectfor which ICRAF is acting as the Convening

Centre.Options were explored for achieving cost

savings in situations where all three Centreshave an interest in pursuing a topic from theirrespective perspectives (such as the influence ofvarious land tenure systems on the interest oflocal communities and small scale farmers toconserve and manage forest and tree resources).In such situations it would clearly be possiblefor the three Centres to combine in engaging theservices of a single social scientist who, workingcollaboratively with an appropriate national

research institution, would be able to implementthe necessary research on a site of mutualinterest to all three Centers. Other majorproblem areas and strategic research needs ofcommon interest to the three regions mightmore effectively be tackled by an informalconsortium of CGIAR Centres, nationalinstitutions and specialised agenciesindependently working on various interrelatedaspects of the same problem over a range ofmutually agreed sites. For such networks theremay be no need for a Convening Centre

provided that clearly defined arrangements areput in place for ensuring commonmethodological approaches, for periodicinteraction on progress and assessment ofemerging results. To illustrate how thesealternative approaches might work in practice inrelation to CGIAR implemented agroforestryand forestry research programs, the BogorWorkshop discussed two specific problem areas.These were:

. Containment of deforestation in theRondonia/Acre region of the Brazilian

Amazon (which is one of eight benchmarksites selected for implementation of theGlobal ASB Project).

. Testing of various alternative institutionalapproaches to forest and agroforestrymanagement over a range of Asian, African

and Latin American regional sites. Specialemphasis will be given to testing thevalidity of a hypothesis that in manytropical forest and agroforestry situations,forest resources are likely to be conservedand more productively managed by localcommunities, user groups or other locally


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6 CIFOR Working Paper No. 5: Review of Policy Research Needs

devised institutional approaches, rather the ongoing research programs of CIFOR,than by centralised public forest agencies. ICRAF and IFPRI.

Discussion of the former topic was based on thepremise that as the ASB Project proceeds theresearch agenda in its Phase II will bebroadened to focus on the sort ofmacroeconomic and other policy dimensionslisted under Problem 1 in Table 1. There arehighly complementary areas of research in theASB Project that could benefit from a stronginput from all three Centres in addition to theexpertise that is already being brought to bearon the slash and burn problem by social scienceresearchers from CIAT, IITA and IRRI. Further

details of how such complementarity will workin practice, in implementation of Phase II of theASB Project are discussed in this report.

Forestry and Agroforestry Policy

Research Methodology and

Institutional Capacity

An alternative mode of operation wasexplored for tackling issues such as that ofAlternative Institutional Approaches to Forestand Agroforestry Management. The BogorWorkshop gave very high priority to thedesirability of a more concerted research effortin this area. Out of the range of possibleresearch needs listed in Annex 2 that emergedfrom the Regional Workshops, it concluded that

the six topics listed under points 3.1-3.6 ofTable 1 are those that should be stronglysupported by the CGIAR.

In all live Workshops concerns were expressedabout weaknesses in current forest andagroforestry policy research methodology andthe weakness of national institutional capacityfor policy analysis. A particularly criticalconstraint is the lack of solid empirical data on

which to base meaningful policy analysis. Anassociated issue is the need for more effectiveways of ensuring that the recommendationsarising out of policy research are more widelyadopted. A range of options was discussed for

overcoming these bottlenecks.(for detaileddiscussion see section on the Africa RegionWorkshop Report). Some of the most pressingneeds identified in this area included forexample:

In contrast to the mode of intercentrecollaboration described above for the ASBProject (where several CGIAR Centres andnational institutions are all working within thesame ecoregional site), the Workshop concludedthat research on local participation issues suchas those identified in Table 1 might be moreeffectively implemented through a more diffusenetworking approach.

. A more interdisciplinary approach to field

farm and forest surveys to developquantitative measures of key variables ontree production, income, use, etc. and toprovide benchmarks for research analysis.

. Historical reconstruction of land use changeusing archival research, oral history,historical studies in geography,anthropology and farm management, plusreview of local legal records to identifychanges in ownership and land useconflicts.

Under this alternative mode of operationthere may be no need for a Convening Centreprovided that at the outset, there has been acollective effort firstly, to establish commonresearch methodologies; secondly, to coordinateselection of collaborating NARs and specialised

research institutions; thirdly, to arrange regularinteraction in reviewing emerging results andprogress (much of which can now be assured atrelatively low cost by making effective use ofelectronic networking); fourthly, to possess clearmutual understanding from the outset on the

likely outputs and potentially different targetbeneficiaries of such research. Part II of thisreport discusses how the above mode ofoperation is already being applied in practice to

. Rigorously designed qualitative studies to

understand patterns of consumption, treeuse preferences, and control andmanagement.

. Exploring options for permanentmonitoring systems to parallel those alreadywidely used for crops and livestock.Examples cited included nationalagroforestry surveys under implementationin Burundi, analysis of trees in land usethrough use of remote sensing techniques,tree product market surveys and long termmonitoring of agroforestry farming system

yields.. Better understanding of the political andinstitutional constraints to adoption ofpolicy reforms. This reflects the reality that


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7despite the considerable investment that hasbeen directed to policy research in the pastand the prodigious lists ofrecomm endations that have been generatedfor policy reform and institutional change,the political unacceptability of suchrecomm endations has frequently precludedtheir adoption. Better mechanisms areneeded for interaction with political leadersand national government agenciesresponsible for policy formulation.

It was recognized that institutional approachesto research require closer integration amon gforestry research institutions and specialised,socioeconomic, anthropological, agriculture andenergy research agencies.

Phasing of the CGIAR CentresForestry and Agroforestry PolicyResearch ActivitiesThe Bogor Workshop discussions wereprimarily concerned with the substance of adesirable CGIAR research agenda and with theissue of how to ensure effective intercentrecollaboration. The program of possible researchactivities outlined above is based onunconstrained resources which would ensurethat the three main Centres under discussion areallocated the resources requested in theirMedium Term Plans. The current financialclimate in which the CGIAR is operating mayrequire hard decisions to be made aboutprioritisation and phasing of their forestry and

Table 1.agroforestry policy research activities.

I FOREST POLICY RESEARCH SYNTHESIS WORKSHOP

.i%BLEM 1: POLICI ES TO cONTArr iI&APPROP RDRESTATION

The influence of macroeconomic and sectoralpolicies (including structural adjustments) onregional development patterns, on economic growthprospects, trade, and on incentives for deforestationand tree/forest m anagem ent.

PROBLEM AREA

1.3

1.4

1.5

1.6

Analysis of factors that influence populationmigration at source and monitoring of thedynamics of population migration patterns (e.g.land tenure).The i ntl uence of agricultural policies oncolonization, agricultural and forest conversion,including the impact of slash and burn farming ondeforestation.Improved understan ding of the potential of forestbuffer zone policies to relieve pressure onbiologically unique forest reserves and protectedareas and of land tenure and incentive policies thatare likely to be most effective in involving localpeople in their protection and managem ent.Pol;icics for nut.jor highway and rail constructionprogram s that divert infrastructure p rojects awayfrom forest inhabited by indigenous forest dwellersand from high priority b iodiversity reserves.Intersectoral planning processes as they relate toforest resources.

CIFOR

X

X

X

X

ICRAFq.J c&: ; *.II .a

, ,

X

X

X

IFPRI %I,*;: .,I A.:,:, ,* ,,, , ., .


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8 CIFOR W orking Paper No. 5: Review of Policy Research Needs

PROBLEM AREA CIFOR ICRAF IFPIUEirR~~ ~~~~~ ~;~~~ ~~~~~ ~~~~ ~~~;~1 7,B~,~~~~~ ~;~~,;~: .: : :: ,, T,, ,, . .r. ,r:,+,>,*


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9

PR OBLEM AREA 1 CIFOR

Und erstand and quantify the contribution of on farmtrees and remnant woodlands and forests tonutrition, food security, agricultural sustainability,rural income generation, reduction of risk infarming systems and protection of soil and waterresources.

4.2 Policy research into traditional agroforestry farmingsystems and into policies that would stimulate theirwider adoption and improved productivity.

4.3 How to get household agroforestry needs(distinguished by gender, etc.) incorporated intopublic agency support policies.

4.4 Evaluation of policy options for degraded landreclamation.

X

4.5

5.2

5.3

5.4

Agroeconom ic zoning includ ing u se of satellitemonitoring and GIS technology for policy planning(e.g. definition of areas scheduled for reclamation byafforestation).

X

Viability and constraints to improved efficiency ofsmall scale wood using industries and into theirpotential con tribution to rural welfare and economicgrowth.Effect of macroeconom ic and trade policies on thetimber trade (e.g. structural adjustments, exchangerates, tariffs).[cross referenced with 1.11Improved quantification of the costs and benefits ofaccelerated industrialization policies, includingincreased domestic processing, versus log exports.Impact of government timber concession license andtaxation policies on the prospects for improvedrental capture and more intensive forestmanagement.

53 Improved understand ing of the likely impact on thelivelihood of local people, on economic growth andon forest conservation and manag ement ofenvironmentally driven proposals for restrictions o ntropical logging and the timber trade (eco-labelling).

X

X


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10 CIFOR Working Paoer No.5: Review of Policy Research Needs

Part I: A Review of TropicalForestry and Agroforestry ProblemAreas and Policy Research Needs

Introduction

During the latter half of the 1980s the CGIAR,interacting with both national and international

scientific leaders, environmental groups anddonor representatives, undertook an intensivereview of its mandate with the objective ofstrengthening its strategic research relating tothe conservation and sustainable management ofnatural resources. As one outcome of thatdebate, a decision was taken to incorporateforestry research into the CGIAR system. Afterreviewing several alternative institutionaloptions it was decided to bring two newresearch centres into the system:

. CIFOR ( Center for International ForestryResearch, in Bogor, Indonesia), and

. ICRAF ( International Centre for Researchin Agroforestry, in Nairobi, Kenya)

CIFORs mission statement is:

Promoting the sustained well being of peoplein developing countries particulurly in the

tropics through collaborative strategic andapplied research on forestry systems and by

promoting the adoption of improved

technologies and management practices.

ICRAF has as its mission statement:.

Increasing the social, economic andnutritional well being of the people ofdeveloping countries and, through the use of

research and relhted activities, to integratewoody perennials in farming and related land

use systems in order to increase productivity,profitability, sustainability, diversity of output

and the conservation of natural resources.

In addition to the forestry and agroforestryrelated research of these two Centres, it was alsoagreed that several other InternationalAgricultural Research Centres (IARCs) withinthe CGIAR system and particularly IFPRI (TheInternational Food Policy Research Institute),

CIAT (Centro International de AgriculturalTropical), and IPGRI (The International Plant

Genetic Resources Institute) would also givesome attention to forestry and/or agroforestryresearch problems (the latter mainly related tothe biological and institutional aspects ofgermplasm and biodiversity conservation).CIFOR which came into existence in 1993 andICRAF which had been in existence as a non-CGIAR Research Council since 1978, both givestrong emphasis to policy research in theirMedium Term Plans (MTPs), which cover theperiod 1994-98.

In the case of CIFOR, there is clearrecognition in its MTP that much inappropriateland use and tropical deforestation can beattributed to inappropriate institutionalarrangements and government economic andsectoral policies. In allocating priorities betweenvarious programs, CIFOR gives policy researcha very high profile, in recognition thatinvestment in policy research leading to policyand institutional reforms, will yield a high pay-off in terms of prospects for improved wellbeing of forest dwelling people and betterconservation and management of tropical forestresources.

ICRAF, from the beginning, gave specialattention to interactive socioeconomicdiagnostic research at the farm household level.

The intention was to ensure that its researchprograms were based on farmers' perceptions of

the usefulness of trees in agroforestry farmingsystems and their traditional tree managementpractices.

This emphasis has carried through toICRAFs current MTP which includes a majorobjective of developing an understanding of howselected policies constrain or support theadoption of agroforestry technologies. It alsorecognizes that strategic research onagroforestry can contribute to resolution of

globally important environmental issues such asthe negative impact of slash and burnagriculture on rural poverty and forestdegradation.

Whilst the primary concern of the CGIARis strategic research of global relevance, verystrong emphasis is given to the importance ofclose collaboration with national agriculture andforestry research institutions and with NGOs,universities and specialised policy researchinstitutions in the implementation of the IARCs

policy research agendas.

The CGIAR Centres are also heavilyinvolved in programs aimed at strengthening


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11

the research capability of national researchinstitutions. About 20 per cent of past CGIARexpenditures have been devoted to research,training and dissemination of researchinformation.

CIFOR, which is a centre without wallswill implement a very substantial part of itspolicy research agenda through collaborativeand contractual arrangements with bothnational and international institutions. Prior

to the incorporation of ICRAF and CIFOR intothe CGIAR system, IFPRI carried the mainresponsibility in the CGIAR system foragriculture related policy research. It hadconducted a number of policy research studiesrelevant to the forestry sector. IFPRI thereforetook a lead role in initiating this work. CIFOR

undertook the responsibility for consolidation ofthe Workshop output and organisation of anintercentre dialogue on how the CGIAR couldrespond to priority research needs mosteffectively.

The Policy Workshops

(a) The Global Workshop

The Global Workshop which initiated this

series, brought together forty participants fromcountries. The objectives were to sound outexpert opinion on the potential of policyresearch to contribute to reso luti on ofconstraints to sustainable forest conservation

and management, giving high priority to therole that forests and trees play in meetinghuman needs, contributing to agriculturalsustainability, protecting the environment andto economic growth. The initial discussions

focussed on defining information requirementsfor different stages of the policy researchprocess (see Table 2).

The Global Workshop discussionsrecognized that many forestry and agroforestrypolicy issues are quite site and situation specificand that much current research is in the form ofcase studies that do not lend themselves toextrapolation. A critical challenge is to designstudies using standardised or comparablemethods and carefully selected cases to providerigorous empirical evidence that can be

extrapolated to address broader policy concerns.

Common Policy Themes and Research Areas

Most of the issues suggested by the Workshopparticipants fell into six cross cutting categories:

Macroeconomic policies that influenceforest land use and distribution of forestbenefits.

Land and tree tenure issues.Ways of optimizing land use and rural

welfare.The effects of institutional reform.Institutional support services andinfrastructure.Markets, subsidies and incentives.

Table 2.

Questions at Each Stage Leading to Policy

Changes

1. What is the existing situation and whatchanges are desirable to achieve particulardevelopment objectives related to sustainable

development and the environment?

Information Requirements

Background informationNeeds and problem assessmentMarket information

Technical information (biophysical, social and

economic)

2. What inputs into the local, regional, or Research on the means for changing forestry

national economy have to change to achieve and agroforestry activities, reflecting social and

these development objectives? economic constraints and opportunities.

3. What policies have been effective in achieving Policy Research

development objectives? What policy changes Studies of effects and opportunities forare required to alter the existing situation in a achieving development objectives throughway that meets development objectives? policy change related to incentives and

regulations.


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12 CIFOR Working Paper No.5: Review of Policy Research Needs

Within the above framework, the GlobalWorkshop examined how the abovecategorisation of research themes might beapplied in practice to some of the more obviousproblem areas that have been widely recognizedboth at the national and international levels asbeing in urgent need of attention. These fiveproblem areas were:

. The relationship between populationdistribution and growth, deforestation andsustainable land use in the humid tropics.Special attention would be given to policiesthat would help to address the problem ofshifting cultivation and forest migrantpressures on forest resources.

. Policy options that could have a beneficialimpact on reclamation and improvedutilisation of degraded forests in drylandregions.

. Policies that could influence thepossibilities for sustainable land use,containment of erosion and regulation ofstream flow in upland watersheds.

l The role of trees in income .and welfaresecurity addressing social and economicissues relating to the use of trees and treeproducts in farming systems by

communities and small scale wood usingenterprises.

. Intersectoral issues affecting the forestrysector, such as those influencingagricultural expansion, structuraladjustment programs, road developmentsand energy sector policies and strategies.

The outcome of this analysis is summarised inAnnex 1. The purpose of the Global Workshopwas to provide a starting point for this policyresearch review and to stimulate further

discussion of key issues. The RegionalWorkshops which followed were intended tosound out the perceptions of local people,national policy leaders, NGOs and others on keyproblems and researchable issues as seen fromtheir perspective. The following sections of thisreport summarise the key topics andrecommendations that emerged during theregional meetings that were held in Asia, Africaand Latin America.

(b) The Asia Workshop

The participants in the Asia region Workshopwere representative of several quite differentagroecological zones and countries with

substantially different fores resourceendowments. The first broad grouping included

the countries of the South East Asia region suchas Indonesia, Malaysia, Myanmar, and PapuaNew Guinea, which contain very substantialnatural forests that are a major source of exportearnings and local employment. They includethe biologically diverse dipterocarp rain foreststhat have been the target of much internationalattention and environmental concern over the

last decade.A second grouping included the countries

of the South Asia region such as India,Pakistan, Nepal, Bangladesh and Sri Lankawhich contain substantial areas of dry or semiarid zone woodlands, extensive mountainuplands, degraded lands and areas of very highpopulation density in which the natural forestshave been largely depleted but in which openwoodlands, agroforestry and homestead treeplantings play a major role in meeting humanneeds.

Problems and research needs of the islandsof the South Pacific region were represented bythe participation of Fiji. Problems of temperateforest region emerged from input of therepresentatives of China, Japan, New Zealandand Australia.

The representatives of both Thailand andPhilippines highlighted the perspective ofcountries that have, in the past, been majorexporters of forest products, but in which thenatural forests have now been severely depletedto the point that forest policies are strongly

driven by the need to preserve the remainingforests and to accelerate reforestation in order tomeet rapidly rising domestic needs for forestproducts.

Despite the disparity between the forestrysituations of these various groupings, severalcommon problems that are of regional concernquite quickly emerged. Those that featured mostprominently in the discussions were:


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13

(i) Problems of increasing pressures onforest resources, the negative effects of

deforestation and the need for improvedunderstanding of policies that can help tocontain forest encroachment.

Prominent among the possible research topicssuggested that could help to address thisproblem were

. Macroeconomic policies that may have anegative impact on forests. These includeindirect pressures from structural

adjustment and other macroeconomicinterventions such as export and exchangerate policies, environmental related

pressures exerted through trade relations,timber boycotts, debt for nature exchanges,

the conditional lending policies of aidagencies and the policies of NGOs.

. Intersectoral effects of national governmentpolicies on both forestry and agroforestry.

. Improved understanding of policies thatcould help to reduce shifting cultivation,including those likely to influence plannedand spontaneous migration, such as skewedland tenure and the easier access to cheapforest land provided by highways andlogging roads.

Notwithstanding the overriding concerns ofnational forest policy leaders to conserve what

remains of the natural forests of the Asia region,it was acknowledged that some continueddeforestation is inevitable (particularly whereforests situated on relatively flat land overliesoils with reasonable agricultural potential andwhere there is still a possibility to increaseagricultural production by transfer of forest landto agriculture).

In situations where further transfer offorest land to agriculture is being contemplated,

a priority will be to identify and exclude fromthe forest excision process, areas of forest thatare particularly important sources of biodiverse

germplasm of plant and animal species, and/orwhich protect critical upland watersheds.Research into the socioeconomic and soilcapability aspects of alternative forest land uses

(including protection of the interests of forestdwelling communities) should precede suchland transfers wherever possible.

Policy research needs in this latter areainclude improved understanding of the

economic trade-off between forest and

alternative forms of land use and of theincentive, land tenure and other policies thatwill help to ensure an orderly transfer fromforestry to agriculture or other uses.

(ii) The need to broaden the technologicalbasis for sustainable management of naturalforests by greater emphasis on the harvesting

and management of non-traditional forestproducts.

High priority research topics in this areaincluded:

. Improved knowledge on the uses and valuesof non-traditional products.

. Marketing prospects and pricing policiesthat encourage their increased butsustainable productivity.

. Issues of the protection of local peoplesrights relating to ownership of germplasm,forest products or processing methods, andof policies that can preserve those rights.

(iii) Institutional concerns relating topossibilities for decentralisation ofmanagement responsibility for forest

resources and involvement of localcommunities, user groups and privateenterprises of various kinds in forestmanagement.

Discussions of this topic covered a wide rangeof options and ongoing experiences rangingfrom the recent joint management schemes thatare being tested in India to small user groupexperiences in Nepal, the transition fromcentrally planned resource management inChina to management by local communities andindividuals, and transfer of managementresponsibility to large scale private sector

industrial enterprises as has occurred with therecent privatisation of plantation forests in New

Zealand Priority research topics included:

. Policies that affect ownership and tenurerights to both forest lands and trees.

. The need for improved methodologies forassessing the equity, technical effectivenessand environmental impacts of transferringownership of forest resources.

. Policy research directed at options forreform of traditional forest services to

encourage improved integration and


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collaboration with other both public and likely to be economically viable andprivate sector agencies including NGOs. socio economically acceptable.

(iv) Policies affecting trees in land useoutside forests including those that are likely

to have a beneficial impact on accelerated

adoption of improved agroforestry farming

systems and reclamation of degraded lands.

(v) Industrialisation policies that are

intended to stimulate improved harvesting

and forest management, the creation of local

employment and increased revenue

generation.

As the natural forests of the Asia region arebeing depleted, many of the products theysupplied such as fuelwood, fruits, tree fodder,building poles and timber are now beingsubstituted by similar products harvested fromremnant patches of open woodland, forestfallows, individual indigenous trees that havebeen protected in the course of conversion fromforest to agriculture and especially by on-farmtree planting as an integral component of theagroforestry farming systems that are widely inevidence throughout the region. Thissignificant change in the structure of forestproducts supply has led to many new policychallenges. There is also growing concern in the

region about the extensive areas of former forest

but now degraded imperata grasslands, salinesoils and arid zone wastelands; and trees have auseful role to play in the reclamation of such

lands. Key research topics to address theseproblems would include:

These issues that were of primary interest tomajor timber producing countries such asIndonesia, Myanmar, Malaysia and Papua NewGuinea led to identification of the followingresearch needs:

The influence of macroeconomic andstructural adjustment policies on theproductivity and viability of forestindustries.

. Evaluation of economic returns to land andlabor in agroforestry systems, includingtrees, crops, livestock, income generationand the potential of various components ofthese farming systems to contribute tofamily employment, nutrition andsustainable agricultural productivitycompared to other alternative forms of landuse.

. Tree product market research including thepotential of forest products derived fromagroforestry farming systems to substitutekey subsistence products and farming input

needs that were formerly derived fromnatural forests.

. Incentive measures to stimulate trees inland use or to remove disincentives (taxeson trees, or tree products, bans on treecutting, etc.).

. Agroeconomic zoning research aimed atimproved delineation of areas of degraded

land where reforestation or afforestation are

Options for improved license and taxationsystems for timber concessions.Improved understanding of the economicand technical impact of log export bans andaccelerated domestic industrialisationpolicies.

improved understanding of the policies thatcould foster the development of smallerscale rural wood-using enterprises and

introduction of low impact harvestingtechnologies.Policy options for maximizing economicrental capture from harvesting of naturalforests and improved mechanisms forensuring equitable revenue sharing withlocal communities as well as adequateresource allocations and incentives toencourage more intensive and sustainableforest management.Improved understanding of the impact ofenvironmentally driven trade embargoes

such as timber boycotts on forest industrialdevelopment on both human welfare andthe conservation and improvedmanagement of forest resources.

(c) The Africa Workshop

This Workshop was attended by 42 policymakers, senior staff of public and privateforestry institutions, agroforestry specialists andNGOs. As in the Asia Workshop, theparticipants represented several quite different

agro ecological, socio economic and forest


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15

resource endowment situations. Those Africancountries that still contain substantial areas ofnatural forest and which have either in the pastor still do rely on trade of forest products as apotential source of revenue and employment,

were represented by participants from CtedIvoire, Cameroon, Nigeria and Zaire. Thearid zone countries of the Sahel and WestAfrica region in which savanna woodlands havebeen heavily depleted by a combination ofagricultural cropping, grazing and fuelwoodharvesting pressures, were represented by Nigerand Benin.

The countries of the East and SouthernAfrican region in which climatic and soilconditions are in many areas quite favorable forforest growth but in which agricultural

population pressures have already causednatural forest depletion, or are likely to in thefuture, were strongly represented by participantsfrom Kenya, Tanzania, Zimbabwe, Malawi,Lesotho, Botswana and South Africa. In somecountries in this region there has been quitevigorous development in agroforestry farmingsystems.

Fast growing industrial plantations ofmainly exotic species such as pines, eucalyptsand cypress play a key role in several of thesecountries in meeting domestic timber needs and,

in some countries, paper and paperboard needs.Several of the African region participants hadspecialised expertise in this area. The interestsof conservation and NGO groups wererepresented by UNEP and CARE. Severalleading socioeconomic policy researchers fromAfrican universities and agricultural and landtenure policy research specialists from overseasinstitutes also participated. Based onconsiderable earlier interaction with policyresearchers and NGOs from the region andconsultation with African policy leaders

attending the 1992 FAO Africa RegionalForestry Commission, it had been agreed inadvance to focus discussion around five mainthemes. These were:

. Population distribution and growth; relatedchanges in land use and their impact ondeforestation in the humid tropical forestzone of the West Africa region. Specialemphasis was given to identification ofpolicies that could help ease the transitionfrom slash and burn to more sedentary

farming systems.

. Identification of policy measures that couldhelp shift the emphasis from traditionalforest products to multipurpose end useforest management (giving specialreference to improved understanding of the

consumption patterns, marketing prospectsand sustainable management options forforest-based foods, fruits, fuelwood, fodder,mulch, medicinal and other products).

. Improved understanding of how modifiedgovernment forest revenue and timberallocation policies influence sustainableforest management and of the scope forpotentially beneficial policy changes.

. Improved understanding of the potentialbenefits and risks associated withdevolution of responsibility for natural

forest management from governmentcontrol to management at the local level bycommunities, user groups, privateindividuals or commercial companies, andof the policies that could help encouragesmooth shifts in tenure or ownership offorest resources.

. Research on the role of trees in ruralincome, subsistence and food and energysecurity with special emphasis on improved

understanding of policies that cancontribute to more accurate targeting of

incentive mechanisms for encouraging useof trees in farm and community forestry.

Four working groups reviewed these and relatedissues, and the Regional Report on thisWorkshop sets out the detailed discussions andconclusions of those working groups. The initialworking group discussions identified about 35major problem areas. A preliminary list of about120 research needs emerged. Considerable timewas spent in synthesizing the most crucial crosscutting problem areas and research topics that

seemed most relevant to addressing theseproblems. In summary the following fourproblem areas and related research prioritiesreflect the main conclusions andrecommendations of the Africa Workshop:

(i) Inadequate understanding of the uses and

value of forests, open woodlands and trees.

The historical preoccupation of most AfricanGovernment Forest Departments with control,protection and management of reserved

forests for preserving water catchment areas,


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wildlife reserves and with harvesting and

management of forests for conventional forestproducts such as lumber, plywood and pulp and

paper, is largely a heritage of colonial forestadministrations.Population pressures on many of these

government controlled forest reserves were, inthe early days of their creation, not perceived asa major problem. Little importance was attachedto economic quantification of forest values.Primary management objectives in earlier timeswere strongly driven by the conviction that itwas the responsibility of Government ForestDepartments to protect and manage these forestreserves on behalf of the people and in theinterest of future generations. Local peoplesrights and communal land ownership of forestlands were frequently ignored in the process offorest reservation.

Population pressure and deforestation haveled to the recognition that national forestpolicies need to place stronger emphasis onincentives for the development of improvedagroforestry farming systems, on themanagement of open savanna woodlands,fragmented patches of natural forest outsideforest reserves and on improved management of

forest fallows and shrubs (which in total accountfor more than 70 per cent of Africa s woodedarea). However so far, there has been inadequateattention on research into the uses and values ofnon-traditional forest products, the relevance ofsavanna woodland trees and forest fallows tosustainable agriculture or to improvedunderstanding and quantification of the widerenvironmental benefits of forests. WithinAfrica the main ongoing research into improvedunderstanding of forest values is beingconducted by relatively few African universities,by overseas specialised policy research institutes

and NGOs and in the case of research intoagroforestry benefits, by ICRAF working mainlywith local farmers and national agricultural andforest department researchers. The low level ofresources devoted to this topic and lack oftrained social scientists within Africa, areconstraints to improving knowledge.Formulation of incentive policies for ensuringthat the benefits of a wider range of forestproducts and environmental services areincorporated into national forest policies anddevelopment programs, requires that greater

research be devoted to:

Agroecological research aimed at clarifyingthe significantly different uses and values offorests in Africas various ecozones (for

example, research issues in the Sahelregion are substantially different from thoseof the East and Central African highlandsand from those of the humid tropicalcountries of the West Africa region).

Understanding and quantifying the

contribution of forests, open woodlands andtrees to nutrition, food security, agriculturalsustainability, rural income generation,reduction of risk in farming systems; tomedicinal needs and other non-traditionalforest product needs.Understanding the potential fordomestication and/or cultivation ofindigenous fruits, medicine and other non-wood products of value for localconsumption or sale.Identifying policies to encourage protectionof existing tree resources (standing trees,natural regeneration) including forest andland use regulations, market incentives,land and tree tenure and processing.Improved methodologies for assessing thewider environmental benefits of forestry,including preservation of biodiversity,climatic influences and for monitoring offorest land use change.In this context there is potential to makemore effective use of satellite technologybacked up by cheap and rapid groundappraisal and evaluation methods supportedby GIS (Geographic Information Systems).

(ii) Legal, tenurial and institutionalconstraints to effective community andprivate sector participation in forestmanagement.

Incentive policies and institutional reforms areneeded that will enable farmers and localcommunities to play a more effective role inresource conservation and management of forestresources. For example, recent forestry sectorstudies carried out in Zimbabwe, analysed theuses and values of forest products harvestedfrom savanna woodlands and the incentives,land tenure, legal and institutional reforms thatcould be helpful in securing the participation ofvillage communities in common property forest

management of the savanna woodlands located


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17

in the Communal Areas. Research needs

identified by the Workshop in this areaincluded:

. Identifying the factors affecting people s

decision to protect existing forest resourcesand to plant trees. Improving understandingof how local regulations or other policieswith respect to land tenure, land reform,access to land, customary user rights andrestrictions on harvesting or sale of treeproducts im pact on local peopleswillingness to plant and care for trees.

. Assessment of the comparative advantageof different institutional arrangements forthe management of forest lands, includingexperimental testing and monitoring ofalternative tenurial and managementoptions. The role of NGOs in assisting inthe formulation and testing of pilotapproaches was recognized as being ofparticular importance.

. Development of standardisedmethodologies for measuring theeffectiveness of alternative institutionalapproaches in relation to their impact onhuman welfare, agricultural sustainabilityand the environment.

(iii) Containing population migration intonatural forests and woodlands and the needfor improved understanding of policies thatcould help to slow migratory pressures.

In the humid tropical forest zone of WestAfrica, this problem is perhaps most acute inCte d Ivoire where over the last 15 years, some5 million hectares of forest land have beenconverted to agriculture. Much of this is slashand burn farming being carried out in situationsof increasing population pressure, shortenedfallow periods, declining soil fertility and crop

yields.In the East and Southern African regions,

the already quite small remaining areas ofnatural forest which were originally set aside to

protect watersheds and wildlife resources arebeing eroded in some areas by population

pressure on the forest fringes and the acute need

to increase food supplies.The savanna woodlands of northern

Nigeria, the countries of the Sahel region and ofTanzania, Zimbabwe and other countries, havein some areas been heavily depleted by a

combination of annual burning (to stimulate

regrowth of fodder grasses or as a step towardsconversion to agriculture), and by concentratedfuelwood harvesting particularly for charcoalproduction in the vicinity of major townships,and by large scale mechanised farming schemes

such as those introduced in Sudan. Priorityresearch needs in this area include:

. Improved understanding of the underlyingcauses of population migration at sourceand of the dynamics of populationmigration patterns.

. Policies aimed at the protection of forestdwelling communities who depend to ahigh degree on forest products for theirsubsistence needs and welfare.

. Research into alternative farming systemsto slash and burn and into policies that willspeed their adoption.

. Research into off-farm employmentopportunities including the potential ofsmall scale forest-based enterprises and therole that harvesting and sustainablemanagement of forest products in bufferzones can play in helping to relievepressure on protected forest areas.

. Improved understanding of the economicsand environmental implications of land usechange. (This is a highly relevant issue inparts of the Central and Southern Africanregion where substantial areas of opensavanna woodland situated on relatively flatland overlie soils with reasonableagricultural potential). It also hasimplications for part of the West Africanhumid tropical forest zone where furtherconversion of some forest land to perennialtree crops can arguably be defendedprovided that care is taken to channel suchdevelopment away from unique biodiversityareas and to protect the interests of forestdwelling communities.

(iv) The influence of macroeconomic andnational development policies on forests and

on prospects for sustainable forest products

trade.

Research needs to address this problem include:

. Identification of the impact of governmentfinancial, fiscal, regulatory, tenurial andother policies on peoples incentive to adoptsustainable forest conservation and

management practices.


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. The impact of structural adjustment policieson forests.

. The impact of trade restrictions, taxes, log

export embargoes, import tariffs andexchange rate changes on forestmanagement.

. The influence of government concessionlicense arrangements and private sectorindustrial development policies onharvesting and management.

(d) The Latin American Workshop

The regional participants in this Workshoprepresented three distinctly different forestrysituations. The countries of the Amazon Basinthat contain about half of the worlds remainingrainforest were represented by participants fromBrazil and Venezuela. The countries of theLatin American cone region, in whichtemperate climatic conditions predominate, use

plantation forests to meet their industrial needs.In the case of Chile, these sustain a verysubstantial export trade in forest products.These countries were represented by Chile andUruguay. Their concerns differ substantiallyfrom those in most tropical developingcountries.

The Central American and Caribbeancountries contain substantial areas of loggedover and, in parts, badly degraded forestsinterspersed with fairly densely populated farmlands in which there has been substantialagroforestry tree planting. These countries wererepresented by participants from Costa Rica,Mexico, Honduras, Guatemala, Santo Domingoand Jamaica.

Agronomic and technical forestry expertisewas represented by participants from Brazil,Costa Rica and by several leading agricultural

and forestry scientists from both national andinternational agencies. NGO andenvironmental concerns were raised byrepresentatives from the Smithsonian Institutionand also by several aid agency representativeswho have been on the receiving end of bothnational and global environmental criticisms of

national government and aid agency forestpolicies. CGIAR institutes were represented byparticipants from IFPRI, ICRAF and CIFOR.

The main problem areas that were raisedby representatives of the Amazon Basin

countries focussed on both national andinternational concerns about tropical

deforestation and its negative effects onprospects for sustainable forest products tradeand forest land use. The key environmental

issues of international concern such aspreservation of biodiversity, the implications ofdeforestation for global warming andpreservation of the human rights of forestdwelling tribal communities, are frequently atvariance with national government and localauthority preoccupations with povertyalleviation, economic growth and mobilisationof government revenues.

The preoccupations of the temperatecone countries stemmed from their desire toconsolidate, expand and improve the

productivity of fast growing plantation forestsand to improve the efficiency and market shareof their large scale forest industries. Majorconcerns of the Central American andCaribbean countries included policy options that

would stimulate regeneration and improvementof secondary forests, incentives for greaterinvolvement of local communities in forestmanagement and the need to broaden theemphasis of forest management to give moreattention to non-traditional forest products.Very similar concerns were raised to those thathad surfaced in the three earlier workshops

about the need to improve the understanding ofpolicies and incentives that would lead to bettertargeting of agroforestry incentive policies andaccelerated adoption of more promisingagroforestry technologies. With thisbackground the main problem areas of commoninterest were:

(i) How both national and internationalmacroeconomic and environmental policiesinfluence the possibilities for forestconservation, the welfare of forest dwelling

people, forest products marketing and trade,and prospects for sustainable management of

forest resources

Because of the currently poor understanding ofsuch relationships, high priority was given tothe need for intensified research into:

. Marketing and export promotion policiesthat will make it possible for the countriesof the region with surplus forest resourcesto meet domestic demands and to

consolidate and expand their market shareof international forest products trade.


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19

. The impact of structural adjustment,exchange rate, taxation, pricing and subsidy

policies on forest industrial development,on forest management and on peopleswelfare.

. How the policies of other sectors andagencies responsible for formulation oftransportation, agricultural colonisation,industrial and mining sector policies andsubsidised private sector investment in suchprojects may negatively impact on forestresources and the livelihood of forestpeople.

. How to mobilise concessional funding forconservation of forest resources insituations where countries of the region arebeing urged to forego the potential benefits

from forest harvesting in the interest ofprotecting biodiversity and the carbonsequestration potential of tropical forests forglobal benefit.

(ii) Improved understanding of the factors

influencing population migration at sourceand of policies that could help to deterfurther migration into forests.

Key research needs identified include:

. The impact of skewed land distribution andpotential of land reform to relievepopulation migration pressures.

. Better understanding of populationdynamics and of the likely future trends inrural to urban population ratios.

. Possibilities for influencing highway andrailway construction policies so as to avoidopening of unique forest ecosystems andtribal lands.

. Elimination of government supportedagricultural subsidy policies that encourage

speculation in forest land.. Policies that will help to intensifyagricultural productivity and encourage thedevelopment of stabilised communitiesaway from forest areas.

(iii) The problem of undervaluation of forest

resources.

Very similar concerns to those that had arisenin earlier Workshops were expressed, namelythe desirability of intensified research on:

. Improved knowledge of the uses and valueof non-timber forest products and ofpossibilities for their domestication and

marketing.. Improved quantification of the potential of

smaller scale forest-based rural enterprisesto contribute to rural income generation,economic growth and improved humanwelfare.

. Improved quantification of theenvironmental externality benefits of forestsand factoring of the costs of forest depletioninto national accounting systems.

(iv) Policy options that would help to ensure

greater participation of local communities,small farmers and private sector industrial

enterprises in sustainable management offorest resources.

NGO-supported experimental approaches forinvolving local communities in forestmanagement have been attempted in countriessuch as Peru, Mexico and Costa Rica. ExtractiveReserves have been set aside in Brazil, butprospects for their economic viability andsustainable management remain unclear. Fiscalincentives have been widely used in countriessuch as Chile and Brazil to induce private

farmer and industrial company investment inplantation forestry. Despite the significantimpact of these incentives in stimulating verylarge scale afforestation, past policy researchhas questioned the design of some of thoseprograms. In particular, there was discussionswhether enough attention was given at theoutset to economic zoning of situations wheresuch subsidies would have to lead toeconomically viablk forest industrialdevelopment. Research priorities included:

. Standardised methodologies for assessingthe socioeconomic acceptability, technicalperformance and environmentalsustainability of differing institutionalapproaches.

. Improved understanding of the costeffectiveness and justification for fiscalincentives and the need for agroeconomiczoning studies that can provide a basis fordefining areas where such afforestationincentives are likely to be botheconomically justified and effective.


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. Improved understanding of the relativeroles of the public and private sectors, andof institutional policy reforms that would

result in more effective collaborationinvolving both local people and NGOs inpolicy dialogue.

(v) The need for improved understanding of

policy options that would help to ensure more

effective targeting of agroforestryinterventions, of household level perceptions

of the usefulness and improved management

options for on-farm tree resources anddegraded forest lands.

These issues are central preoccupations ofseveral Central American and Caribbeancountries. Technological and socioeconomicresearch carried out by CATIE in collaborationwith national forestry and agricultural researchinstitutions in the region have already made asignificant contribution to improvedunderstanding of the issues. Research needsincluded:

.

. Improved methodologies for monitoring thecomparative impact of alternative

agroforestry and more conventionalfarming systems on agriculturalproductivity and farm incomes.

. The relevance of different forms of landtenure and tree ownership to peopleswillingness to protect and manage on-farmtrees.

. Gender issues as these affect householdlevel decisions about forest and treemanagement.

. Improved understanding of the need andeconomic justification for fiscal incentiveand other forms of subsidy that are aimed at

accelerated adoption of tree planting andbetter tree management.

. Market research and processingopportunities for farm-derived forestproducts and of definition of policies thatwill enhance marketing and processingprospects.

Discussion of Predominant Common

Themes

To summarise, the analysis of the mainproblems emerging from the series of

Workshops suggests that the following fivebroad problem areas appear to be of commonconcern in the Asia, Africa and Latin American

regions:

The impact of tropical deforestation onhuman welfare and on both local and globalenvironments, and the need for improvedunderstanding of the main underlyingcauses of deforestation, and policy reformsthat could most effectively contribute tocontainment of further deforestation.The uses of the forests, their economic andenvironmental values and benefits arepoorly understood and frequently

underestimated. This has had a negativeeffect on national government, aid agencyand private sector resource allocations andinvestment priorities relating toconservation and management of forestresources.

Past policies that have placed strong emphasison centralised decision making, ownership andcontrol of forest resources, have deterredinvolvement of local people in theirmanagement. These policies have been partly

responsible for past failures to protect forestsand for the extensive degradation of forests inmany parts of the tropics. As natural foreststhroughout the developing world are beingdepleted and degraded, local populations haveincreasingly turned to remnant patches of openwoodlands, forest fallows and other agroforestryfarming systems for supplying their essentialforest product needs and for inputs required tomaintain agricultural productivity. Thisevolution of supply sources of tree productsfrom natural forest/gathered or harvested

products to products that are obtained fromdomesticated on-farm or community wood-lotsor plantations, has led to many new policychallenges. However, government forest policiesin many countries have failed to provideadequate policy incentives and support services

to ensure either that remnant woodlands arewell managed, or to enable local people tocapitalise on the potential of agroforestryfarming systems to supply essential human andlivestock needs, and to contribute to increasedagricultural productivity. Because the

interactions between crops, livestock and treesare not well understood, governmentagroforestry incentive and extension policies are


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sometimes ineffective and wasteful of scarceresources.

. The countries of South East Asia, WestAfrica and Latin America with abundant

tropical timber have in the past, or to asignificant degree still do, depend on timberharvesting and forest product exports forgenerating revenues that support economic

development.

A combination of political pressures toaccelerate harvesting, corruption, the weaknessof government forest administrations,inappropriate concession license allocation andtimber taxation systems, and the negativeimpact of macroeconomic trade, exchange rate

and structural adjustment policies, have led towasteful use of resources and failure to captureeconomic rental values. The introduction ofaccelerated industrialisation policies has insome situations exacerbated poor forestmanagement and has been costly in terms of jobcreation, loss of potential revenues and

preservation of the environmental benefits offorests. Environmental concerns to protect

rainforests for global benefit and to protect the

way of life of forest dwelling communities haveled to pressures on southern governments to

restrict timber exports, to the introduction oftimber import restrictions and to otherinterventions. The impact of these interventionson local people, on economic growth prospectsand on the possibilities for improved

conservation and management of forest

resources is poorly understood.Annex 2 summarises high priority

research needs for addressing the five problemareas outlined above, based on the conclusionsand recommendations of the series of PolicyWorkshops.

Forestry and Agroforestry Policy

Research Methodology and

Institutional Capacity

The Workshop participants expressed concernssabout weaknesses in both current forestry andagroforestry policy research methodology and innational institutional capacity for policyanalysis. A particularly critical constraint isthe lack of solid empirical data on which to base

meaningful policy analysis. An associated issuewas the need for more effective ways of

ensuring that the recommendations arising outof policy research are more widely adopted.

A range of options was discussed forovercoming these bottlenecks. Some of the

most pressing needs identified in this area

include:

A more interdisciplinary approach to fieldfarm and forest surveys to developquantitative measures of key variables ontree production, income, use, etc. and toprovide benchmarks for research analysis.Historical reconstruction of land usechange, using archival research, oralhistory, historical studies in geography,anthropology and farm management, plusreview of local legal records to identify

changes in ownership and land useconflicts.Rigorously designed qualitative studies tounderstand patterns of consumption, treeuse preferences, and control andmanagement.Exploring options for permanentmonitoring systems to parallel those already

widely used for crops and livestock.Examples cited, included national

agroforestry surveys under implementationin Burundi, analysis of trees in land use

through use of remote sensing techniques(under implementation in Kenya), treeproduct market surveys (as have beencarried out in parts of India), and long termmonitoring of agroforestry farming systemyields (as implemented by CATIE inCentral America).Better understanding of the political andinstitutional constraints to adoption ofpolicy reforms. This reflects the reality thatdespite the considerable investment that hasbeen directed to policy research in the past

and the prodigious lists ofrecommendations that have been generatedfor policy reform and institutional change,the political unacceptability of such

recommendations has frequently precluded

their adoption. Better mechanisms are

needed for interaction with political leaders

and national government agencies

responsible for policy formulation. The roleof NGOs in this area is of particularinterest.

Institutional approaches to research requirecloser integration betweenforestry research


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research institutions and specialised,socioeconomic, anthropological, agriculturaland energy research agencies.

Part II: The Forestry and Agro-forestry Policy Research Programs of

the CGIAR Centres

(a) Criteria for the Selection of problemareas and research needs that are mostappropriate for CGIAR Support

In developing a CGIAR response to the problemareas and research needs emerging from theRegional Forestry and Agroforestry policyWorkshops, priority was given to tacklingproblem areas and research topics that clearlymeet the requirements of the CGIARs recentlybroadened mission statement which reads asfollows:

Through international research and related

activities, and in partnership with national

research systems, to contribute to sustainable

improvements in the productivity of agriculture,

forestry and fisheries in developing countries in

ways that enhance nutrition and well being,especially of low income people.

That mission statement implies a focus on:

. International research that complementsand supports national research efforts.

. Satisfying human needs from agriculture,forestry and fisheries without degrading theenvironment or the natural resource base.

. The large numbers of poor people living indeveloping countries.

. The role of technological change ingenerating new income streams for thepoor.

. Other activities aimed at strengtheningnational research capacities, such asspecialised training, institution buildingand information services.

Secondly, the choice of research topics forCGIAR support was influenced by considerationof the types of strategic research that are mostlikely to be of global and/or regional

significance such as the development oftechnologies or policies for resource

management and sustainable land useappropriate for application to a range ofagroecological conditions widely distributedaround the globe. Thirdly, there has beengrowing recognition within the CGIAR systemover recent years of the desirability of a moreintercentre collaborative approach to tacklingresource management problems in anecoregional context, combining socioeconomic,biological and physical research in an integratedway. This approach is a response to therecommendations of a recent overview by theCGIARs Technical Advisory Committee (TAC)of CGIAR Strategies and Priorities. That review

(A Possible Expansion of the CGIARAGR/TAC/IAR/90/24) and further analyses byTAC were concerned with the institutional andresearch implications of the revised goals of theCGIAR that now include much strongeremphasis, than in the past, on conservation andsustainable management of natural resourcesincluding soils, water, forests and fisheryresources.

One outcome of that review was a decisiontaken in 1990 to add an a

a review of tropical forestry and agroforestry (wp-05n)

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