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Agroforestr y Working Paper no.1

Advancing Agroforestry

on the Policy AgendaA guide for decision-makers


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Photograph credit

FAO/Walter Astrada, Haiti


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Advancing Agroforestryon the Policy Agenda

A guide for decision-makers

WRITTEN BY

Grard Buttoud

EDITED BY

Frank Place and Michelle Gauthier

DESIGN BY

Kristel Gallopin

SUPERVISED AND COORDINATED BY

Michelle Gauthier

DEVELOPED IN COLLABORATION WITH

CATIE (Guillermo Detlefsen)

CIRAD (Emmanuel Torquebiau)The World Agroforestry Centre (Frank Place and Oluyede Ajayi)

Agroforestr y Working Paper no.1

Food and Agriculture Organization of the United Nations

Rome, 2013


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The purpose of the Agroforestry Working Paper series is to provide early information on ongoing

activities and programmes, to facilitate dialogue and to stimulate discussion. The working papers donot reflect any official position of FAO. Please refer to the FAO Forestry Web site (www.fao.org/forestry)for further information.

For further information, please contact:

Eduardo MansurDirectorForest Assessment, Management and Conservation DivisionFAO Forestry Department

Viale delle Terme di Caracalla00153 Rome, ItalyE-mail : [email protected] site: www.fao.org/forestry

Comments and feedback are welcome

FOR QUOTATION

FAO.2013. Advancing Agroforestry on the Policy Agenda: A guide for decision-makers, by G.Buttoud, in collaboration with O. Ajayi, G. Detlefsen, F. Place & E. Torquebiau. Agroforestry WorkingPaper no. 1. Food and Agriculture Organization of the United Nations. FAO, Rome. 37 pp.

The designations employed and the presentation of material in this information product do not implythe expression of any opinion whatsoever on the part of the Food and Agriculture Organization ofthe United Nations (FAO) concerning the legal or development status of any country, territory, city orarea or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of

specific companies or products of manufacturers, whether or not these have been patented, doesnot imply that these have been endorsed or recommended by FAO in preference to others of a similarnature that are not mentioned.

The views expressed in this information product are those of the author(s) and do not necessarilyreflect the views of FAO.

ISBN 978-92-5-107470-1

All rights reserved. FAO encourages reproduction and dissemination of material in this informationproduct. Non-commercial uses will be authorized free of charge, upon request. Reproduction forresale or other commercial purposes, including educational purposes, may incur fees. Applications forpermission to reproduce or disseminate FAO copyright materials, and all queries concerning rights andlicences, should be addressed by e-mail to [email protected] or to the Chief, Publishing Policy andSupport Branch, Office of Knowledge Exchange, Research and Extension, FAO, Viale delle Terme diCaracalla, 00153 Rome, Italy.

FAO 2013


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CONTENTS

List of boxes iv

Acronyms and abbreviations iv

Foreword v

Acknowledgements vi

Executive Summary vii

INTRODUCTION THE GUIDELINES: WHAT, WHO AND WHY? 1

PART I AGROFORESTRY: STRATEGY AND POLICY 2

Why develop agroforestry? 2

Conditions for agroforestry development 5

Barriers to agroforestry development 7

Why promote and regulate agroforestry through policies? 11

Drivers of agroforestry development 14

PART II AGROFORESTRY: WHICH POLICIES? 16

Lessons from success stories 16

So what? en tracks for policy action 20

1. Spread the word 21

2. Revise the context 22

3. Secure the land 23

4. Create a new approach 24

5. Organize and synergize 25

6. Provide incentives 26

7. Develop markets 28

8. Communicate the know-how 29

9. Include the stakeholder 31

10. Govern wisely 32

BIBLIOGRAPHY AND CASE STUDIES 33

GLOSSARY 35


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LIST OF BOXESBOX 1 Cameroon: mixing fruit trees and cocoa the benefits 3

BOX 2 Agroforestry in IFES development 5

BOX 3 Limits on timber harvesting in Central America 6

BOX 4 Inadequate research and extension services 8

BOX 5 The Grain for Green(GFG) policy in China:

compensating planting farmers 12

BOX 6 Improved fallow in Zambia: the limitation of by-laws 13

BOX 7 The promotion of arabic gum in Niger 17

BOX 8 National Steering Committee on Agroforestry (NSCA)in Malawi 18

BOX 9 Agroforestry policy in Kenya 20

BOX 10 France: a new agricultural policy recognizing

the role of trees in farm systems 24

BOX 11 A PES experience: Costa Rica 27

BOX 12 Public planning as a promotion tool?

The USDA Agroforestry Strategic Framework 20112016 30

BOX 13 An agroforestry programme: PINPEP in Guatemala 30

BOX 14 Area-based projects can enhance agroforestry systems:

Rural pacts in Quebec, Canada 31BOX 15 Agroforestry: you are the key 32

ACRONYMS AND ABBREVIATIONS

AFAF Association Franaise dAgroforesterie [French Association for Agroforestry]

ASF USDA Agroforestry Strategic Framework US Department of Agriculture

CATIE Tropical Agricultural Research and Higher Education Centre

CIRAD Centre de coopration internationale en recherche agronomique pour le dveloppement

[Agricultural Research Centre for International Development]

ICRAF World Agroforestry Centre

IFES Integrated Food-Energy Systems

iLUC indirect Land-Use Change

IPCC Intergovernmental Panel on Climate Change

PES Payment for Environmental Services

UNCCD United Nations Convention to Combat Desertification

UNFCCC United Nations Framework Convention on Climate Change

USDA United States Department of Agriculture


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FOREWORDAgroforestry systems include both traditional and modern land-usesystems where trees are managed together with crops and/or animalproduction systems in agricultural settings. Agroforestry is practisedin both tropical and temperate regions where it produces food andfiber, contributes to food and nutritional security, sustains livelihoods,alleviates poverty and promotes productive and resilient croppingand grassland environments. Agroforestry systems may also enhanceecosystems through carbon storage, prevention of deforestation, greaterbiodiversity, cleaner water and less erosion. In addition,

when strategically applied on a large scale, agroforestry enablesagricultural lands to withstand weather events, such as floodsand drought, and climate change.

Even though these benefits justify increased investment inthe development of agroforestry systems, the sector isdisadvantaged by adverse policies, legal constraints and lackof coordination between the governmental sectors to which itcontributes, namely, agriculture, forestry, rural development,environment and trade. It has not been sufficiently addressedin policy formulation nor has it been integrated into land-use

planning and rural development programmes. Tus thepotential of agroforestry to enrich farmers, communitiesand by extension, national economies, has not been fullyexploited.

o promote agroforestry in national policy frameworksand boost its impact, the Forestry Department of theFood and Agriculture Organization of the UnitedNations (FAO) in cooperation with the WorldAgroforestry Centre (ICRAF), the ropicalAgricultural Research and Higher EducationCentre (CAIE) and the Agricultural ResearchCentre for International Development (CIRAD) has prepared this guide, designed to assistcountries to support conditions that wouldoptimize agroforestrys contribution tonational development.

Eduardo MansurDirectorForest Assessment, Managementand Conservation Division

FAO/WalterA

strada

v


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his document is the result of a mult i- inst itut ional coll aborat ion involving specia li stsfrom various disciplines worldwide. It was initiated by the FAO-Finland SustainableForest Management in a Changing Climate Programme (GCP/GLO/194/MUL) andcoordinated and supervised by Michelle Gauthier, FAO Forest Assessment, Managementand Conservation Division. It benefited from c lose collaboration with CAIE, CIRAD andICRAF.

An open incept ion workshop, with more than 30 expert s, held in Rome, 7-8 June 2010,benefited from the advice of two special consultants: Jean-Marc Boffa and Grard Buttoud.A part ic ipator y process was put in place, w ith a task force coordinated by Grard Buttoud

(University of uscia, Italy) and composed of Frank Place and Oluyede Clifford Ajayi(ICRAF), Emmanuel orquebiau (CIRAD) and Guil lermo Detlefsen (CAIE) andMichelle Gauthier (FAO). A questionnaire was sent to specialists in several target countriesand 66 experts responded, both from government administrations and no-governmentalorganizations.

At a taskforce workshop held in Rome on 1517 March 2011, pre liminary results of thequestionnaires were presented and participants agreed on a process for developing the policyguidelines and choosing country c ase studies. he guidelines would not have been as richwithout the 15 case studies that were ultimately prepared, and spec ia l thanks are due tothe case-study authors: Andr Luiz Rodrigues Gonalves, Martin Meier, Andrew Miccolis,

Roberto Porro and Jorge Luiz Vivan ( Brazi l), Divine Foundjem ita (Cameroon), FranciscoCasasola Coto, Guillermo Detlefsen and Muhammad Akbar Ibrahim (Costa Rica andGuatemala), Carla Cardenas Monroy (Ecuador), Kiros Meles Hadgu (Ethiopia), Emmanuelorquebiau (France), J. Chris tine Wulandari (Indonesia ), Peter Gachie, Simon K. Kage,Frank Place and Philip W. Wamahiu (Kenya), Phiri Innocent Pangapanga and Oluyede Ajayi(Malawi), Julio Ugarte (Peru), Roberto Visco (Philippines), Luther Lulandala (anzania),and Gillian Kabwe (Zambia). he unedited final reports of these case studies, which are listedin the bibliography, are available on demand by contacting FAO. hey will be published in2013 as part of the FAO Agroforestry Working Paper series.

Grard Buttoud synthesized the various case-study contributions. he peer review processbenefited from substantial contributions by external experts and institutions, including

Frank Boteler, Jennifer Conje, Hubert de Foresta, Elise Golan, Michael Idowu, GillianKabwe, Luther Lulandala, Andy Mason, Andrew Miccolis, Georges Mountrakis, ConstanceNeely, Linda Parker, Roberto Porro, Sara Scherr, Michael Schoeneberger, Rita Sharma,Richard S traight, Bruce Wight, Christine Wulandari and J ianchu Xu. From FAO, thefollowing officers contr ibuted to the peer review : Carolin Anthes, Anne Bogdanski, JulienCustot, heodor Friedrich, Jean Gault, Henri George, Paolo Groppo, Fred Kafeero, IrinaKouplevatskaya-Buttoud, Lars Gunnar Marklund, Ewald Rametsteiner, Cesar Sabogal andMarja Lii sa apio Bistrom.

hanks also to Andranne Lavoie , I laria Doimo and Laurence Houssou (junior professionals) ,who efficiently dedica ted their short-term internships to this project.

ACKNOWLEDGEMENS

ACKNOWLEDGEMENTS


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Agroforestry systems include both traditional and modern land-use systems where trees are managedtogether with crops and/or animal production systems in agricultural settings. When designed andimplemented correctly, agroforestry combines the best practices of tree growing and agricultural systemsresulting in the most sustainable use of land. Agroforestry takes place in both tropical and temperateregions, producing food and fibre for better food and nutritional security. It also sustains livelihoods,alleviates poverty and promotes productive, resilient agricultural environments. In addition, whenpractised at scale, it can enhance ecosystems through carbon storage, prevention of deforestation,biodiversity conservation, cleaner water and erosion control while enabling agricultural lands to withstandevents such as floods, drought and climate change.

Te potential of agroforestry to contribute to sustainable development has been recognized ininternational policy meetings, including the United Nations Framework Convention on Climate Changeand the Convention on Biological Diversity, justifying increased investment in its development.

Yet agroforestry continues to face challenges such as, unfavourable policy incentives, inadequateknowledge dissemination, legal constraints and poor coordination among the multiple sectors towhich it contributes. Nor is it sufficiently addressed in national policy making, land-use planning andrural development programmes. As a result, its potential contribution to the economy and sustainabledevelopment goals has not been fully recognized or exploited. One of the policy challenges facingagroforestry in many countries is the emphasis on monoculture food, industrial agricultural crops andmechanised farming (often subsidized) discouraging the integration of trees into farmland. Moreover,

in some countries, the bureaucracy involved for accessing both land and tree-based products, combinedwith land ownership problems creates long-term uncertainty that further restricts agroforestry initiatives.Farmers may also perceive trees as incompatible with their farm operations and may not benefit fromprogrammes which offer training or access to tree related inputs (e.g. germplasm) to the extent that theydo for other agricultural enterprises. A lack of knowledge of the advantages of agroforestry inadvertentlyleads to the perception that it is peripheral to agriculture and is a low output subsistence system.

As the agroforestry industry is often impeded by legal, policy and institutional arrangements, itsenvironmental benefits unrewarded, and investment discouraged by the time between adoption andreturns, policies are needed that will promote the benefits of agroforestry. Te general objective ofthis guide is to assist countries to develop policy, legal and institutional conditions that facilitate theadoption of agroforestry and recognize its contribution to national development. Tis includes better

communication between sectors and the mainstreaming of agroforestry in national policies.

Tese guidelines were developed from a mix of workshops, structured interviews with experts, anddetailed national case studies from both the developed and developing world.

According to lessons learned, there are four critical conditions that encourage agroforestry:

it should be benecial to farmers and other land users;

there must be security of land tenure;

inter-sectoral coordination is essential;

good governance of natural resources is crucial.

EXECUIVE SUMMARY

EXECUTIVE SUMMARY


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In conclusion, the guidelines provide ten tracks for policy action:

1. Spread the word:Raise awareness of the benefits of agroforestry systems to bothindividual farmers and global society.

2. Revise the context:Appraise and reform unfavourable regulations and legal restrictions.

3. Secure the land:Clarify land-use policy goals and regulations.

4. Create a new approach:Elaborate new agricultural policies that take into account therole of trees in rural development.

5. Organize and synergize:Organize intersectoral coordination for better policy coherence

and synergies.

6. Provide incentives:Create a clear context for payments for environmental services.

7. Develop markets:Strengthen farmers access to markets for tree products.

8.Communicate the know-how:Enhance stakeholder information.

9. Include the stakeholder:Formulate or strengthen policy based on local peoples needsand rights.

10. Govern wisely:Engage in good governance of rural activities.

It is expected that the actions outlined above will contribute to the formulation of coherent,interactive and proactive public policies that support the development of agroforestry systems.

FAO/LucaTommasini

Haiti, Fort-Libert The manager of a local nurserywatering seedlings provided by FAO along with toolsand equipment to better manage the nursery.The aim of the project is to contribute to the growth anddiversification of agriculture, livestock and agroforestry

and improve natural resources management for themunicipalities of Fort Libert, Capotille, Ouanaminte,Ferrier, Mont-Organis.

EXECUIVE SUMMARY


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PART I - AGROFORESTRY: STRATEGY AND POLICY

hese guidelines are aimed primarily at all those involved in making policies at national andregional levels, such as decision-makers, civil servants and key policy advisors. Teir function isto support increased recognition of agroforestry benefits, facilitate the development of policiespromoting agroforestry systems and educate those that constrain agroforestry at the national level.

Te guidelines present a set of principles rather than prescribed methods. Tey advise how tointegrate agroforestry into policies, particularly helping countries to formulate policies for theirspecific conditions. Tey provide examples of good practices and success stories, as well as lessonslearned from challenges and failures.

Tey are designed as an entry point for policy creation or change. In cases where agroforestry

policy is completely absent, they can assist in creating awareness of agroforestry systems andshow how, through innovative policy design taking trees, crops and animal production intoaccount, policy issues can be addressed. In other cases, where agroforestry is recognized in policyframeworks, the guidelines can assist in improving the economic, social and policy context, so thatincentives for practising agroforestry are strengthened.

INRODUCION - HE GUIDELINES: WHA, WHO AND WHY?

FAO/JimHolmes

Indonesia, Banada Aceh Awoman buying fruits from avendor at an open air market.

Tree crops play an importantrole in the household economiesof rural Aceh. As a result of thetsunami and civil conflict many treegardens were damaged resultingin insufficient supply of fruits andvegetables. ICRAF and WINROCKsNurseries of Excellence (NOEL)Program aims to support post-tsunami Aceh rehabilitation andreconstruction efforts by improvingtree gardens with productive treecrops produced in community-based nurseries of excellence.

Te guidelines:

what, who and why?


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crops and pastures. In addition, trees bring nutrients from deeper soil layers, or in case of legumetrees, through nitrogen fixation, which can convert leaf litter into fertilizer for crops.

Agroforestry therefore serves to enrich farmers through the harvesting of diverse products atdifferent times of the year. It also brings job opportunities from the processing of tree products,expanding the economic benefits to rural communities and national economies.

Agroforestry systems can be conceived for spaces varying from plots to farms to landscapes. Atplot level, farmers may combine nitrogen-fixing trees with cereal crops. At farm level, they mayplant trees in woodlots or along boundaries, and at landscape scale communities may rehabilitatedegraded areas through trees and other vegetation. Effective agroforestry systems make themost of positive interactions between their various components, so that the final product is

more valuable than in the absence of trees, while the risks of failed harvests and dependence onchemical inputs are reduced. Even at plot level, where trees may compete directly with crops,experiments demonstrate that in well-managed agroforestry plots, trees have added value thatexceed any loss in crop production value. However, these outcomes are not guaranteed, soattention must be paid to the type of agroforestry system used and species selected.

Box 1 Cameroon: mixing fruit trees and cocoa the benets

The associaon of fruit trees with cocoa or coee

plantaons in Central and South Cameroon is a

tradional way to enhance land and resource use.

This system was developed during the mid-1980s

and 1990s, when the price of major export crops,

including coee and cocoa, dropped.

This agroforestry system:

reduces land degradaon and provides

benecial shade cover to cocoa plants, while

playing an important role in stocking carbon and

thus migang climate change.

provides an important alternave source of

income when other main cash crops are not in

producon, thereby contribung to regular and

stable rural incomes.

Cocoa agroforestry systems, enriched with fruit

trees, both indigeneous and exoc, may increase

annual household income substanally. This system

is very helpful to small-scale farmers with limited

land.

Today, some of these fruit tree-based agroforestry

systems are ageing and need to be renewed to

maintain the opmum benets.

ICRAF/CharliePye-Smith

ICRAFs new Vision of

Change project aims to

increase cocoa yields

through rehabilitating old

cocoa gardens using high-

yielding varieties of cocoa

and good agricultural

practices.


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Barriers to agroforestry developmentAlthough there is a growing body of scientific literature to illustrate the benefits of agroforestrysystems, there are also obstacles to its development and expansion. Te barriers impedingagroforestry discussed in the following sections are particularly significant.

Emphasis on industrial agriculture

While the conventional production of agricultural crops destined for the market is expected togenerate immediate income, investing in agroforestry may present various disadvantages.

First, the trees become profitable as they produce positive net present values over time, but thebreakeven point for some agroforestry systems may occur only after a number of years. Tis

implies that, unlike conventional agricultural, farmers may have to absorb initial net losses beforebenefitting from their investment. Tis may reduce their enthusiasm for investing in agroforestry.Also, agroforestry markets may not be as well established as they are for commodities fromindustrial agriculture. Terefore, typical projects and programmes that need to demonstrate animpact within a short duration will hardly consider agroforestry as an option.

In the case of industrial production, agroforestry may restrict the use of mechanization andtherefore the use of inputs such as fertilizer. In addition, policies and incentives for agricultureoften promote monoculture systems, as in the promotion of oil palm plantations, and the amountof credit supporting this may impact negatively on agroforestry development. For instance, taxexemptions are usually aimed at industrial agricultural production. In Brazil, sizeable tax cutsare offered to farmers producing biofuels provided that a portion of the feedstock is sourcedfrom smallholders, regardless of the cropping system adopted. Such incentives are currentlyencouraging the rapid extension of oil palm plantations in vast areas of the Brazilian Amazon.

Agricultural policies can also discourage farmers from practising agroforestry. Examples areagricultural product price supports or favourable credit terms which are granted for certainagricultural activities but hardly ever for trees. Tis is particularly so where inputs are subsidized,encouraging farmers to favour immediate benefits over long term ones. Zambia and Malawiare good examples, where the government subsidizes fertilizer for agricultural production forrural producers. By not including agroforestry in the benefit package the system is discouraged,even while agricultural production becomes more economically dependent on imports and lessecologically sustainable.

Market information systems have recently been introduced in some countries, but they oftendo not include tree products. As such, markets for tree products are both less efficient and lessdeveloped than for crop and livestock commodities.

Most research and development efforts are focused on short-term monoculture cropping systemsand less effort is placed on the potential for improved varieties in multispecies agroforestrysystems. Breeding for agroforestry conditions (such as shade tolerance, root morphology, structurephenology) is virtually unexplored.


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Finally, policy-makers lack knowledge, not only of the benefits of agroforestry notably, the income-earning potential of tree products and the soil-enhancing services they provide but also of thenegative impacts of conventional agricultural and forestry production methods. A common beliefis that introducing trees into fields will negatively affect the growth of agricultural crops. However,in northwestern India extensive integration of rows of poplar trees into wheat and barley farmsby smallholders significantly increased income without any loss of crop production. Te generalperception of agroforestry is that of an activity peripheral to agriculture and other forms of land useand farmers engaged in it may be seen as inferior and old fashioned, compared with those practisingmonoculture.

Unclear status of land and tree resources

Unsecured or ambiguous land tenure, common in developing countries, results in confusion aboutland delineation and rights. Rights to trees may be separate from rights to land and both land andtree tenure insecurity may discourage people from introducing or continuing agroforestry practices.

In many places, lack of long-term rights to land inhibits long-term investments such as agroforestry.When the rights to land are not clearly stated by law, the absence of legal recognition makes any othermeasures ineffective. Tis can manifest itself as a conflict of interest between the state and land users,especially where state ownership of land appears to be the main inhibitor of action.

Tere are various types of tenure insecurity. In many cases, tenant farmers, especially migrants, do notplant or manage trees because tree products belong to the owner. If people do not have title to land,there is a perception that there is no point in investing in trees, which can take a long time for benefits

to be realized. Competing claims of tenure rights, such as seasonal rights to communal grazing, andwild fires, can jeopardize the protection of trees. Moreover, recent attempts by some governments toattract large-scale foreign investors have heightened the insecurity of rural communities.

In Cameroon, a 1974 land law gave all citizens the right to register and own land, but the proceduresinvolved in obtaining land certificates are too complicated for many rural people. As a consequence,most farmland in rural areas is obtained through informal customary land rights, while legally ownedby the state, creating a sense of insecurity. In addition, trees growing on land with no title also belongto the state. In those conditions, why would farmers have any interest in planting or managing trees onfarms? Yet, if potential returns can be made with little investment, farmers may plant trees whatever theland tenure rules; right of tenure, while being a parameter, has to be balanced with prot expectations.

In some cases, forest regulations inhibit tree growing on farms by restricting the harvesting, cuttingor selling of tree products and certain tree species; or forest services may control the managementand harvesting of trees through permits so that farmers who introduce trees into fields are not freeto manage the tree products as they wish. In turn, the permits may be difficult to obtain because ofbureaucracy, or harvesting may be forbidden altogether. Although sometimes well intentioned, suchprotective measures, when applied to agricultural landscapes, discourage farmers from planting andprotecting new seedlings that emerge.

As far as land tenure is concerned, there are some constraints that are common to most developingcountries. In both legal and customary practice, women and other vulnerable groups, who may needto grow more food (and thus to develop agroforestry), have limited access to land and resources.

Terefore developing private property through tenure laws may create a gender imbalance in landownership, calling for more innovative approaches.


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Generally, tenure rights to farmland are more privatized where population pressure is higher orcommercial opportunities are increasing. In such cases, this may result in a positive impact onlong-term investment in agroforestry.

Adverse regulations

Multiple legal restrictions on multifunctional land management and complicated taxationframeworks also restrict agroforestry development. Frequently the agricultural policy itselfpenalizes practices needed to implement agroforestry, while supporting a large-volume, large-scaleapproach to agricultural, food and fuel products.

axes applied to agricultural production may penalize agroforestry practices, as was the casewith the Common Agricultural Policy of the European Union before 2001, when farmers

subsidies were based only on the surface area of crops. Between 2001 and 2010, beginningwith intercropping systems, all agroforestry systems progressively became eligible for subsidiesestablished by the policy, and now all agricultural lands are eligible, regardless of the degree oftree cover, except for forests and lands used for non-agricultural production. Te tax regime mayalso be less advantageous for forests compared with agricultural lands, as in the example of France(Box 10).

Often, when a system exists to assist rural development activities, concretely promoting anagroforestry project requires the use of complicated bureaucratic chains to access such support,for example the collaboration between agriculture and forestry ministries. In most cases, the legalframework acts as a disincentive; whether this is intended or not, the law ultimately benets large

farms and investors exclusively.Even in cases where a specific programme targets agroforestry development, some provisionsmay restrict the introduction of trees on farms, such as in the Philippines, where the UplandsAgroforestry Programme targets public support for those planting more than 50 ha, while mostagroforestry managers are currently small-scale farmers.

Lack of coordination between sectors

As an intervention affecting multiple sectors including agriculture, forestry, livestock, ruraldevelopment, environment, energy, health, water and commerce agroforestry is often subjectto policy conflicts and omissions, creating gaps or adverse incentives that work against its

development. In addition, when policies are restricted to exclusively sectoral bureaucraticregulations, mistrust between farmers and decision-makers is the result.

In many countries, in principle, agroforestry is regarded as belonging to all sectors, but in practice,it belongs to none and rarely occupies a special line in a governmental body or has its own policyspace. It falls between the agriculture, forestry and environment departments, with no institutiontaking a lead role in the advancement of agroforestry or its integration.

Agriculture departments emphasize crop production on agricultural lands; thus agriculturalpolicies directly contribute to excluding trees from farms and the landscape. Some forestrydepartments do not believe it is possible to grow good quality, widely-spaced timber on farms andhave little interest in non-timber trees or the growing of trees with crops and/or livestock on the

same plot of land. Yet, forestry departments are usually mandated to multiply and disseminateall types of tree germplasm. Moreover, environment departments may dislike regulated rows,


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intensive management and chemical control of weeds. Tis dichotomy exists even where a strongstrategy for developing agroforestry is in place: in Malawi, for example, although agroforestryis clearly highlighted as a technical solution in both the Forestry Act of 1997 and the NationalEnvironment Policy since 2004, agricultural policies still support the extension of cropland, whileforestry policy promotes conservation and full afforestation.

In conclusion, the harmonization and synchronization of policies and programmes require acombination of policy attention across the departments in charge of rural development, land use,agriculture, forestry, environment, finance and commerce, at both national and local level.

Why promote and regulate agroforestry through policies?

While the technological and biological aspects of agroforestry systems are important, they arenever sufficient to guarantee their adoption or maintenance by farmers: social and economicfactors are usually important as well. Tis implies that the policy and institutional context shouldplay a significant role in the development of agroforestry. In addition, due to its long-term nature,adoption may not take place in a policy vacuum, as it often has to be facilitated by a conducivepolicy and by national and local institutional arrangements. Te following issues lay out thereasons why the right policies are crucial for agroforestry development.

To eliminate legal and institutional constraints on agroforestry

An effective policy has to create the conditions for a public or private activity to contributesustainably to the general welfare of the country. Where relevant science-based models ofdevelopment exist as is the case for effective agroforestry techniques and practices thosesolutions should not be impeded by regulatory constraints or prohibitions. In many cases, thesepolicy failures can override others, so their revision is critical to wider adoption.

To support positive outcomes of agroforestry

Agroforestry generates significant public ecosystem services, such as watershed protection, soiland biodiversity conservation, carbon sequestration and avoided emissions, as well as minimizingclimatic and financial risks. Yet without government involvement in providing greater incentives,the level of private investment in agroforestry will always be less than socially optimal.

When correctly designed and implemented, agroforestry, especially at landscape level, has manybenefits that contribute to the sustainability of local communities and to larger ecosystems uponwhich populations depend. However, these environmental and economic services may not bevalued by the market, meaning that development actors and farmers have to assume the costs ofproduction and land-use systems that nevertheless benefit the nation. Any kind of financial andtechnical support to farmers who are introducing trees onto fields can be considered a form ofpayment for environmental services (PES).

Without policy support, some existing agroforestry models will be underinvested and may notbe sustainable. For example, in some parklands of sub-Saharan Africa increased grazing pressurewill imperil the regeneration of trees, unless local institutions can identify modified grazingmanagement strategies.


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Box 5 The Grain for Green (GFG) policy in China: compensang planng farmers

The Grain for Green (GFG) programme was

introduced in 1999 in China, with the aim

of reforesng uplands to reduce erosion,

downstream ooding and rural poverty.

The policy consisted of providing grain, saplings

and/or subsidies, over a period of ve to eight

years in the rst phase, to be extended for another

ve to eight years, to encourage up to 30 million

rural households to voluntarily convert part of

their cropland to forest/grassland, especially

on slopes. To support this strategy, the forest

law was revised to recognize the importance

of compensaon in return for environmental

services.

The central government used scal transfer

payments to oset the reducon in public

revenues caused by the GFG, while local

governments were expected to contribute to

transport and training expenses. From the trial

to full implementaon, GFG applied a top-down

procedure consisng of a vercal administrave

hierarchy.

The interest of farmers, considered core

implementers of the programme, was especially

high, and the level of compensaon somemes

exceeded the previous agricultural revenues.

Those condions led to a spectacular development

of agroforestry technologies aer 2001, mainly

through fruit tree intercropping.

By 2010 the GFG programme covered more than

15 million ha in 20 provinces.

ICRAF/photoarchive


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Drivers of agroforestry developmentTe main drivers of agroforestry development are both contextual and internal.

Contextual drivers

In many cases, prevailing conditions in society and institutions determine the development ofagroforestry systems. Tose conditions usually combine ecological drivers, on the one hand, withsocio-economic and cultural factors on the other.

When population density is high on a limited area of arable land, pressure to maximize land useleads to an increase in agricultural practices and demand for soil maintenance. In such conditions,agroforestry models can help solve this dilemma, providing a variety of products while conserving

the future production capacity of the land. One of the main effective drivers of agroforestry maybe that, in high population areas, there is no more bush or forest available to support a shiftingsystem of production or to provide for fuelwood and other tree products.

Urbanization and industrialization are boosting markets for a wide range of commodities. Wherethere has been deforestation there is also a high demand for products drawn from agroforestrysystems, especially when certification and organic or environment-friendly labels can openopportunities in higher value green markets.

In addition, in some places smallholders have no access to mineral fertilizers, because of the highprice and lack of subsidy. Tis is the situation in many African countries, where it constitutes amajor driver of agroforestry. In other places, a lack of well-defined land boundaries may also be an

incentive for farmers to plant trees as live fencing also a form of agroforestry to create privateareas and reduce conflicts.

Te particular importance of external contextual factors explains why a policy promotingagroforestry does not necessarily have to address the components of agroforestry systems,themselves, but rather the contextual characteristics of agroforestry practices.

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Internal capacitiesAgroforestry development is also driven by leading actors and early adopters who can promoteagroforestry systems.

When small and medium-size producers have guaranteed access to land and to tree productmarkets, they can actively engage in agroforestry. Under such conditions farmers can compareexperiences and exchange inputs leading to the diffusion of information and an expansion ofagroforestry systems.

Te private sector, including companies and trade associations, can also play a significant role increating awareness of agroforestry practices that produce a relatively higher-value product, such asfruits. With new agroforestry systems, such as improved tree fallows and fodder shrubs, demand

needs to exist or be created before private-sector support can be expected.In other contexts, rural community dynamics may serve as a driver of locally based practices,including agroforestry. Tis may be the case in community-based forest management, which canstrongly promote the integration of various systems and optimal use of land.

Policy commitment and compensation

Nevertheless, agroforestry development using specific policies is not a sufficient solution on itsown. Te role of policies as drivers is mainly to create a favourable economic and institutionalenvironment, in which private local actions can be carried out without significant restrictions.Permanent or temporary incentives, including subsidies, aimed at establishing markets and

decreasing economic risk in the long run, can enable farmers to get involved in agroforestry.In a context where control is limited, such as when tree planters have to be registered, localorganizations can play an active role in development.

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Agroforestry:

which policies?

Lessons from success stories

Some lessons can be drawn from an analysis of the development of national policies supporting agroforestry

systems.

Agroforestry exists only where it is beneficial to farmers

Agroforestry systems prove successful and sustainable only when they have direct benefits forfarmers. Tere is no agroforestry success story if incomes decrease considerably, even if only fora temporary initial phase. In most situations, farmers may not be willing to wait out a lengthy

investment phase before realizing revenues. Strategies to fill the initial gap are often necessaryto the adoption of agroforestry systems. For example, in Rio Grande do Sul, Brazil, smallholdersplanting bananas in association with palm trees sell the fruit for a higher value through bettermarketing channels, thus offsetting the lower yields that result from not using chemical inputs.Generally speaking, if trees are to be introduced into existing cultivated fields or pastures, short-term income is maintained by introducing low tree densities while intensifying agriculturalpractices. After some time, the tree products and services will boost income with the aim ofraising overall system productivity.

If there is a clear risk of decreasing short-term revenues, although important social andenvironmental benefits are expected in the long run, policies should aim to create a beneficialcontext for farmers introducing trees. For example, it is possible to design agroforestry systems

where a temporal sequence of different crops ensures that some annual commodities are harvestedat all stages of tree development (for example, light demanding crops while trees are still small,and more shade-tolerant crops at a later stage).Te importance of economic considerations partlyexplains why most success stories in agroforestry development did not involve significant inputsfrom governmental agencies. In fact the private sector has played a significant role in creatingawareness of agroforestry and supplying seedlings (Box 7) although this may create a culture ofdependency.


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PART II - AGROFORESTRY: WHICH POLICIES?

Box 7 The promoon of arabic gum in Niger

The high commercial value of arabic gum has led

to the planng of 200 ha ofAcacia senegal and

Acacia seyalin the region surrounding Niamey,

iniated by the gum processing companies. Some

40 000 seedlings were distributed free of charge

to interested farmers, and producon ranges

from 8 to 20 tons, depending on the year. Exports

of gum have reached 1500-2000 tons a year.

This development, which fosters a regeneraon of

the whole parkland, is directly dependent on the

commercial interests of the companies in charge

of distribuon of the product. It is quesonable

whether free distribuon of seedlings to farmers

is a good soluon, as it creates economic and

technical dependency instead of promong

innovave behaviour. However, this case

provides an example of a situaon in which

the maintenance of trees in rural areas derives

directly from market demand.

Acacia Operation. Support to Food Security,

Poverty Alleviation and Soil Degradation

Control in the Gums and Resins Producer

Countries (Burkina Faso, Chad, Kenya,

Niger, Senegal, Sudan). A local villager

tending a crop of acacia trees showing the

sap or gum arabic that is harvested for

eventual sale to a processing plant. (FAOProject)

Security of tenure rights is important

More than in other agricultural systems, trees on farm require stability and security of tenurerights. Tis is a significant issue in many developing countries.

Due to the longer period relative to annual crops through which farmers testing, adaptation andeventual adoption of agroforestry technologies takes place the importance of property rights is

greater than in many other types of agricultural enterprises and practices.A clear guarantee of tenure rights can support a farmers strategy to invest in trees on farms,including in cropland. Only then can farmers as investors make plans with the confidence thatthe parameters shaping their long-term vision will not change. Tere are few agroforestry successstories in an uncertain land tenure context.

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Agroforestry is encouraged where associations of smallholders and community-based forestmanagement are supported by public authorities. In the case of customary agroforestry systems(such as parklands and coffee/cocoa associated with fruit trees), a land title may not be essentialbecause the customary tenure systems may have evolved towards providing sufficient privaterights (e.g. as population density has increased). Moreover, management of common propertyresources can be achieved if local people are given the right to organize themselves. Agroforestryactually offers a means for solving tenure conflicts: when there is competition for land orsuperposition of uses, it can help farmers settle in a specific area and allow both intensification ofpractices and interplay between livestock keepers and cultivators. rees are also planted aroundboundaries to demarcate property rights between farmers.

Agroforestry links sectorsAgroforestry requires coordination and collaboration by high ranking decision-makers invarious sectors, especially the agricultural, environmental and forestry bodies. Tis connectionbetween various public services may help where specific measures are elaborated to supportthe process. Tere is need to align visions of success across sectors. While agricultural ministersseek to improve food production, forestry ministries are keen to raise overall tree resourcesincluding those from farms and thus the two visions may come into conflict. At the level offield implementation, where forestry departments have the mandate for provision of quality treegermplasm, it needs to work with agricultural and environmental departments in identifyinguseful species for farms or riparian areas.

Box 8 Naonal Steering Commiee on Agroforestry (NSCA) In Malawi

Created in 1993 and chaired by the departments

in charge of agricultural research and land

resource conservaon, the Naonal Steering

Commiee on Agroforestry (NSCA) oversees

issues relang to agroforestry. The inclusion of

governmental bodies from various departments,

NGOs and donors acve in agroforestry is an

important strength.

The NSCA helps to disseminate success stories

and links science to pracce at eld level.

It promotes priories for research, reviews

interesng technologies and establishes

priories for disseminaon. Such a commiee

can encourage the best use of research

resources, reduce duplicaon and prevent the

promoon of failed or limited technologies. It

could take a stronger role in strategic issues,

for instance establishment of a road map for

enhancing agroforestry strategies within the

naonal forest policy.

This type of exible and open structure may

play a signicant role in promong policies,

without needing to change the whole context of

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A strict enforcing of forest management rules promotes agroforestryIn the State of Worlds Forests 2005, FAO observes that in many countries bans on cutting treesmay be a disincentive for tree planting on farms. Across all tropical regions, there are manycountries which have highly restricted the cutting and management of a range of speciesvalued by farmers, requiring costly permits. Mechanisms are needed to exempt trees plantedin agricultural landscapes from such regulations. On the other hand, appropriate regulation ofharvesting and effective penalties for illegal activities in natural forests could be an excellentmotivation to integrate trees into farms. Under such conditions, industries are encouraged todevelop new sources of wood supplies. Te resulting rise in wood product prices would maketimber-growing more attractive to farmers. Such dynamics have occurred in India and Kenyafollowing logging bans in forests.

Where agricultural crops and forest products are not subject to effective sustainable managementpractices, there is no incentive to use resources well. Labour productivity in uncontrolled shiftingcultivation and illegal wood harvesting is higher than in a regulated system like agroforestry. Aslong as a collective forest resource is considered open access (for forest products and land), andwhere regulation and monitoring are weak, farmers practising shifting cultivation may not wishto intensify production. In some African countries, a lack of control of and of the will to control the bush fires set in some seasons to hunt mice and regenerate grass hinders the introductionof trees into fields. Common efforts to better manage and restrict those fires would supportagroforestry development.

Poor regulation of state owned and managed woodlands and forests has led to undervaluing

concessions and stumpage charges, resulting in an oversupply from those sources and anundersupply from farms. A weak governance context leads to instability and eventually tounsustainability of the local economic system. It never promotes complex integrated systems suchas agroforestry.

Tanzania: Shinyanga SoilConservation Programme.Woodlots provide significant

income for farmers. (ICRAFProject)

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Policy decision-makers must believe in theprocess that agroforestry developmentis a good solution. For this to happen,the importance of agroforestry must bedemonstrated within and beyond the fields

of agriculture and forestry, using rigorousevidence and a critical mass of tangiblearguments. Tis may be done through involvinginterested stakeholders from relevant sectors

and quantifying the cost and benefits ofagroforestry at both national and local level.Such data are of particular importance whenassessing financial incentives for farmers in theframework of field projects. Te argument may

be stronger when based on specific criteria andindicators that define the best local practices inagroforestry and provide conditions for policyintervention.

Spread the word

Raise awareness of the benefits of agroforestry systems to farmers and

global society

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A secure framework for tenure rights is aprerequisite for strong agroforestry development.Tis does not necessarily mean completeprivatization of land to freehold, (which oftencreates obstacles to poverty reduction andgender balance and is not always necessary

to secure land access) but a clarification andconsolidation of community-based rules. Landtenure security is essential to social equity, andshould be a priority for governments. Tis maymean reforming farmers rights to access not onlyland, but also to the resources sustained by theland. Tis could involve linking land and treetenure, developing a legal standard protectingfarmers and devolving rights and responsibilitiesfor trees. However, formal land titling may notnecessarily be the best option. Research has

found that some customary forms of tenureprovide the security to plant trees, while reducingthe formalities and costs of administration. Newinexpensive means of providing certificates of

land ownership are also increasingly used whereinsecurity is perceived to be high.

In some cases, the law could require thatthis reframing of tenure regulations wouldallow farmers to become owners of the landin exchange for a code of conduct promotingsustainability (including agroforestry). In othercases, leases and tenant contracts can be modifiedin favour of agroforestry practices, such asthrough conditional environmental leases withnatural resource conditions to be met at theend of the lease period. Additional measureslinking agroforestry development with landscapeplanning and village land-use management canhelp. Depending on the social and ecologicalcontexts, community-based land management

may be promoted under detailed rules acceptedby all stakeholders. Whichever tenure system isadopted, it must be clearly stated and must pavethe way to sustainable rural practices.

Secure the land

Clarify land-use policy goals and regulations

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Box 10 France: a new agricultural policy recognizing the role of trees in farm systems

In France, the recognion that agroforestry systems

should be encouraged by public measures was slow,

but a complete change in concept and strategy

occurred in the 20002010 period.

In 2001, at the European level, tree-based

intercropping systems were accepted for access

to funding support from the Common AgriculturalPolicy of the European Union. In 2004, the European

Commission launched Arcle 44 for support to

agroforestry. Known as Measure 222, it had to be

formerly validated in naonal or regional rural

development plans before becoming eecve. In

2006, agroforestry plots of fewer than 50 trees/ha

were declared eligible for European subsidies.

In France, there were dicules in adapng

Measure 222 to the naonal tax regime but aer

strong lobbying by AFAF, the measure was adopted

naonally in 2010, giving access to subsidies for

agroforestry plots from 30 to 200 trees/ha. In

the new regulaon, trees in elds are considered

producon factors and do not decrease the surface

area eligible for subsidies. Since then, agroforestry

plots have been fully recognized as agricultural

areas, opening the possibility for tax and funding

advantages, although fences are excluded from the

regulaon. The state devolves the task of funding to

the regions, which has led to some heterogeneity in

applying the system.

In many countries, agricultural and forestryspheres are completely separate and supportedby distinct policy measures and mechanisms.Te dominant technical and economicmodel is based on monocropping of annual

and perennial crops and segregated treeplantations following silviculture methods.Reflection on the societal and environmentalrole of agriculture has generated critics ofboth models, so that a new approach torural production is emerging. Agroforestrymust be considered part of the sustainableintensification of agriculture approach, suchas in the conservation agriculture (CA) model

promoted by FAO, as a multiple servicesprovider, and not only as industrial production.Terefore agricultural policies that promoteenvironmental conservation, economicperformance and social equity are essential.

Tey may include tax reform, grasslandintegration and landscape rehabilitation.

In some cases, such as in France (Box 10), asignificant change in considering the role oftrees in farming systems came from a jointlobbying effort by scientists and producers,grouped under the French AgroforestryAssociation (AFAF), directed at nationaldecision-makers.

Create a new approach

Elaborate new agricultural policies that acknowledge the role of trees

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In most cases, institutional reform and relatedarrangements should reorganize departmentalresponsibilities and improve coordinationbetween sectors. Tis can be done by creatingconsultative bodies and a strategy for fosteringcollaboration among staff of differentgovernmental departments and ministries.Tis reframing should be used only whenclear official policy statements have beenapproved (and not before, as has happened inmany countries). Tese types of institutionsare not the most important part of the policy;but they are a key tool for implementing aclear strategy. Multi-stakeholder forums andinter-departmental meetings can coordinatethe planning and implementation of various

ministries, and public agencies and otherpartners can jointly identify priorities andstrategies. Trough decentralization, localgovernments can play an important role incoordinating the approach to agroforestry

development and in creating synergies amongthe multiple sectors. Addressing strategiesat this level also brings local governmentcloser to the management decision-makinglevel. Since agroforestry is practised mainlyon farms, it is preferable that inter-sectoralcoordination should be given to agriculturalagencies. Integrated land use planning throughstakeholder-based participatory approachescan provide the necessary inter-sectoralcoordinating and negotiating platforms (formalor customary, at different administrativelevels within a country). Trough such anapproach, stakeholders can assess trade-offswhen considering potential changes in landmanagement and use (including agroforestry),

thus informing the policy dialogue.Agroforestry should also bring together urbanand rural areas (territorial approach) andcontribute to a multifunctional productionsystem (landscape approach).

Organize and synergize

Organize intersectoral coordination for better policy coherence and

synergies

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Box 11 A PES experience: Costa Rica

Costa Rica enjoys one of the most advanced

naonal systems of payment for environmental

services (PES). A naonal forestry nancing fund

(FONAFIFO) was created in 1996 through a selecve

tax on hydrocarbon consumpon, part of which

was assigned by law to subsidize forestry acvies.

It was formally extended in 2002 and 2005 to

agroforestry and silvopastoral systems, according

to number of trees per hectare and under specicmonitoring regulaons. Supported by naonal and

internaonal donaons, FONAFIFO aims to nance

small and medium-sized producers through credits

and other mechanisms employing a decentralized

procedure. This mechanism, desned to promote

the introducon of trees on farms, contributed

strongly to reforestaon and aorestaon in Costa

Rica on private and community lands, especially

through agroforestry systems. Over the last eight

years, more than 10,000 contracts have been signed

under PES for agroforestry, corresponding to the

planng of more than 3.5 million trees on farms.

Among the main barriers that producers in the

programme are facing, are the transacon costs (27

percent of the amount paid) and the bureaucrac

hurdles and slowness in the processing of PES

applicaons.

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Introducing or maintaining trees in farmingsystems is profitable only if farmers have accessto markets in which to sell tree products. Apolicy promoting agroforestry should be basedon developing market access, including sound

market information for tree products.Markets are important to meet the demand fortree products which is ever growing. Marketsalso increase the value of tree products which,with proper regulation, will foster improvedmanagement of trees, avoid the destruction ofnatural forests and substitute an unsustainableland-use system with a more appropriate one.Demand for tree products or services at thehousehold and market level is an importantconsideration in tree-planting promotion

efforts. Similarly, assistance to identify and

develop markets can be an effective incentive totree planting on farms.

Domestic markets can provide significanteconomic opportunities for small-scaleagroforestry producers in certain product

markets, where they enjoy competitiveadvantages such as lower cost structure andbetter monitoring and protection.

It is essential to remove policy barriers tosmall-farm participation in markets bycreating a fair and open competitive marketenvironment for business development,providing macroeconomic stability, investment-friendly strategies and infrastructuredevelopment, and involving farmers

organizations in policy negotiations.

Develop markets

Strengthen farmer access to markets for tree products

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Agroforestry needs specialized extension servicesand support to farmers together with backingfrom farmers associations so that farmers learnthat well-managed agroforestry practices arecompatible and not in conflict with the aim of

increasing agricultural production in the shortand long term. Te issue of germplasm foragroforestry trees is therefore fundamental, asmost countries do not have enough germplasmto scale up the planting of many beneficialagroforestry species. Moreover, there is verylittle work on improving germplasm quality fortrees, as is the case with annual crops. Farmeracceptance very often comes from a disseminationstrategy based on participation by local producers.In the Sudano-Sahelian parklands of southern

Niger, the mastering of natural regeneration hascome directly from this strategy.

Te dissemination process needs to beprogrammed with campaigns for agroforestrypromotion, including plot demonstrations,

regional toolkits and other forms of education.Farmer-to-farmer and peer-to-peer trainingshould be expanded through local organizations.

In some cases, a conceptual framework foragroforestry is useful for organizing information

and guiding the analysis of factors associatedwith agroforestry development. It can helpidentify the resources needed to harness thenational or subnational agroforestry potential.Te framework may be national, as in theexample of the United States Department ofAgriculture (USDA) (Box 12), or regional.

In the Philippines, the Upland AgroforestryProgram, launched in 2005 by the Departmentof Environment and Natural Resources, aims to

reduce poverty by increasing productivity andemployment through the creation of agroforestryfarms and plantations of 50 ha and above on4 million ha of degraded and unproductiveforestland.

Communicate the know-how

Enhance stakeholder information


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Box 13 An agroforestry programme: PINPEP in Guatemala

The Programme of Forestry Incenves for Owners of

Small Plots of Land Used for Forestry and Agroforestry

(PINPEP) was created in Guatemala in 2010 to

promote the introducon of trees on small farms

(less than 15 ha), with the aim of providing support

to small producers using agroforestry systems. These

farmers receive incenves for the year of plantaon

establishment and two years of maintenance. To

restrict the mechanism to small farmers, applicants

must demonstrate that they do not benet from any

other programme. PINPEP has been adopted at naonal

level, although aimed at a priority area composed of

municipalies suering from poverty. A management

commiee leads PINPEP, supported by a technical

commiee in charge of monitoring and evaluaon. More

than 45 000 people (23 percent of whom are women)

located in 79 poor municipalies, have beneted from

PINPEP. Supported by internaonal donors during the

inial phase, the programme has been enrely funded

by the Government of Guatemala since January 2012.

Box 12 Public planning as a promoon tool? The USDA Agroforestry Strategic Framework 20112016

In the United States, acceptance of agroforestry by

farmers and landowners is generally low, except

where government conservaon programmes provide

assistance. However in 2010, the USDA (US Department

of Agriculture), with input from a diverse group of

stakeholders and experts, recognized the need and

opportunity to expand the applicaon of agroforestry

to increase protability and benets at farm scale, as

well as to address larger issues at landscape scale. The

laer included cleaner water for communies and large

ecosystems (such as in the Gulf of Mexico), biodiversity,

and an increase in the resilience of agricultural lands

to weather events (such as oods and drought) and

climate change. This approach was formalized in 2011

with the USDA Agroforestry Strategic Framework

20112016 (ASF), dedicated to increasing awareness

and creang a roadmap for advancing agroforestry

research, technology transfer and applicaon.

The ASF includes three strategic goals:

(i) adopon: develop partnerships with local

stakeholders, educate professionals, support

internaonal exchange of experiences;

(ii) science: plan needs and conduct research;

(iii) integraon: incorporate agroforestry into

agricultural policies and programmes, assess

performance and communicate the results of

experiences.

An Agroforestry Execuve Steering Commiee

(represented by execuves from seven USDA agencies)

has been established to guide implementaon of the

ASF, which has 40 strategies for acon. The ASF strategy

aims to develop a USDA agroforestry policy statement

and, in the next Farm Bill, to legislavely dene

agroforestry and specically authorize its applicaon in

conservaon and natural resource programmes.

In Indonesia, some programmes of social forestdevelopment providing greater tenure securityto local communities and farmers on forest landsofficially belonging to the state have led to clearprogress in developing agroforestry systems.

In many cases, the strategies developed to promotecommunity-based and collaborative forestmanagement may contribute directly to enhancing

agroforestry systems, because they address theissue of satisfying local needs at the right level.Given the limited capacity of governmentextension staff, diffusion of agriculturaltechnologies including agroforestry has tendedto emphasize cost-effective models that rely onfarmers and farmers groups to help disseminateinformation to a larger number of other farmers.


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Box 14 Area-based projects can enhance agroforestry systems: Rural Pacts in Quebec, Canada

New styles of policy-making, based on support to

local projects, can contribute to the development of

agroforestry.

This is the case in the province of Quebec (Canada)

where Rural Pacts constute the main policy

tool for rural development. They consist of formal

agreements between the Ministry of Municipal

Aairs and Regions and regional agencies, which

receive funding to implement a specic, validated

programme of acvies. In the region of Haute-

Gaspesie, this public arrangement has led to a

signicant increase in the adopon of agroforestry

systems.

In this example, the boom-up character of

the public decision-making process guarantees

consideraon of expressed local needs, and

thus contributes to a high level of acceptance of

agroforestry systems by farmers.

All stakeholders involved in agroforestry,including farmers, pastoralists and especiallywomen and other vulnerable groups, mustparticipate in identifying the resources neededto adopt new technologies. In some cases,agroforestry is responding to a demandfrom farmers and local populations, whilenot being included in government policiesand programmes. A participatory approachinvolving wide stakeholder consultationand including local organizations canidentify when and where agroforestry maypromote sustainable development. Policyconsiderations need to be based on humanrights provisions and approaches aimed at

empowering local people in a sustainable way.Special support must be provided for researchin tree management, as well as in differentcombinations of trees, crops and/or livestock,to produce the products and services desired byfarm families and the market.

Community-based institutional mechanismsare particularly relevant in impartinginformation to farmers, that may includebusiness skills, market produce and qualitystandards. Policies should be based on theneeds and legitimate claims of local people andon a validation of local knowledge, creatinga solution through a systematic transparentnegotiation. It is important to assist localpeople to become involved in processes thatrecognize their needs. In some countries whereimplementation of land policies and lawscontinues to be problematic, the concept ofcommunity-led reform should be emphasized.

In places where population density is high

and agroforestry practices are established(for example, parklands in Africa), localarrangement of rights and duties needs to bebased on local customs to be adapted to solveexisting problems.

Include the stakeholder

Formulate or strengthen policy based on local peoples needs and

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No policy can work when decisions are notproperly applied. As with other strategies maybe even more so in the case of agroforestry,because of its special need for sustainabilityand permanence a proper implementation of

decisions and regulations is required.In all places where the legal framework isweak or poorly implemented, it is moreattractive to continue illegal practices in thesurrounding wooded area rather than tointensify agricultural production in a restrictedarea through integrating trees into farms andlandscapes.

Decentralization is also usually presented asa relevant framework for agroforestry systems

development. When decision-making isdecentralized local institutions can exert theirrole in choosing appropriate interventionsbecause they have direct knowledge of existing

conditions, capacities and problems. Tese mayinclude strengthening networks of producersat local level, protecting local rights at regionallevel, and reforming financial and tenuresystems at national level. As in other kinds

of policy enforcement, the policy reform onwhich to base a solution can be a combinationof market-based tools along the lines of theprovider gets/polluter pays principle. Tisshould be considered when revising agriculturaland forestry regulations, together with a clearstrategy to promote the benefits of agroforestry.Tis combined solution may be more effectivewhen based on cooperation by institutionsand a strong commitment by the governmentto promote agroforestry systems, (and other

models that sustainably optimize economic,environmental and social benefits and servicesfrom rural resources).

Govern wisely

Engage in good governance of rural activities

Box 15 Agroforestry: you are the key

Delegates from more than 100 countries took part

in the World Agroforestry Congresses organized

by ICRAF (the rst in Florida, United States, in

2004; the second in Nairobi, Kenya, in 2009).

Parcipants noted signicant progress over the

past 30 years in building the scienc foundaon

of agroforestry. Recognizing the links to the United

Naons Millennium Development Goals, they

called on countries, internaonal organizaons, the

private sector and representaves of civil society

to join their eorts to promote the full potenal of

agroforestry and its concrete implementaon at the

eld level.

As in the example of France (Box 10), public

policies, instuonal innovaons and extension

strategies that facilitate the spread of agroforestry

and increase economic and ecological benets are

the result of a reecve and constructed synergy

among decision-makers, sciensts, extension and

development agents and farmers.


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in contribution to the agroforestry guidelinesAdvancing Agroforestry on the Policy Agenda A

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Glossary

GLOSSARYAccountability: Responsibility of politicalactors and experts to all members of society fortheir actions and decisions.

Adaptive management:A systematic processfor continually improving management policiesand practices by learning from the outcomes ofprevious employed policies and practices.

Administration:Te management of affairsbased on a mandate or official appointment.

Afforestation:Establishment of forest throughplanting and/or deliberate seeding on landthat, until then, was not classified as forest.Afforestation implies a transformation fromnon-forest to forests.

Agroforestry:All land-use system ortechnology where woody perennials aredeliberately used in the same land managementunit as agricultural crops and/or animals, insome form of spatial arrangement or temporal

sequence, valorizing both ecological andeconomic interactions between the variouscomponents.

Biodiesel:Alternative fuel made fromvegetable oils or animal fats, either in pureform or mixed in any combination withpetroleum-based diesel fuel.

Carbon sequestration:Process by whichatmospheric carbon dioxide is taken upby trees, grasses, and other plants throughphotosynthesis and stored as carbon in biomass(trunks, branches, foliage, and roots) and soils;the sink of carbon sequestration in forestsand wood products helps to offset sourcesof carbon dioxide to the atmosphere, suchas deforestation, forest fires, and fossil fuelemissions.

Certification: Formal procedure by whichan accredited or authorized person or agencyassesses and verifies, then attests (by issuinga certificate) the attributes, characteristics,quality, qualification or status of goods andservices, procedures or processes, individualsor organizations, events or situations, inaccordance with established standards.

Civil society:Groups acting voluntarily in

their capacity as citizens to advance commongoals and agendas. Tese include both formallyregistered organizations and non-registered,loosely organized cause-oriented groups.

Climate change:A change of climate whichis attributed directly or indirectly to humanactivity that alters the composition of theglobal atmosphere and which is in additionto natural climate variability observed overcomparable time periods.

Compensation:something given as paymentor reparation for a service or a loss.

Community-based forest management:Management of forest lands and forestresources by or with local people, whether forcommercial and non-commercial purposes.

Contract farming:Agricultural productioncarried out according to an agreement betweena buyer and farmers, which establishesconditions for the production and marketing of

a farm product or products.

Deforestation:Conversion of forest to anotherland use or the long-term reduction of the treecanopy cover below the minimum 10 percentthreshold.

Ecotourism:travel undertaken to witnessthe unique natural or ecological quality ofparticular sites or regions, including theprovision of services to facilitate such travel.


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FAO 2013

Agroforestry is a dynamic, ecological based, natural resources management system that,

through the integration of trees on farms and in the agricultural landscape, diversifies and

sustains production for increased social, economic and environmental benefits for land usersat all levels (ICRAF). Yet it is still considered a peripheral activity of agriculture and many

farmers and other land users are ignorant of its benefits.

This paper is a guide for policy makers, advisers and other technocrats who wish to include

agroforestry in the national agenda. It aims to assist countries to develop policy, legal and

institutional conditions that facilitate the adoption of agroforestry and recognize its contribu-

tion to national development.

Part I explains the benefits of agroforestry systems, the necessary conditions for its develop-

ment, the barriers that have prevented its adoption so far and the drivers, contextual and

internal, that make it possible.

In Part II the paper outlines a 10 tracks for policy action, which, if followed correctly, will

facilitate the development of national policies designed to promote the agroforestry conceptand practices at plot, farm and landscape scale. Illustrated with case studies and examples

of good practice from around the world, these guidelines are an invaluable addition to the

agroforestry global agenda.

fao agrofloresta

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