2010-2012
CIFOR-03: Improving livelihoods through smallholder and community forestry
Centers/ProgramsCIFOR
Target RegionsAsia, LAC, SSA
Countries of Planned Research Potential Beneficiary Countries
 
Burkina Faso, Brazil, Cameroon, Costa Rica, Ethiopia, Ghana, Indonesia, Cambodia, Laos, Nigeria, Vietnam, South Africa, Zambia, Zimbabwe
 
Angola, Argentina, American Samoa, Burundi, Benin, Burkina Faso, Bangladesh, Belize, Bolivia, Brazil, Bhutan, Botswana, Central African Republic, Chile, China, Côte d'Ivoire, Cameroon, Congo, Dem. Rep., Congo, Rep., Colombia, Comoros, Cape Verde, Costa Rica, Cuba, Djibouti, Dominica, Dominican Republic, Ecuador, Eritrea, Ethiopia, Fiji, Micronesia, Fed. Sts., Gabon, Ghana, Guinea, Gambia, Guinea-Bissau, Equatorial Guinea, Grenada, Guatemala, Guyana, Honduras, Haiti, Indonesia, India, Jamaica, Kenya, Cambodia, Kiribati, St. Kitts and Nevis, Laos, Liberia, St. Lucia, Sri Lanka, Lesotho, Madagascar, Maldives, Mexico, Marshall Islands, Mali, Myanmar, Mongolia, Northern Mariana Islands, Mozambique, Mauritania, Mauritius, Malawi, Malaysia, Mayotte, Namibia, Niger, Nigeria, Nicaragua, Nepal, Panama, Peru, Philippines, Palau, Papua New Guinea, DPR Korea, Paraguay, Rwanda, Sudan, Senegal, Solomon Islands, Sierra Leone, El Salvador, Somalia, Sao Tome and Principe, Suriname, Swaziland, Seychelles, Chad, Togo, Thailand, Tonga, Tanzania, Uganda, Uruguay, St. Vincent and the Grenadines, Venezuela, Vietnam, Vanuatu, Samoa, South Africa, Zambia, Zimbabwe
CGIAR Priorities
3D - Sustainable income generation from forest and trees
Financing Sources
Members: Australia, Brazil, CGIAR, Denmark, European Commission, FAO, Ford Foundation, Germany, IDRC, IFAD, Indonesia, Japan, Netherlands, Sweden, Switzerland, United Kingdom, United States, World Bank

Non Members: African Timber Organization, CIRAD, IITA , INRENA, International Tropical Timber Organization, IRM, Netherlands Development Organization, Others, Rights and Resources Initiative , Swedish University of Agricultural Sciences., Tinker Foundation, Unidentified, University of Wisconsin System, Unres+Other Sources, Woman Organizing for Change in Agriculture & NRM (WOCAN)
Project Overview and Rationale

Approximately 400 million people live in or adjacent to tropical forested regions, of whom many are poor and depend on forests for income[1]. Forest-based activities in developing countries provide about 30 million jobs in the informal sector, as well as 13-35 percent of all rural non-farm employment[2]. Developing countries produce $30-40 billion worth of timber and processed wood products each year, although only a small portion of this currently benefits poor households.

At the same time, there is rising global demand for the products that smallholder forestry can provide. With rising prices for high value species, such as teak and mahogany, the potential returns to small scale forestry are becoming an attractive option for small scale foresters.  In addition, there is rapid growth of domestic markets for forest products for fuelwood and charcoal, poles, construction timber, low-cost furniture, medicinal plants and other non-timber forest products. However, appropriate silvicultural techniques are often lacking for small scale cultivation of these species, so as to meet the quality demands of premium markets.  In particular, there is a need for the development of silvicultural systems that offer good returns, reasonable lags to first harvest, manageable risks, and acceptable asset liquidity on a small scale.  This needs to be accompanied by research on markets and institutional arrangements, so as to help reduce transaction costs, utilise opportunities for economies of scale and ensure that the products produced meet the demands of potential buyers.

Forests also offer important subsistence contributions to the well-being of the poor.  The World Bank estimates that 90 percent of the 1.2 billion people living in extreme poverty depend on forest resources for some part of their livelihood. Approximately two billion people depend primarily on fuelwood, charcoal and other biomass fuels for their energy. The World Health Organization (WHO) estimates that two billion people rely on traditional medicines for their health, most of which come from forests. Hunting and fishing provide over 20% of household protein requirements in 62 developing countries, and much of this takes place in forests. There are marked differences between males and females in forest use, both in terms of consumption products and marketed products[3].  There is need to better understand whether and how international investments can enhance these contributions.

Widespread changes in forest governance are occurring that favour strengthened local rights over forest resources and more secure land tenure with positive impacts for access, sustainable resource use and management, and intensification of production. It is estimated that at least a quarter of the forest estate in developing countries is now under community control, and this is likely to expand.  These changes may enable the adoption of enhanced management practices in a manner not previously possible.[4]

Underlying the focus on smallholder and community forestry is the assumption that production and marketing of forest products can be efficient, sustainable and competitive with alternative returns to the assets and skills of rural populations. Thus, a key overall research question is: what interventions offer the greatest potential to improve the contribution of smallholder production practices to local livelihoods?

[1] Chomitz K. et al. 2006. At Loggerheads? Agricultural Expansion and Poverty Reduction in Tropical Forests. World Bank Policy Research Report http://go.worldbank.org/TKGHE4IA30

[2]     World Bank 2003. World development report 2003.Washington, D.C.: The World Bank.

[3]     Perez, M.R., Ndoye, O., Eyebe, A., Ngono, D.L. 2002. A gender analysis of forest product markets in Cameroon. Africa Today. 49: 97-126.

[4]     White, A. and Martin, A. 2002. Who owns the world’s forests? Washington D.C.: Forest Trends.

 

 

 

 

 

 

 

 

 

 

 



Project Outputs
Output Title
1: Identification of enhanced technical practices that facilitate sustainable smallholder and community forestry and secure safety-nets from forests
Output Description

This Output is concerned with productive and sustainable smallholder and community forest management to improve income and secure safety-nets from forest resources. Therefore, the research is designed to identify technical and management practices and innovations that improve overall productivity and sustainability.  The research will then identify suitable ‘recommendation domains’ so as to target opportunities for replication. Given the dependence of women and other marginalised groups on forests for their sustenance, and the important role women often play in managing forest resources, the research explicitly recognises the gender dimensions of forest use and management.

The planned research will identify enhanced silvicultural practices for smallholder and community management of high value products from natural forests and plantations. An important research dimension is how the trade-offs amongst these different forest products and services such as fuelwood, high value timber and honey production should be managed. Finally the research will analyse market and non-market incentives that can help support identified improvements to management of smallholder and community forests.

 

CGIAR Priorities
Countries of Planned Research
Burkina Faso, Cameroon, Costa Rica, Indonesia, Vietnam, Zambia
Intended Users
International initiatives for guideline development (e.g. WWF, EU, industry associations, ITTO, IUFRO), certification bodies, NGOs, forestry extension, producer associations
Outcome
Use of information on improved timber and NTFP production practices  by service and extension agencies to facilitate adoption of improved management by smallholders and communities
Impact
Better managed forests that deliver more sustainable outputs"

Output Target
Year Target Type Target Description
2009
Practices
A series of case studies to identify enhanced silvicultural practices for smallholder and community management of products from natural forests
2010
Practices
A series of case studies to identify enhanced silvicultural practices for smallholder and community management of   plantations (including timber and NTFPs)
2011
Practices
Analysis of how scientific knowledge can complement local ecological knowledge to improve smallholder forest management strategies
2012
Practices
Synthesis of principles for interventions to improve technical management of timber and non-timber resources for smallholder and community forestry

Output Title
2: Tools, guidelines and approaches that strengthen local organizations and forest enterprises  to enhance outcomes from smallholder and community forestry
Output Description

Limited access to credit and inability to utilise economies of scale in forestry operations are key constraints to the viability of improvements in the productivity of smallholder forestry.  In community forestry, improved management is dependant upon effective methods for collective decision making.  Thus, a key focus of this research will be to investigate institutional models to identify approaches that are effectively in addressing these necessary conditions for management improvements.

 

This Output will identify effective interventions that enhance smallholder access to information and markets and how producers can capture a greater portion of the forest product value chains (in terms of value adding, certification, fair trade, greater negotiating power, use of modern technology such as cell phones and internet). Special attention will be paid to how the situation of women in the forest market chain can be improved. 

 

Research under this Output will examine how smallholder and community producers can overcome constraints to achieving gains in efficiency, reducing costs, and capture a higher price for their products.  Policy recommendations and guidelines should offer real possibilities for small-scale entrepreneurs to move from informal, ad hoc activities to efficient, productive small-scale forest enterprises and a greater portion of the value chain.  Limited financing for smallholder and community forestry enterprises is a major constraint hence the need for comparative analysis of rural financing mechanisms.  

 

CGIAR Priorities
Countries of Planned Research
Burkina Faso, Cameroon, Ethiopia, Indonesia, Laos, Zambia, Zimbabwe
Intended Users
Community groups, producer associations, cooperatives, social movements and the agencies that deal with them: development and conservation NGOs (e.g. CARE, WWF), national extension agencies, private companies
Outcome
Intended users of the outputs implement tools, guidelines and approaches to improve capacity of local organisations to represent themselves, negotiate and distribute benefits
Impact
Improved livelihoods of smallholders and communities from forestry activities that are mediated by local organizations"

Output Target
Year Target Type Target Description
2009
Practices
Identification of effective interventions to enhance smallholder access to information and markets
2010
Practices
Case study assessments of how producers, and in particular marginalised groups including women and the poorest rural dwellers, can capture a greater portion of the forest product value chains (in terms of value adding, certification, fair trade, greater negotiating power, use of ICTs such as cell phones and internet)
2011
Practices
Comparative analysis of how smallholders engage with larger private sector entities, with a focus on rural financing mechanisms for smallholder and community forestry
2012
Practices
Comparative analysis and synthesis of how smallholder and community producers achieve gains in efficiency, reduce costs, and capture a higher price for their products through improved coordination

Output Title
3: Recommendations for national and international policies and approaches that promote sustainable livelihoods through smallholder and community forestry
Output Description

Successful involvement of smallholders and communities in forestry depends on appropriate institutional and legal frameworks and supportive national policies. Research will focus on identifying the policy conditions under which pro-poor and sustainable outcomes emerge. The research aims to get poverty alleviation strategies, programmes and policies to take into account forests and forestry in a way that promotes rural livelihoods, especially those of marginalised people including women and children. The role of forest products in helping people meet subsistence and safety-net needs has been documented but rarely well quantified. Research under this Output will generate data to move beyond generalities about the importance of forests to the specific evidence required to get forest-related issues incorporated into mainstream poverty reduction strategies and policies.

 

Research under this Output will attempt to improve understanding of the role of forests in human well-being and their contribution to overall household livelihood strategies in terms of income, income diversification, gender, safety nets and seasonal gap filling, and the policy conditions best suited for enhancing smallholder and community forestry benefits. The bulk of this work involves analysis of a global data set compiled from micro-economic household surveys by a cohort of PhD students with a broad household livelihoods focus. These results will be analysed, so as to identify potential points of intervention, where rural development investment may help to improve forest contributions to poverty alleviation goals.

Related research will focus on specific forest product markets and the policy and regulatory impediments that limit such markets for smallholders and communities. The research will also propose policies to support better smallholder and community partnerships with private purchasers.  In an era of community-based and decentralised forest management approaches, the research will also offer a better understanding of the way tenure enables improved forest and tree management and livelihood outcomes. There will also be analyses of the impacts (in terms of local incomes, community rights and environmental conditions) of different models of community forestry (e.g. those facilitated by NGOs, autonomously-developed schemes; those based on community ownership, others based on community-state joint management)

CGIAR Priorities
Countries of Planned Research
Burkina Faso, Brazil, Cameroon, Ethiopia, Ghana, Indonesia, Cambodia, Nigeria, South Africa, Zambia
Intended Users
International donor community, conservation agencies, policy makers in national land, agriculture and forestry  agencies
Outcome
Adoption of policies and strategies by governments and agencies that include forests in poverty alleviation strategies.
Impact
Enhanced income and livelihoods of forest communities"

Output Target
Year Target Type Target Description
2009
Policy strategies
Comparative study of the roles of forest resources in safety nets and income generation, including analysis of the interactions between access, markets and forestry regulations. (Cameroon, Ghana, Nigeria, Zambia, Burkina Faso, Ethiopia, Indonesia, Cambodia and Brazil)
2010
Policy strategies
Case studies on smallholder incomes from natural forests (in relation to incomes from other livelihood activities) from diverse countries in Latin America, Africa and Asia
2011
Policy strategies
Analysis of global data set on household incomes to identify the role of forests in human well-being and how forest incomes fit in overall household livelihood strategies 
2011
Policy strategies
Analysis of impacts (in terms of local incomes, community rights and environmental conditions) of different models of community forestry
2012
Policy strategies
Synthesis of effective conditions and types of public sector forestry sector investments for achieving poverty alleviation goals

Allocation of Member, Non-Member Grants and other sources to projects, 2008-2010
in $millions

Project Member Actual
2008
Estimated
2009
Proposal
2010
Project Total
4.595
3.930
3.339
Project 3: Small Scale & Community ForestryMemberAustralia
0.140
0.284
0.341
Brazil
0.003
0.000
0.000
CGIAR
0.006
0.004
0.000
Denmark
0.129
0.073
0.107
European Commission
0.029
0.038
0.121
FAO
0.131
0.082
0.030
Ford Foundation
0.216
0.020
0.000
Germany
0.095
0.075
0.043
IDRC
0.373
0.358
0.000
IFAD
0.073
0.000
0.000
Indonesia
0.001
0.000
0.000
Japan
0.002
0.004
0.000
Netherlands
0.188
0.358
0.233
Sweden
0.668
0.596
0.000
Switzerland
0.000
0.001
0.000
United Kingdom
0.229
0.342
0.281
United States
0.020
0.029
0.000
World Bank
0.156
0.000
0.000
Non MemberAfrican Timber Organization
0.003
0.000
0.000
CIRAD
0.007
0.000
0.000
IITA
-.005
0.000
0.000
INRENA
0.008
0.000
0.000
International Tropical Timber Organization
0.011
0.000
0.000
IRM
0.014
0.000
0.000
Netherlands Development Organization
0.001
0.000
0.000
Others
-.003
0.000
0.000
Rights and Resources Initiative
0.000
0.088
0.000
Swedish University of Agricultural Sciences
0.000
0.016
0.000
Tinker Foundation
0.070
0.000
0.000
Unidentified
0.000
0.007
0.240
University of Wisconsin System
0.011
0.042
0.000
Woman Organizing for Change in Agriculture & NRM (WOCAN)
0.024
0.000
0.000
Unres+Other SourcesUnres+Other Sources
1.995
1.513
1.943


Allocation of Project Costs to CGIAR Priorities, 2008-2012
in $millions

Project Actual
2008
Estimated
2009
Proposal
2010
Plan 1
2011
Plan 2
2012
Priorities
Project 3: Small Scale & Community Forestry
Project Total
4.595
3.930
3.339
2.675
2.628
3D
4.595
3.930
3.339
2.675
2.628


Project investment by developing Region, 2008-2012
in $millions

Project Target Regions Actual
2008
Estimated
2009
Proposal
2010
Plan 1
2011
Plan 2
2012
Project Total
4.595
3.930
3.339
2.675
2.628
Project 3: Small Scale & Community ForestryAsia
1.609
1.137
1.189
0.873
0.984
LAC
0.975
0.967
0.716
0.646
0.731
SSA
2.011
1.826
1.434
1.156
0.913