PARTICIPATORY FOREST MANAGEMENT FARM AFRICA S APPROACH

Transcription

1 PARTICIPATORY FOREST MANAGEMENT FARM AFRICA S APPROACH

2 CONTENTS Preface Farm Africa s expertise in PFM What s the issue? Theory of change Farm Africa s approach Methodology PFM impacts Case study PFM in the Bale Eco-region, Ethiopia Applicability of PFM across the region List of tools and further reading 2

3 PREFACE Participatory forest management (PFM) is a form of forest management that relies on formalised forest management agreements between local communities and government. These agreements set out management responsibilities and arrangements for all people making a living from the forest, and ensures that its benefits are shared equally. This particular form of community-based natural resource management is increasingly common across the developing world. Farm Africa s approach to PFM is based on 20 years of practice and learning in the field. It includes the guidelines developed by Farm Africa in 2007 and the harmonised PFM guidelines for Ethiopia that Farm Africa played a leading role in preparing. It also incorporates some recent lessons about the economic sustainability of the approach. The hallmark of our PFM approach is the emphasis on the simultaneous promotion of resource management and enterprise development. Only by giving local people an economic incentive to sustainably manage and protect forests, can we ensure its long term sustainability. The approach applies specifically to stateowned forests where management is failing to prevent open access. The approach does not apply to privately owned forests or forest resources that are accessed under some form of forest-use license or concession. More details about the various types of forest access regimes for Ethiopia, Kenya, Tanzania and Uganda can be found here 3

4 FARM AFRICA S EXPERTISE IN PFM 20 years of engagement in PFM Introduced PFM as forest management model in Ethiopia s Forest and Natural Resource Management (NRM) policies Shared experience across regions (Tanzania and globally) Early indications of economic, social and environmental impacts Evolving from PFM for forest conservation to PFM for sustainable forest management, which includes harvesting and marketing forest products, REDD+ 1 and other payments for ecosystem services (PES) 1 : Reduced (Carbon) Emissions from Deforestation and Forest Degradation Farm Africa s Participatory Forest Management projects Time period Project name Location PFM first pilots Chilimo and Bonga, Ethiopia Strengthening Sustainable Livelihoods and Forest Management Programme Bale Eco-Region Sustainable Management Programme Oromia, Amhara, Southern Nation and Benishangul, Ethiopia Bale, Oromia, Ethiopia REDD+ Pilot Bale, Oromia, Ethiopia Nou Forest Ecosystem Management Babati, Tanzania 4

5 WHAT S THE ISSUE? Many rural households in Africa derive a large share of their livelihoods from forests. Past and current command and control forest management policies applied across eastern Africa have discouraged the sustained use of forests by local communities, and encouraged conversions into farmland. The forests these smallholders depend on are under serious threat. With deforestation, income opportunities for local communities are lost; biodiversity, carbon stocks and other ecosystem services degrade, and the resilience of the entire socio-ecological system is compromised. There is growing evidence, including from Farm Africa s work, that shared government - community systems of forest governance, such as PFM, are much more likely to result in a positive forest management outcome and improved forest-based livelihoods for local forest-dependent communities. They link include between (often illegal The policies and and) population unsustainable growth and institutions that govern logging forest Forest destruction cover and excessive in is highly In agricultural Africa, rural lands, forests harvest contested: Ethiopia: for 11.4%; while firewood; in some households and rangelands earn differ conversion cases Kenya: According the 7.8%; expansion to the 2010 into farmland of between from country 25-40%, to country; in (subsistent agricultural Tanzania: summary report 39.9%; land into on the some however, cases the up statement to 80% commercial); forests Uganda: economics goes 10.2%. of hand forest in fire; hand of concerning their household the mining with (FAO, ecosystems population 2015) and and oil exploration. growth, income effectiveness from trading of More the biodiversity, extent details to about which halving the command Ethiopia products. is and losing control main increasing deforestation drivers population worldwide of 1% (Agrawal approaches of its et every al., applies 2014) year; fairly deforestation densities by 2030 would contribute avoid and forest to uniformly Kenya: 0.34%; across the degradation resource damages degradation from climate in Ethiopia, On developing Tanzania: average, 1.1%; world. 30.1% of Kenya, depends change by Tanzania mainly an estimated on and household Uganda: 2%. incomes in agricultural net present can and value be found natural of rural More (FAO, African details 2015) about the here. resource US$3.7tr. management This figure See communities specific forest with laws, policies. does Stevens not include et al. the (2014) moderate regulations The many WRI specific co-benefits to report and good for Underlying drivers drivers of a are: of review access institutions deforestation to forests in Ethiopia, and and/or population See of More ecosystems the evidence growth, people, forest on weak less other Kenya, degradation natural Tanzania depend and institutional erosion: (TEEB, how strengthening Environmental 2010 based on and legal community ecosystems Uganda local circumstances. can are be found derived frameworks, recovery Eliash, 2008). rights to forest in Kenya, poverty, from here. nature. resources mitigates conflicts/war Mary Tiffen et and al. Wiley, poorly (Angelsenclimate et al.,2014) change. defined Chichester, forest 1993 property for a rights. case study from Kenya. 5

6 THEORY OF CHANGE MISSION To ensure the management of forests is both environmentally sustainable and financially sustainable for smallholder farmers GOALS Forest conservation Development of income generation activities $ STAKEHOLDERS Government Forest-dependent communities Private sector partners OUTCOMES Forest management agreements Forest-based business development OUTPUTS Forest management Management capacity Access to finance* Trade facilitation* Business capacity* *reference to other approach papers 6

7 FARM AFRICA S APPROACH Our approach is based on the parallel development of both the business and forest management frameworks that underpin PFM. 7

8 FARM AFRICA S APPROACH $ Establish government-community partnerships and develop forest management agreements Build local community organisation and business capacity Cultivate viable forestbased enterprises and/or payment for ecosystem services (PES), including with the engagement of the private sector Build government capacity and inform policy and regulatory framework through evidence of impacts 8

9 METHODOLOGY Phase 1. Mobilisation Phase 2. Planning Phase 3. Implementation Forest management 1. Getting started: establish relationships with local government and communities; explain aims of PFM 2. Familiarisation with PFM processes: explain principles of forest management; key steps, principle of sustainability 3. Forest management planning: conduct a participatory forest resource assessment and create a management plan 4. Formalisation: sign the Forest Management Agreement 5. Capacity building: improve forest management capacity of local communities and relevant forest agencies 6. Learning and adapting: conduct regular monitoring of forest conditions, revise management plan as necessary Forest-based business development 1. Getting started: clarify the socio-economic and ecological purposes of PFM 2. Organisation and selection of the enterprise structure: form community-based organisation/ cooperatives 3. Business planning: assess product and ecosystem service potential of the forest, identify markets and constraints to effective market engagement 4. Formalisation: agree the business and forest enterprise development plan 5. Capacity building: improve production, aggregation, marketing, access to finance and business capacity 6. Learning and adapting: monitor/audit business achievements, gather market intelligence, revise business plans as necessary 9

10 METHODOLOGY IN DETAIL Phase 1. Mobilisation Forest management Getting Getting started: started: establish relationships with local government and communities; explain aims and principles of PFM Select forest site in consultation with government forest agencies 2. Familiarization Meet and of brief PFM village processes: leaders principles about the of forest project management; key steps, principle of Form sustainability district level PFM facilitation team or identify focal person Orient key stakeholders about PFM Meet and brief the village assembly/community members 2. Familiarisation: Undertake stakeholder analysis of forest uses and users Train PFM facilitation team on PFM Hold general assembly meeting and select PFM planning team Tools: Participative Rural Assessment PFM training for communities, Stakeholder analysis format, Participatory resource mapping 10

11 METHODOLOGY IN DETAIL Phase 1. Mobilisation Tools: Cooperative establishment Forest-based business development Getting Getting started: started: establish relationships with local government and communities; 1. Hold explain a village meeting and aims and principles of PFM introduce the purpose and Select villages where PFM will be established importance of being organised Raise awareness of principles of sustainable forest 2. Plan preparatory committee to 2. Familiarization management of PFM processes: principles of forest management; key steps, draft byelaw principle of sustainability 2. Organisation and selection of the enterprise structure (Community-based organisation): Select the legal structure that allows effective business operation (eg cooperative, association or private company) Establish and legalise the organisation Organisational / cooperative development 3. Identify members and register 4. Village meeting deliberation on the draft byelaw, including business plan 5. Comments on the draft byelaw by relevant local government authorities 6. Village meeting to ratify the edited byelaw 7. Elect organisation / cooperative executives 8. Register organisation / cooperative with relevant local government authority 11

12 METHODOLOGY IN DETAIL Phase 2. Planning Forest management Getting Participatory started: forest establish resource relationships assessment with local (PFRA) government and communities; explain aims and principles of PFM Forest boundary identification, negotiation and forest mapping Conduct forest resources assessment in the mapped forest 2. Familiarization area of PFM processes: principles of forest management; key steps, principle of Prepare sustainability forest management plan using the data collected 4. Formalisation: signing the Forest Management Agreement (FMA) Raise awareness of community groups about legal provisions Establish community forest organisations Register members and define forest management roles and responsibilities Develop forest management agreement Sign the Forest Management Agreement Tools: Participatory Forest Management PFRA tools and guidelines, Forest management plan template, Participatory resource mapping template, Forest management agreement template 12

13 METHODOLOGY IN DETAIL Phase 2. Planning Forest-based business development Getting Business started: planning establish relationships with local government and communities; 1. Detailed explain feasibility analysis of aims and principles of PFM the products: Participatory identification and prioritisation of forest Quantity, quality, price, products (timber / non timber forest products) for enterprise The equipment, main criteria processing are product steps, 2. Familiarization development of PFM processes: principles of forest management; key steps, availability, packing, environmental transportation, impact dates, of principle of Preliminary sustainability market chain analysis for each of the harvest, buyers, market costs, trends profit, and monthly price trends products, and tentative selection of promising products cash needs for the first year of for business plan development operation, source of funds Identify the main constraints in the value chain, such as input provision, aggregation, post-harvest product transformation, transportation, certification, monopolies, and agree ways to address them 2. Detailed feasibility study of interventions across the value chain (input provision, aggregation, ) 4. Formalisation Prepare business plan for priority / selected forest products Develop the Forest Enterprise Development Plan 3. Develop a work plan Tools: Business planning Business plan template, Market analysis and development example 13

14 METHODOLOGY IN DETAIL Phase 3. Implementation Forest management Getting Capacity started: building establish : relationships with local government and communities; explain aims and principles of PFM Institutional and technical skills and capacities CBOs and government agencies 2. Familiarization Provision of of PFM essential processes: equipment principles of forest management; key steps, principle of sustainability 6. Learning and adapting: Agree on what to monitor Establish indicators Define methods for data collection Conduct data collection Analyse and translate into management relevant information Reflect on results internally and externally Make adjustments to forest management plan, if necessary Tools: Implementation Organisational capacity assessment tool (OCAT), Forest monitoring plan and template, Carbon stock measurement guidelines 14

15 METHODOLOGY IN DETAIL Phase 3. Implementation Forest-based business development Getting Capacity started: building establish : relationships with local government and communities; explain aims and principles of PFM Product harvesting, processing and aggregation Sample tasting 2. Familiarization Access to of market PFM processes: informationprinciples of forest management; key steps, principle of Packing sustainability and transporting Business capacity assessment and development Finance and book-keeping Environmental/sustainable use of the natural resources 6. Learning and adapting: Agree critical business development data to monitor (eg cashflow, input and output markets, ) Keep relevant management accounts and records Hold quarterly management meetings and adjust business development accordingly Tools: Implementation Organisational capacity assessment tool (OCAT) 15

16 PFM IMPACTS Environmental impacts Social impacts Economic impacts $ Reduced deforestation and increased forest regeneration (see case study on next slide) Preserved forest ecosystem, reduced carbon emissions (see case study on next slide) Preservation of other forest ecosystem services eg watershed management (see Farm Africa s SHARE project) Development of communitybased organisations Improved communitygovernment-private sector relations and reduced opportunities for conflict over natural resources Opportunity for women s empowerment Increased knowledge about forest function and management Improved household access to forest goods and services food and livelihood security Increased household earnings (see case study on next slide) Market development (see case study on next slide) 16

17 CASE STUDY PFM IN THE BALE ECO-REGION, ETHIOPIA Background Total forest area: 5,000 km 2 Direct project beneficiaries: 67,000 Main drivers of deforestation: Agricultural expansion Unsustainable wood collection for fuel and construction Forest fires 17

18 CASE STUDY PFM IN THE BALE ECO-REGION, ETHIOPIA What have we done? Started PFM in 2006 Working with local NGO SOS Sahel and Oromia Forest and Wildlife Enterprise Organised about 100 cooperatives and established one cooperative union Built capacity in forest management, law enforcement, business development Developed forest coffee value chain and first REDD+ payment for ecosystem services 18

19 CASE STUDY PFM IN THE BALE ECO-REGION, ETHIOPIA Achievements Reduced deforestation PFM in the Bale Eco-region has contributed to forests being more intact than in the past see the table These below, three where business as usual deforestation equates to what would have been lost if historical maps deforestation show the rates had progressed unabated. forest cover and Deforestation changes avoided following PFM between implementation in the Bale Eco-region: 2015 in Bale Time Projected deforestation Project scenario - Actual deforestation 1 Reduction of Eco-region. period (business as usual) (ha) (50% reduction) (ha) (ha) deforestation ,244 10,122 7,747 62% Forest area 2012 Forest area in 2015 Actual deforestation between This was measured by comparing the projected deforestation, using a historical deforestation rate set by analysing satellite images of three different periods before the project began, with actual deforestation observed by analysing satellite images after the project. 19

20 CASE STUDY PFM IN THE BALE ECO-REGION, ETHIOPIA Achievements Carbon stocks Greenhouse gas emission avoided due to PFM/REDD+ project intervention in the Bale Eco-region for the period : Forest types Deforestation expected without project in ha (Col B) Actual deforestation in ha (Col C) Avoided deforestation in ha (Col D=Col B-Col C) Emission factors* in ton CO 2 e/ha (Col E) Total avoided emission in ton CO 2 e (Col F= Col D*Col E) Moist 15,796 7,255 8, ,363,289 Dry 4, , ,169,424 Sum 20,244 7,747 12,497 5,532,714 *Emission factors were established through forest inventory. 20

21 CASE STUDY PFM IN THE BALE ECO-REGION, ETHIOPIA Achievements Social Community-based organisations set up 20 years ago are still functioning (anecdotal evidence) Local communities have taken responsibility for forest management and stopped uncontrolled / illegal access of forest resources Mutually supportive government-community relations were established Village savings and loans associations (VSLAs) and commercial activities give women greater earning potential and leverage in society 21

22 CASE STUDY PFM IN THE BALE ECO-REGION, ETHIOPIA Achievements Economic Forest PFM aims coffee to improve produced the and long-term revenue economic generated prospects from of a range of Birbirsa stakeholders. forest This management includes the cooperative forest dependent in Bale communities Eco-region: themselves, the enterprises that are formed to manage their commercial activities and other businesses that benefit from an improved Total economic revenue environment in the Year Quantity (kg) Price (ETB*/kg) Trade location rural space. generated (ETB) Data 2011 collection 1,020 to assess the economic 150 impacts from 153,000 PFM is on-going Traded and overseas will 2012 be reported 5,100 when completed. 85 In the meantime, 433,500 the production and Traded sales locally records from one of the forest management cooperatives set up by Farm , ,200,000 Traded overseas Africa on the next slide illustrates the potential economic impacts on forest cooperatives , ,800 Traded overseas Since being founded in June 2009 this cooperative has grown from 450 members (incl.75 female) to 1352 members (incl.100 female) in Some of its members are engaged in coffee production and trade, including export to Italy. * ETB denotes Ethiopian Birr, local currency. Exchange rate 1 USD = 20 ETB 22

23 CASE STUDY PFM IN THE BALE ECO-REGION, ETHIOPIA Achievements Policy By far the most far-reaching impact of Farm Africa s work on PFM in the Bale Eco-Region is on Ethiopia s forest legislation, which has incorporated lessons learnt during our 20 years of experience in the region. These include: Forest policy of Benishangul Gumuz Forest policy of SNNPR Federal forest policy (under revision) National harmonised PFM guidelines 23

24 APPLICABILITY OF PFM ACROSS THE REGION While the core of this material has been developed with a focus Achievements on Ethiopia, the Policy PFM approach has been applied in many other countries across eastern Africa. Most have adapted the approach to their own needs and circumstance. Tanzania: The Tanzanian government has produced its own PFM guidelines, available here. The Mpingo Conservation & Development Initiative has outlined various steps to PFM in Tanzania here. Kenya: The Kenyan government has produced its own PFM guidelines, available here. 24

25 LIST OF TOOLS PFM training for communities Stakeholder analysis format Participatory resource mapping PFRA tools and guidelines Forest management plan template Forest management agreement template Business planning template Market analysis and development example Organisational capacity assessment tool (OCAT) Forest monitoring plan and template Carbon stock measurement guidelines Guidelines for community-based NRM monitoring Click on items in the list to find out more. FURTHER READING Farm Africa - Making forest conservation benefit local communities: Participatory forest management in Ethiopia 25

26 REFERENCES AGRAWAL A., CASHORE B., HARDIN R., SHEPHERD G., BENSON C., MILLER P. (2014). Economic contribution of forests. Background paper UN Forum on Forests April, 2013: Istanbul. ANGELSEN A., JAGGER P., BABIGUMIRA R., BELCHER B., HOGARTH N., BAUCH S., BOERNER J., SMITH-HALL C., WUNDER S. (2014). Environmental income and rural livelihoods: a global comparative analysis. World Development, vol. 64: pp S12-S28. ELIASCH J. (2008). Climate Change: Financing Global Forests, UK Government, London. FAO (2015). Global forest resources assessment FAO, Rome. LEMENIH M. and IDRIS H. (2015). Ethiopia: Non-timber forest product business models; In: MACQUEEN D. (2015) (ed.) Democratizing forest business: a compendium of successful locally controlled forest business organizations. IIED, London. STEVENS C., WINTERBOTTOM R., SPRINGER J., REYTAR K.(2014). Securing rights, combating climate change: How Strengthening Community Forest Rights Mitigates Climate Change, Washington, DC, World Resources Institute TEEB (2010). The Economics of Ecosystems and Biodiversity: Mainstreaming the Economics of Nature: A Synthesis of the Approach, Conclusions and Recommendations of TEEB (The Economics of Ecosystems and Biodiversity). TIFFEN M., MORTIMORE M., GICHUKI F. (1993). More people, less erosion: Environmental recovery in Kenya. Wiley, Chichester. 26